DFX Intelligence
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SEC-registered adviser
S•••••••• • C••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 16, 2012 · 19 filings
SEC status approved since Jan 9, 1998
RAUM
$116M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
48%
$55.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$116M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$116M as of Mar 30, 2026
Feb 16, 2012$91.2M then
HNW client RAUM$48.3M as of Mar 30, 2026
Mar 29, 2018$43.6M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Feb 16, 20120 then
Employees (5.A)1 as of Mar 30, 2026
Apr 1, 20132 then
Private funds1 as of Mar 30, 2026
Mar 29, 20181 then
RAUM -8.0% over the last fiscal year+2.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $116MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $5.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$48.3M42%
- Pooled investment vehicles$45.4M39%
- Charitable organizations$15.0M13%
- Individuals$7.4M6.4%
- Individual clients
- 5reported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 20reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.48 fund_share=0.39 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• H••••••• W•••• | Wellesley, Ma | Jun 28, 2004 | 37 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 |
|---|---|---|---|---|
| S•••••••• F•••• L•••••• P••••••••• | Other Private Fund | $46.7M | 19 | Mar 29, 2018 |
Owners and control persons
Schedule A and B, latest filing
- W••••• W••••••• H••••••• · Chief Compliance Officer, Manager And Membercontrolsince 01/1990 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 22 to 20Oct 16, 2025 to Mar 30, 2026
- HNW clients · 15 to 13Oct 16, 2025 to Mar 30, 2026
- Discretionary RAUM · $126M to $116MOct 16, 2025 to Mar 30, 2026
- HNW RAUM · $56.7M to $48.3MOct 16, 2025 to Mar 30, 2026
- Individual RAUM · $6.1M to $7.4MOct 16, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $48.3M to $45.4MOct 16, 2025 to Mar 30, 2026
- RAUM · $126M to $116MOct 16, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 20, 2024 to Mar 27, 2025
- HQ city · WESTON to Mar 20, 2024 to Mar 27, 2025
- HQ state · MA to Mar 20, 2024 to Mar 27, 2025
- Discretionary RAUM · $119M to $126MMar 20, 2024 to Mar 27, 2025
- HNW RAUM · $52.6M to $56.7MMar 20, 2024 to Mar 27, 2025
- Individual RAUM · $6.0M to $6.1MMar 20, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $46.7M to $48.3MMar 20, 2024 to Mar 27, 2025
- RAUM · $119M to $126MMar 20, 2024 to Mar 27, 2025
- Accounts · 23 to 22May 23, 2023 to Mar 20, 2024
- HNW clients · 17 to 15May 23, 2023 to Mar 20, 2024
- Individual clients · 4 to 5May 23, 2023 to Mar 20, 2024
- Discretionary RAUM · $107M to $119MMay 23, 2023 to Mar 20, 2024
- HNW RAUM · $52.6M to $52.6MMay 23, 2023 to Mar 20, 2024
- Individual RAUM · $4.3M to $6.0MMay 23, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $37.9M to $46.7MMay 23, 2023 to Mar 20, 2024
- RAUM · $107M to $119MMay 23, 2023 to Mar 20, 2024
- Accounts · 21 to 23Mar 18, 2022 to Mar 29, 2023
- Advisory activities · 1 to 2Mar 18, 2022 to Mar 29, 2023
- HNW clients · 15 to 17Mar 18, 2022 to Mar 29, 2023
- Discretionary RAUM · $126M to $107MMar 18, 2022 to Mar 29, 2023
- HNW RAUM · $67.7M to $52.6MMar 18, 2022 to Mar 29, 2023
- Individual RAUM · $5.2M to $4.3MMar 18, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $39.7M to $37.9MMar 18, 2022 to Mar 29, 2023
- RAUM · $126M to $107MMar 18, 2022 to Mar 29, 2023
- Accounts · 25 to 21Jun 3, 2021 to Mar 18, 2022
- Individual clients · 8 to 4Jun 3, 2021 to Mar 18, 2022
- Discretionary RAUM · $124M to $126MJun 3, 2021 to Mar 18, 2022
- HNW RAUM · $50.9M to $67.7MJun 3, 2021 to Mar 18, 2022
- Individual RAUM · $9.1M to $5.2MJun 3, 2021 to Mar 18, 2022
- Pooled vehicle RAUM · $51.3M to $39.7MJun 3, 2021 to Mar 18, 2022
- RAUM · $124M to $126MJun 3, 2021 to Mar 18, 2022
- HQ city · WELLESLEY to WESTONMar 30, 2021 to Jun 3, 2021
- Accounts · 24 to 25Jun 25, 2020 to Mar 30, 2021
Signals
1 dated events
- ••• LockedMar 1, 2019 · 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
- Principal office phone
- 781-703-5641reportedpublic record, Form ADV, Mar 30, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $116Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026