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
I••••••••• A••••••• G•••• L••
Legal name I••••••••• A••••••• G••••• L••
Latest filing Feb 5, 2026
First filing on the tape Mar 22, 2012 · 34 filings
SEC status approved since Dec 3, 1999
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.2B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$243M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.2B as of Feb 5, 2026
Mar 22, 2012$199M then
HNW client RAUM$624M as of Feb 5, 2026
Mar 23, 2018$60.0M then
State-registered IARs (5.B.3)5 as of Feb 5, 2026
Mar 26, 20135 then
Employees (5.A)10 as of Feb 5, 2026
Mar 26, 201310 then
Private funds: no history
RAUM +22% over the last fiscal year+20% a year over threeIARs 5 to 5offices 0 to 1
Practice profile
derived from the filing of Feb 5, 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
- $243MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 308derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $339,849derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $327M, 325 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$624M51%
- Individuals$591M49%
- Charitable organizations$1.3M0.1%
- Individual clients
- 1,267reported
- HNW clients
- 275reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3,581reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $327M for 325 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• A••••• M•••••Certified Financial Planner | Sarasota, Fl | Jul 16, 1998 | 41 y | 0 |
| J•• L•••••• R•••••••Certified Financial Planner | Sarasota, Fl | Jul 16, 1998 | 36 y | 0 |
| P••• W•••••• R••••••Certified Financial Planner | Hanover, Ma | Mar 2, 2004 | 35 y | 0 |
| T••••••• D• C••••••• | Sarasota, Fl | Mar 2, 2004 | 24 y | 1 |
| K•••• W•••••• W•••• | Sarasota, Fl | Apr 23, 2018 | 19 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
- K•••• W•••••• W•••• from G••••• W••••• M••••••••• I•••Apr 23, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• G•••••• A••••• · CFP/Partner Compliance Officercontrolsince 06/1998 · owns 50% to 75%
- R•••••••• J••• L•••••• · CFP/Partner, Chief Compliance Officercontrolsince 06/1998 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Sarasota, Fl · principal | 5 | 0 | 0 | ||
| Hanover, Ma | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Feb 5, 2026R•••••••• J••• L•••••• (CFP/PARTNER, CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2012-03-22 and 2026-02-05peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 3,425 to 3,581Jun 27, 2025 to Feb 5, 2026
- Charity clients · 5.0 to unsetJun 27, 2025 to Feb 5, 2026
- HNW clients · 175 to 275Jun 27, 2025 to Feb 5, 2026
- Individual clients · 1,328 to 1,267Jun 27, 2025 to Feb 5, 2026
- Assets in custody · $91.3M to $327MJun 27, 2025 to Feb 5, 2026
- Discretionary RAUM · $994M to $1.2BJun 27, 2025 to Feb 5, 2026
- HNW RAUM · $453M to $624MJun 27, 2025 to Feb 5, 2026
- Individual RAUM · $540M to $591MJun 27, 2025 to Feb 5, 2026
- RAUM · $994M to $1.2BJun 27, 2025 to Feb 5, 2026
- Succession · true to falseJun 27, 2025 to Feb 5, 2026
- Financial planning clients · 0 to 0May 8, 2025 to Jun 27, 2025
- HQ city · HANOVER to SARASOTAMay 8, 2025 to Jun 27, 2025
- HQ state · MA to FLMay 8, 2025 to Jun 27, 2025
- Succession · false to trueMay 8, 2025 to Jun 27, 2025
- Other offices · 0 to 1Jan 21, 2025 to May 8, 2025
- Accounts · 3,236 to 3,425Jun 11, 2024 to Jan 21, 2025
- HNW clients · 204 to 175Jun 11, 2024 to Jan 21, 2025
- Individual clients · 1,221 to 1,328Jun 11, 2024 to Jan 21, 2025
- Assets in custody · $97.8M to $91.3MJun 11, 2024 to Jan 21, 2025
- Discretionary RAUM · $848M to $994MJun 11, 2024 to Jan 21, 2025
- HNW RAUM · $539M to $453MJun 11, 2024 to Jan 21, 2025
- Individual RAUM · $308M to $540MJun 11, 2024 to Jan 21, 2025
- RAUM · $848M to $994MJun 11, 2024 to Jan 21, 2025
- Accounts · 3,075 to 3,236Jan 30, 2023 to Jan 31, 2024
- Charity clients · unset to 5.0Jan 30, 2023 to Jan 31, 2024
- HNW clients · 122 to 204Jan 30, 2023 to Jan 31, 2024
- Individual clients · 2,949 to 1,221Jan 30, 2023 to Jan 31, 2024
- Assets in custody · $90.5M to $97.8MJan 30, 2023 to Jan 31, 2024
- Discretionary RAUM · $710M to $848MJan 30, 2023 to Jan 31, 2024
- HNW RAUM · $250M to $539MJan 30, 2023 to Jan 31, 2024
- Individual RAUM · $458M to $308MJan 30, 2023 to Jan 31, 2024
- RAUM · $710M to $848MJan 30, 2023 to Jan 31, 2024
- Accounts · 3,245 to 3,075Feb 7, 2022 to Jan 30, 2023
- Advisory employees · 6 to 5Feb 7, 2022 to Jan 30, 2023
- HNW clients · 123 to 122Feb 7, 2022 to Jan 30, 2023
- Individual clients · 3,118 to 2,949Feb 7, 2022 to Jan 30, 2023
- Assets in custody · $69.5M to $90.5MFeb 7, 2022 to Jan 30, 2023
- Employees · 12 to 10Feb 7, 2022 to Jan 30, 2023
- State-registered IARs · 6 to 5Feb 7, 2022 to Jan 30, 2023
- Discretionary RAUM · $716M to $710MFeb 7, 2022 to Jan 30, 2023
Signals
1 dated events
- I••••••••• A••••••• G•••• L•• reported succeeding to the business of I••••••••• A••••••• G•••• L•• (Form ADV Item 4)Jun 27, 2025 · Succession (Item 4) · 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
- k•••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-826-7278reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-826-8100reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 781-826-1235reportedpublic record, Form ADV, Feb 5, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- m•••••••••.comreportedpublished 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
- $243Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026