DFX Intelligence
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S••••••••• M•••• S••••••••• I••
Independent wealth manager, based in Fall River, Massachusetts, reporting $227M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $227M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +14%
- Private clients
- 100% of RAUM, $227M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 4
Every filed figure, and the identifiersCRD 109829 · SEC 801-43656 · 23 filingsShowHide
CRD 109829SEC 801-43656First filing on the tape Mar 15, 2012, latest Mar 10, 2026SEC status approved since Apr 12, 1993IAPD
RAUM
$227M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$227M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$227M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$227M as of Mar 10, 2026
Mar 15, 2012$101M then
HNW client RAUM$138M as of Mar 10, 2026
Feb 28, 2018$55.8M then
State-registered IARs (5.B.3)1 as of Mar 10, 2026
Mar 15, 20120 then
Employees (5.A)3 as of Mar 10, 2026
Feb 15, 20132 then
Private funds: no history
RAUM +14% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 10, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $227MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 273derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $287,112derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$138M61%
- Individuals$89.2M39%
- Individual clients
- 201reported
- HNW clients
- 72reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 791reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| D••••• J••• O••••••Certified Financial Planner | Fall River, Ma | Oct 29, 2004 | 34 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••• D•••••• J••• · President And Chief Compliance Officercontrolsince 03/1993 · 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 · 725 to 791Jan 29, 2025 to Mar 10, 2026
- HNW clients · 67 to 72Jan 29, 2025 to Mar 10, 2026
- Individual clients · 185 to 201Jan 29, 2025 to Mar 10, 2026
- Discretionary RAUM · $199M to $227MJan 29, 2025 to Mar 10, 2026
- HNW RAUM · $118M to $138MJan 29, 2025 to Mar 10, 2026
- Individual RAUM · $80.8M to $89.2MJan 29, 2025 to Mar 10, 2026
- RAUM · $199M to $227MJan 29, 2025 to Mar 10, 2026
- Accounts · 695 to 725Aug 21, 2024 to Jan 29, 2025
- HNW clients · 54 to 67Aug 21, 2024 to Jan 29, 2025
- Individual clients · 191 to 185Aug 21, 2024 to Jan 29, 2025
- Financial planning clients · 101-250 to 101-250Aug 21, 2024 to Jan 29, 2025
- Discretionary RAUM · $175M to $199MAug 21, 2024 to Jan 29, 2025
- HNW RAUM · $94.3M to $118MAug 21, 2024 to Jan 29, 2025
- Individual RAUM · $80.7M to $80.8MAug 21, 2024 to Jan 29, 2025
- RAUM · $175M to $199MAug 21, 2024 to Jan 29, 2025
- Accounts · 675 to 695Oct 25, 2023 to Feb 1, 2024
- HNW clients · 48 to 54Oct 25, 2023 to Feb 1, 2024
- Individual clients · 183 to 191Oct 25, 2023 to Feb 1, 2024
- Discretionary RAUM · $161M to $175MOct 25, 2023 to Feb 1, 2024
- HNW RAUM · $85.7M to $94.3MOct 25, 2023 to Feb 1, 2024
- Individual RAUM · $75.7M to $80.7MOct 25, 2023 to Feb 1, 2024
- RAUM · $161M to $175MOct 25, 2023 to Feb 1, 2024
- Accounts · 656 to 675Mar 25, 2022 to Mar 1, 2023
- HNW clients · 44 to 48Mar 25, 2022 to Mar 1, 2023
- Individual clients · 198 to 183Mar 25, 2022 to Mar 1, 2023
- State-registered IARs · 0 to 1Mar 25, 2022 to Mar 1, 2023
- Discretionary RAUM · $186M to $161MMar 25, 2022 to Mar 1, 2023
- HNW RAUM · $78.9M to $85.7MMar 25, 2022 to Mar 1, 2023
- Individual RAUM · $107M to $75.7MMar 25, 2022 to Mar 1, 2023
- RAUM · $186M to $161MMar 25, 2022 to Mar 1, 2023
- Accounts · 607 to 656Nov 4, 2021 to Feb 9, 2022
- HNW clients · 53 to 44Nov 4, 2021 to Feb 9, 2022
- Individual clients · 178 to 198Nov 4, 2021 to Feb 9, 2022
- Employees · 2 to 3Nov 4, 2021 to Feb 9, 2022
- State-registered IARs · 1 to 0Nov 4, 2021 to Feb 9, 2022
- Discretionary RAUM · $162M to $186MNov 4, 2021 to Feb 9, 2022
- HNW RAUM · $83.6M to $78.9MNov 4, 2021 to Feb 9, 2022
- Individual RAUM · $78.3M to $107MNov 4, 2021 to Feb 9, 2022
- RAUM · $162M to $186MNov 4, 2021 to Feb 9, 2022
- Accounts · 610 to 607Jun 10, 2020 to Feb 11, 2021
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
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 10, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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
- $227Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026