DFX Intelligence
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I••••••• I••••••••• M••••••••• L••
Independent wealth manager, based in Boston, Massachusetts, reporting $278M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $278M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +25%
- Private clients
- 100% of RAUM, $278M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $222MRAUM now $278M
- Contact points 5
Every filed figure, and the identifiersCRD 108467 · SEC 801-55081 · 32 filingsShowHide
CRD 108467SEC 801-55081First filing on the tape Feb 28, 2012, latest Mar 31, 2026SEC status approved since Dec 15, 1997IAPD
RAUM
$278M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$278M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$278M as of Mar 31, 2026
Feb 28, 2012$507M then
HNW client RAUM$278M as of Mar 31, 2026
Mar 30, 2018$144M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 1, 20130 then
Employees (5.A)8 as of Mar 31, 2026
Mar 1, 201317 then
Private funds1 as of Mar 31, 2026
Mar 28, 20141 then
RAUM +25% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 144derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $965,710derivedHNW RAUM over HNW clients
- Average account
- $962,483derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $28.1M, 27 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$278M100%
- Pooled investment vehicles$33,1500.0%
- Individual clients
- 0reported
- HNW clients
- 288reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 289reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $19.5M managedreported
- Custody of client assets
- $28.1M for 27 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• C•••••• | Boston, Ma | Jan 11, 2007 | 41 y | 0 |
| W••••• J••• I••••••• | Boston, Ma | Jan 11, 2007 | 29 y | 0 |
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••••••• C••••••••• F••• L• | Hedge Fund | $14,021 | 0 | Mar 28, 2014 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• D••••• · Managing Director; Majority Member; Voting And Non-Voting Unitscontrolsince 04/2008 · owns 75% or more
- R••••• S•••••••• · Chief Compliance Officercontrolsince 06/2014 · owns less than 5%
Related persons
Schedule D 7.A
- W••••• J• I•••••••investment companyy
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 279 to 289Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 7 to 6Mar 31, 2025 to Mar 31, 2026
- HNW clients · 278 to 288Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $14.5M to $28.1MMar 31, 2025 to Mar 31, 2026
- Employees · 9 to 8Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $222M to $278MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $222M to $278MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $16,571 to $33,150Mar 31, 2025 to Mar 31, 2026
- RAUM · $222M to $278MMar 31, 2025 to Mar 31, 2026
- Wrap assets (manager) · $16.1M to $19.5MMar 31, 2025 to Mar 31, 2026
- Accounts · 247 to 279Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 6 to 7Mar 28, 2024 to Mar 31, 2025
- HNW clients · 247 to 278Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $15.1M to $14.5MMar 28, 2024 to Mar 31, 2025
- Employees · 8 to 9Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $218M to $222MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $218M to $222MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $16,141 to $16,571Mar 28, 2024 to Mar 31, 2025
- RAUM · $218M to $222MMar 28, 2024 to Mar 31, 2025
- Wrap assets (manager) · $16.4M to $16.1MMar 28, 2024 to Mar 31, 2025
- Accounts · 264 to 247Mar 31, 2023 to Mar 28, 2024
- HNW clients · 232 to 247Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $11.9M to $15.1MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $182M to $218MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $164M to $218MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $12,535 to $16,141Mar 31, 2023 to Mar 28, 2024
- RAUM · $182M to $218MMar 31, 2023 to Mar 28, 2024
- Wrap assets (manager) · $14.8M to $16.4MMar 31, 2023 to Mar 28, 2024
- Accounts · 243 to 264Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 5 to 6Mar 31, 2022 to Mar 31, 2023
- Corporate clients · unset to 0.0Mar 31, 2022 to Mar 31, 2023
- HNW clients · 225 to 232Mar 31, 2022 to Mar 31, 2023
- Individual clients · unset to 0.0Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $13.4M to $11.9MMar 31, 2022 to Mar 31, 2023
- Employees · 10 to 8Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $198M to $182MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $177M to $164MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $13,634 to $12,535Mar 31, 2022 to Mar 31, 2023
- RAUM · $198M to $182MMar 31, 2022 to Mar 31, 2023
Signals
1 dated events
- ••• LockedMar 30, 2020 · Control person left · inference
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 phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 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
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026