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.
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SEC-registered adviser
T•• R••••••••• P••••••• C•••••• O• N•• E••••••• I•••
Latest filing Mar 13, 2026
First filing on the tape Mar 19, 2012 · 30 filings
SEC status approved since Oct 13, 1998
RAUM
$394M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$394M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$98.6M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$394M as of Mar 13, 2026
Mar 19, 2012$209M then
HNW client RAUM$263M as of Mar 13, 2026
Mar 3, 2018$65.5M then
State-registered IARs (5.B.3)3 as of Mar 13, 2026
Feb 27, 20134 then
Employees (5.A)4 as of Mar 13, 2026
Feb 27, 20136 then
Private funds: no history
RAUM +17% over the last fiscal year+20% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 13, 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
- 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
- RAUM per advisor
- $98.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 141derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $300,609derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.1%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$263M67%
- Individuals$131M33%
- Charitable organizations$328,5330.1%
- Individual clients
- 429reported
- HNW clients
- 136reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 1,312reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• W•••••• A•••••• | Warwick, Ri | Oct 28, 1996 | 37 y | 0 |
| E••••• V••• | Providence , Ri | Feb 13, 2002 | n/a | 0 |
| S••••••• M••• P••••• | Warwick, Ri | Jan 1, 2003 | 26 y | 0 |
| S•••• B•••• S•••••• | Warwick, Ri | May 14, 2024 | 42 y | 2 |
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
- K•••• R• W••••••• to W••••• M••••••••• R••••••••• I•••Feb 8, 2013 · Other
Joined, latest
- S•••• B•••• S•••••• from S•••••• I••••••••• A•••••••• L••May 14, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• D••••• W•••••• · Presidentcontrolsince 04/1996 · owns 75% or more
- P•••••• S•••••••• M••• · Chief Compliance Officercontrolsince 05/2001 · owns less than 5%
Related persons
Schedule D 7.A
- M••••• A•••• M•••••••••investment advisernRAUM $615M
Advisers that list T•• R••••••••• P••••••• C•••••• O• N•• E••••••• I••• as a related person
- 170361 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Warwick, Ri · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,324 to 1,312Mar 28, 2025 to Mar 13, 2026
- HNW clients · 123 to 136Mar 28, 2025 to Mar 13, 2026
- Individual clients · 448 to 429Mar 28, 2025 to Mar 13, 2026
- State-registered IARs · 4 to 3Mar 28, 2025 to Mar 13, 2026
- Discretionary RAUM · $324M to $371MMar 28, 2025 to Mar 13, 2026
- HNW RAUM · $226M to $263MMar 28, 2025 to Mar 13, 2026
- Individual RAUM · $110M to $131MMar 28, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $12.1M to $23.4MMar 28, 2025 to Mar 13, 2026
- RAUM · $336M to $394MMar 28, 2025 to Mar 13, 2026
- Accounts · 1,248 to 1,324May 14, 2024 to Mar 28, 2025
- Advisory activities · 3 to 2May 14, 2024 to Mar 28, 2025
- HNW clients · 109 to 123May 14, 2024 to Mar 28, 2025
- Individual clients · 370 to 448May 14, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0May 14, 2024 to Mar 28, 2025
- Discretionary RAUM · $260M to $324MMay 14, 2024 to Mar 28, 2025
- HNW RAUM · $188M to $226MMay 14, 2024 to Mar 28, 2025
- Individual RAUM · $90.5M to $110MMay 14, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $19.2M to $12.1MMay 14, 2024 to Mar 28, 2025
- RAUM · $279M to $336MMay 14, 2024 to Mar 28, 2025
- Accounts · 1,216 to 1,248Mar 21, 2023 to Mar 26, 2024
- HNW clients · 63 to 109Mar 21, 2023 to Mar 26, 2024
- Individual clients · 418 to 370Mar 21, 2023 to Mar 26, 2024
- Discretionary RAUM · $211M to $260MMar 21, 2023 to Mar 26, 2024
- HNW RAUM · $109M to $188MMar 21, 2023 to Mar 26, 2024
- Individual RAUM · $119M to $90.5MMar 21, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $16.8M to $19.2MMar 21, 2023 to Mar 26, 2024
- RAUM · $228M to $279MMar 21, 2023 to Mar 26, 2024
- Accounts · 1,128 to 1,216Mar 22, 2022 to Mar 21, 2023
- HNW clients · 62 to 63Mar 22, 2022 to Mar 21, 2023
- Individual clients · 402 to 418Mar 22, 2022 to Mar 21, 2023
- Discretionary RAUM · $244M to $211MMar 22, 2022 to Mar 21, 2023
- HNW RAUM · $132M to $109MMar 22, 2022 to Mar 21, 2023
- Individual RAUM · $130M to $119MMar 22, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $18.9M to $16.8MMar 22, 2022 to Mar 21, 2023
- RAUM · $262M to $228MMar 22, 2022 to Mar 21, 2023
- Accounts · 982 to 1,128Mar 23, 2021 to Mar 22, 2022
- Charity clients · 2 to 1Mar 23, 2021 to Mar 22, 2022
- HNW clients · 59 to 62Mar 23, 2021 to Mar 22, 2022
- Individual clients · 411 to 402Mar 23, 2021 to Mar 22, 2022
- Discretionary RAUM · $196M to $244MMar 23, 2021 to Mar 22, 2022
Signals
No event on the tape.
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
- 401-453-5558reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-585-8696reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 401-453-5558reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- r•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $98.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026