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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Former SEC-registered adviser
U• A••••••• G•••• I••
Legal name W••••• M••••••••• P••••••• I••• D•••• U• A••••••• G••••
Latest filing Jul 21, 2016
First filing on the tape Mar 28, 2012 · 14 filings
RAUM
$53.5M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$26.8M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$82.3M as of Mar 31, 2016
Mar 28, 2012$90.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 31, 2016
Mar 28, 20120 then
Employees (5.A)4 as of Mar 31, 2016
Mar 27, 20135 then
Private funds: 1
RAUM -54% over the last fiscal year-21% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Jul 21, 2016; every figure names its basis
- RAUM per advisor
- $26.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $322,344derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 166reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••••• V• M••••••• | Beverly, Ma | May 20, 2013 | 16 y | 1 |
| C••••••••• L•••• M••••••• | Beverly, Ma | Feb 24, 2021 | 16 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
- C••• M••••••• H••••• to S••••••• I••••••••• I•••Jul 14, 2016 · Other
Joined, latest
- C••• M••••••• H••••• from T••••••••• F•••••••• A•••••••• L••Jul 14, 2011 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• P••• M••••••••• | Private Equity Fund | $20.0M | 34 | Mar 31, 2016 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• F••••••••• V•••••• · Chief Compliance Officer/President/Ceocontrolsince 08/1998 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Beverly, Ma | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Jul 18, 2016 to Jul 21, 2016
- Advisory activities · 4 to 3Jul 18, 2016 to Jul 21, 2016
- BD registered reps · 3 to 2Jul 18, 2016 to Jul 21, 2016
- Employees · 4 to 3Jul 18, 2016 to Jul 21, 2016
- State-registered IARs · 3 to 2Jul 18, 2016 to Jul 21, 2016
- Accounts · 395 to 166Jun 9, 2016 to Jul 18, 2016
- Private funds · 1 to unsetJun 9, 2016 to Jul 18, 2016
- Non-discretionary RAUM · $82.3M to $53.5MJun 9, 2016 to Jul 18, 2016
- RAUM · $82.3M to $53.5MJun 9, 2016 to Jul 18, 2016
- Advisory activities · 3 to 4Apr 18, 2016 to Jun 9, 2016
- Discretionary RAUM · $82.3M to $0Apr 18, 2016 to Jun 9, 2016
- Non-discretionary RAUM · $0 to $82.3MApr 18, 2016 to Jun 9, 2016
- Accounts · 387 to 395Mar 27, 2015 to Mar 31, 2016
- Private funds · unset to 1Mar 27, 2015 to Mar 31, 2016
- Discretionary RAUM · $81.2M to $82.3MMar 27, 2015 to Mar 31, 2016
- Non-discretionary RAUM · $35.3M to $0Mar 27, 2015 to Mar 31, 2016
- RAUM · $117M to $82.3MMar 27, 2015 to Mar 31, 2016
- Accounts · 484 to 387Sep 17, 2014 to Mar 24, 2015
- Employees · 5 to 4Sep 17, 2014 to Mar 24, 2015
- Discretionary RAUM · $72.1M to $81.2MSep 17, 2014 to Mar 24, 2015
- Non-discretionary RAUM · $18.4M to $35.3MSep 17, 2014 to Mar 24, 2015
- RAUM · $90.4M to $117MSep 17, 2014 to Mar 24, 2015
- Accounts · 329 to 484Mar 31, 2014 to Sep 17, 2014
- Discretionary RAUM · $70.3M to $72.1MMar 31, 2014 to Sep 17, 2014
- Non-discretionary RAUM · $10.6M to $18.4MMar 31, 2014 to Sep 17, 2014
- RAUM · $81.0M to $90.4MMar 31, 2014 to Sep 17, 2014
- Accounts · 303 to 329May 22, 2013 to Mar 31, 2014
- Advisory employees · 2 to 3May 22, 2013 to Mar 31, 2014
- Insurance-licensed employees · 2 to 1May 22, 2013 to Mar 31, 2014
- State-registered IARs · 2 to 3May 22, 2013 to Mar 31, 2014
- Discretionary RAUM · $75.0M to $70.3MMay 22, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $31.5M to $10.6MMay 22, 2013 to Mar 31, 2014
- RAUM · $107M to $81.0MMay 22, 2013 to Mar 31, 2014
- Accounts · 480 to 303Dec 10, 2012 to Mar 27, 2013
- Advisory activities · 4 to 3Dec 10, 2012 to Mar 27, 2013
- BD registered reps · 2 to 3Dec 10, 2012 to Mar 27, 2013
- Insurance-licensed employees · 0 to 2Dec 10, 2012 to Mar 27, 2013
- Financial planning clients · 101-250 to 26-50Dec 10, 2012 to Mar 27, 2013
- Discretionary RAUM · $78.0M to $75.0MDec 10, 2012 to Mar 27, 2013
- Non-discretionary RAUM · $12.0M to $31.5MDec 10, 2012 to Mar 27, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- U• A••••••• G•••• I•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/us-advisory-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- USADVISORY.COMreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $26.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026