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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••••••••• I••••••••• M••••••••• I•••
Latest filing May 11, 2026
First filing on the tape Mar 19, 2012 · 25 filings
SEC status approved since Mar 25, 1973
RAUM
$702M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
72%
$507M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$140M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$702M as of May 11, 2026
Mar 19, 2012$621M then
HNW client RAUM$429M as of May 11, 2026
Feb 16, 2018$143M then
State-registered IARs (5.B.3)4 as of May 11, 2026
Mar 20, 20135 then
Employees (5.A)7 as of May 11, 2026
Mar 20, 20138 then
Private funds2 as of May 11, 2026
Mar 19, 20122 then
RAUM +12% over the last fiscal year+9.7% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 11, 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
- 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)
- RAUM per advisor
- $140MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 6.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- 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$429M61%
- Pooled investment vehicles$91.5M13%
- Individuals$77.8M11%
- Corporations and businesses$60.0M8.6%
- Pension and profit-sharing plans$27.0M3.8%
- Charitable organizations$16.6M2.4%
- Individual clients
- 139reported
- HNW clients
- 88reported
- Pension plan clients
- 5reported
- Charitable clients
- 5reported
- Accounts
- 655reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $114M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.72 fund_share=0.13 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• A•••••• N••••• | Norwell, Ma | Jan 4, 2002 | 30 y | 0 |
| D•••• M•••••• C•••• | Norwell, Ma | Nov 23, 2007 | 28 y | 0 |
| M•••••• B•••• S••••••• | Norwell, Ma | Mar 17, 2008 | 19 y | 0 |
| W•••••• M••• N••••• | Norwell, Ma | Sep 30, 2009 | 33 y | 0 |
| M•••• K• S•••••••• | Moraga, Ca | Jan 31, 2025 | 11 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
- J••• A• F••••••• to N•• W•••• A••••••• L••Jun 29, 2018 · RIA to a newly registered adviser
- J•••• A••••• S•••••• to P•• W••••• M••••••••• L••Sep 11, 2017 · Other
- E••••• R•••• H•••• to B•••••••• I••••••••• M••••••••• L••Apr 18, 2011 · Other
Joined, latest
- J•••• A••••• S•••••• from M••••• S••••••Jul 27, 2016 · Other
- E••••• R•••• H•••• from A••••••• A•••• M••••••••• I•••Apr 29, 2009 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• F•••• L• | Hedge Fund | $61.6M | 73 | Mar 19, 2012 |
| C••••••••• I••• L• | Hedge Fund | $18.5M | 1 | Mar 19, 2012 |
| C••••••••• L••••••••• O••••••••• L•no longer reported | Hedge Fund | $3.6M | 8 | Feb 15, 2017 |
Owners and control persons
Schedule A and B, latest filing
- N•••••• P•••••• A•••••• · Chief Operating Officercontrolsince 07/2006 · owns 50% to 75%
- N•••••• W••••••• M••• · President/Ceocontrolsince 07/2006 · owns 50% to 75%
- S•••••••• M••••••• B•••• · Chief Compliance Officersince 01/2008 · owns less than 5%
Related persons
Schedule D 7.A
- C••••••••• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Norwell, Ma · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 589 to 655Mar 11, 2025 to Mar 16, 2026
- HNW clients · 80 to 88Mar 11, 2025 to Mar 16, 2026
- Individual clients · 104 to 139Mar 11, 2025 to Mar 16, 2026
- Discretionary RAUM · $568M to $640MMar 11, 2025 to Mar 16, 2026
- HNW RAUM · $371M to $429MMar 11, 2025 to Mar 16, 2026
- Individual RAUM · $60.5M to $77.8MMar 11, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $60.6M to $61.4MMar 11, 2025 to Mar 16, 2026
- Pension RAUM · $25.3M to $27.0MMar 11, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $97.7M to $91.5MMar 11, 2025 to Mar 16, 2026
- RAUM · $628M to $702MMar 11, 2025 to Mar 16, 2026
- Wrap assets (manager) · $106M to $114MMar 11, 2025 to Mar 16, 2026
- Accounts · 559 to 589Feb 27, 2024 to Mar 11, 2025
- HNW clients · 84 to 80Feb 27, 2024 to Mar 11, 2025
- Individual clients · 102 to 104Feb 27, 2024 to Mar 11, 2025
- Employees · 6 to 7Feb 27, 2024 to Mar 11, 2025
- Financial planning clients · 1-10 to 1-10Feb 27, 2024 to Mar 11, 2025
- Discretionary RAUM · $499M to $568MFeb 27, 2024 to Mar 11, 2025
- HNW RAUM · $338M to $371MFeb 27, 2024 to Mar 11, 2025
- Individual RAUM · $48.5M to $60.5MFeb 27, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $52.0M to $60.6MFeb 27, 2024 to Mar 11, 2025
- Pension RAUM · $22.3M to $25.3MFeb 27, 2024 to Mar 11, 2025
- Pooled vehicle RAUM · $81.3M to $97.7MFeb 27, 2024 to Mar 11, 2025
- RAUM · $551M to $628MFeb 27, 2024 to Mar 11, 2025
- Wrap assets (manager) · $92.6M to $106MFeb 27, 2024 to Mar 11, 2025
- Accounts · 485 to 559Mar 9, 2023 to Feb 27, 2024
- Advisory employees · 5 to 4Mar 9, 2023 to Feb 27, 2024
- Corporate clients · 4 to 3Mar 9, 2023 to Feb 27, 2024
- HNW clients · 87 to 84Mar 9, 2023 to Feb 27, 2024
- Individual clients · 88 to 102Mar 9, 2023 to Feb 27, 2024
- Pension plan clients · 6 to 5Mar 9, 2023 to Feb 27, 2024
- Employees · 7 to 6Mar 9, 2023 to Feb 27, 2024
- State-registered IARs · 5 to 4Mar 9, 2023 to Feb 27, 2024
- Discretionary RAUM · $454M to $499MMar 9, 2023 to Feb 27, 2024
- HNW RAUM · $310M to $338MMar 9, 2023 to Feb 27, 2024
- Individual RAUM · $34.1M to $48.5MMar 9, 2023 to Feb 27, 2024
- Non-discretionary RAUM · $77.0M to $52.0MMar 9, 2023 to Feb 27, 2024
- Pension RAUM · $39.1M to $22.3MMar 9, 2023 to Feb 27, 2024
- Pooled vehicle RAUM · $82.9M to $81.3MMar 9, 2023 to Feb 27, 2024
- RAUM · $531M to $551MMar 9, 2023 to Feb 27, 2024
- Wrap assets (manager) · $77.0M to $92.6MMar 9, 2023 to Feb 27, 2024
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 email
- info@contravisory.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-740-1786reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/CONTRAVISORY-INVESTMENT-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- CONTRAVISORY.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 781-740-1786reportedpublic record, Form ADV, May 11, 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
- $140Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026