DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
F••••• P•••• F••••••••• I•••
Latest filing Sep 1, 2026
First filing on the tape Feb 6, 2012 · 28 filings
SEC status approved since Apr 21, 2015
RAUM
$207M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
98%
$203M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$68.9M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$207M as of Jun 3, 2026
May 3, 2012$88.6M then
HNW client RAUM$162M as of Jun 3, 2026
Mar 23, 2018$61.6M then
State-registered IARs (5.B.3)3 as of Jun 3, 2026
May 3, 20120 then
Employees (5.A)4 as of Jun 3, 2026
Mar 15, 20165 then
Private funds: no history
RAUM +12% over the last fiscal year+12% a year over threeIARs 3 to 3offices 4 to 3
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $68.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $338,890derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$162M78%
- Individuals$40.9M20%
- Pension and profit-sharing plans$3.8M1.8%
- Individual clients
- 112reported
- HNW clients
- 79reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 610reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• B••••••• M•••••••Certified Financial Planner | Portsmouth, Nh | Aug 30, 1998 | 39 y | 0 |
| K•••• J•••• K•••••• | North Andover, Ma | Mar 1, 2004 | 25 y | 0 |
| A•• E•••••••• M••••••••• | North Andover, Ma | Feb 28, 2017 | 30 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• K••••• J•••• · Shareholder/Executive Vice Presidentcontrolsince 01/2012 · owns 25% to 50%
- M•••••••• E•••••• B••••••• · Shareholdercontrolsince 07/1998 · owns 50% to 75%
- M••••••••• A••• E•••••••• · Shareholder/Director Of Operations/Ccosince 07/1998 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| North Andover, Ma · principal | 3 | 0 | 0 | ||
| Portsmouth, Nh | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Portsmouth, NH3 employees
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Jun 3, 2026 to Sep 1, 2026
- Related adviser · false to unsetJun 3, 2026 to Sep 1, 2026
- Related bank · false to unsetJun 3, 2026 to Sep 1, 2026
- Related broker-dealer · false to unsetJun 3, 2026 to Sep 1, 2026
- Related insurance company · false to unsetJun 3, 2026 to Sep 1, 2026
- Succession · false to unsetJun 3, 2026 to Sep 1, 2026
- Accounts · 677 to 610Sep 11, 2025 to Feb 6, 2026
- Charity clients · unset to 0.0Sep 11, 2025 to Feb 6, 2026
- Corporate clients · unset to 0.0Sep 11, 2025 to Feb 6, 2026
- HNW clients · 72 to 79Sep 11, 2025 to Feb 6, 2026
- Individual clients · 103 to 112Sep 11, 2025 to Feb 6, 2026
- Pension plan clients · 5 to 0Sep 11, 2025 to Feb 6, 2026
- Employees · 5 to 4Sep 11, 2025 to Feb 6, 2026
- Discretionary RAUM · $174M to $201MSep 11, 2025 to Feb 6, 2026
- HNW RAUM · $136M to $162MSep 11, 2025 to Feb 6, 2026
- Individual RAUM · $38.0M to $40.9MSep 11, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $10.0M to $5.7MSep 11, 2025 to Feb 6, 2026
- Pension RAUM · $10.0M to $3.8MSep 11, 2025 to Feb 6, 2026
- RAUM · $184M to $207MSep 11, 2025 to Feb 6, 2026
- Other offices · 4 to 3Feb 4, 2025 to Sep 11, 2025
- Accounts · 591 to 677Jan 10, 2025 to Feb 4, 2025
- HNW clients · 14 to 72Jan 10, 2025 to Feb 4, 2025
- Individual clients · 173 to 103Jan 10, 2025 to Feb 4, 2025
- Pension plan clients · unset to 5.0Jan 10, 2025 to Feb 4, 2025
- Financial planning clients · 26-50 to 1-10Jan 10, 2025 to Feb 4, 2025
- Discretionary RAUM · $169M to $174MJan 10, 2025 to Feb 4, 2025
- HNW RAUM · $50.9M to $136MJan 10, 2025 to Feb 4, 2025
- Individual RAUM · $117M to $38.0MJan 10, 2025 to Feb 4, 2025
- Non-discretionary RAUM · $0 to $10.0MJan 10, 2025 to Feb 4, 2025
- Pension RAUM · $870,000 to $10.0MJan 10, 2025 to Feb 4, 2025
- RAUM · $169M to $184MJan 10, 2025 to Feb 4, 2025
- Other offices · 1 to 4Mar 12, 2024 to Jul 15, 2024
- Accounts · 596 to 591Mar 2, 2023 to Mar 12, 2024
- HNW clients · 12 to 14Mar 2, 2023 to Mar 12, 2024
- Individual clients · 177 to 173Mar 2, 2023 to Mar 12, 2024
- Discretionary RAUM · $145M to $169MMar 2, 2023 to Mar 12, 2024
- HNW RAUM · $37.0M to $50.9MMar 2, 2023 to Mar 12, 2024
- Individual RAUM · $106M to $117MMar 2, 2023 to Mar 12, 2024
- Pension RAUM · $2.0M to $870,000Mar 2, 2023 to Mar 12, 2024
- RAUM · $145M to $169MMar 2, 2023 to Mar 12, 2024
Signals
1 dated events
- M••••••• F•••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Apr 14, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- i•••@f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- d•••@f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- a••@f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 978-975-3323reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 978-975-3000reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (978) 975-3000reportedpublic record, Form ADV, Sep 1, 2026
- Contact form
- f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $68.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026