DFX Intelligence
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L••• L••••• I••••••••• S•••••••• L••
Independent wealth manager, based in Osterville, Massachusetts, reporting $337M 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
- $337M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +8.6%
- Private clients
- 99% of RAUM, $336M
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 7
Every filed figure, and the identifiersCRD 109927 · SEC 801-43403 · 19 filingsShowHide
CRD 109927SEC 801-43403First filing on the tape Mar 30, 2012, latest Mar 27, 2026SEC status approved since Mar 12, 1993IAPD
RAUM
$337M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
99%
$336M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$337M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$337M as of Mar 27, 2026
Mar 30, 2012$97.3M then
HNW client RAUM$294M as of Mar 27, 2026
Mar 29, 2018$109M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Mar 30, 20120 then
Employees (5.A)3 as of Mar 27, 2026
Apr 1, 20134 then
Private funds: no history
RAUM +8.6% over the last fiscal year+8.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 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
- $337MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 270derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $705,753derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 0.4%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
- +8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.8%derived
- Compensation
- percentage of assets, hourly, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$294M87%
- Individuals$42.0M12%
- Charitable organizations$1.2M0.4%
- Corporations and businesses$519,4350.2%
- Individual clients
- 159reported
- HNW clients
- 111reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 478reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 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 |
|---|---|---|---|---|
| C•••• A•• C••••• | Osterville, Ma | Oct 7, 2013 | 23 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
- C•••• A•• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 7, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• J•••• M•••••• · Partnercontrolsince 04/1995 · owns 25% to 50%
- L•••• G•••••••• F• · Partner,Chief Compliance Officercontrolsince 06/1993 · owns 50% to 75%
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 · 472 to 478Mar 27, 2025 to Mar 27, 2026
- Charity clients · 6 to 3Mar 27, 2025 to Mar 27, 2026
- Corporate clients · 2 to 3Mar 27, 2025 to Mar 27, 2026
- HNW clients · 106 to 111Mar 27, 2025 to Mar 27, 2026
- Individual clients · 140 to 159Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $258M to $294MMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $266M to $294MMar 27, 2025 to Mar 27, 2026
- Individual RAUM · $39.6M to $42.0MMar 27, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $52.9M to $43.2MMar 27, 2025 to Mar 27, 2026
- RAUM · $311M to $337MMar 27, 2025 to Mar 27, 2026
- Accounts · 460 to 472Mar 22, 2024 to Mar 27, 2025
- HNW clients · 92 to 106Mar 22, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Mar 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $265M to $258MMar 22, 2024 to Mar 27, 2025
- HNW RAUM · $249M to $266MMar 22, 2024 to Mar 27, 2025
- Individual RAUM · $40.8M to $39.6MMar 22, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $28.1M to $52.9MMar 22, 2024 to Mar 27, 2025
- RAUM · $293M to $311MMar 22, 2024 to Mar 27, 2025
- Accounts · 432 to 460Mar 31, 2023 to Mar 22, 2024
- Advisory activities · 3 to 2Mar 31, 2023 to Mar 22, 2024
- Corporate clients · unset to 2.0Mar 31, 2023 to Mar 22, 2024
- HNW clients · 87 to 92Mar 31, 2023 to Mar 22, 2024
- Individual clients · 143 to 140Mar 31, 2023 to Mar 22, 2024
- Discretionary RAUM · $213M to $265MMar 31, 2023 to Mar 22, 2024
- HNW RAUM · $227M to $249MMar 31, 2023 to Mar 22, 2024
- Individual RAUM · $36.5M to $40.8MMar 31, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $52.8M to $28.1MMar 31, 2023 to Mar 22, 2024
- RAUM · $265M to $293MMar 31, 2023 to Mar 22, 2024
- Accounts · 350 to 432Sep 19, 2022 to Mar 31, 2023
- Charity clients · 7 to 6Sep 19, 2022 to Mar 31, 2023
- HNW clients · 79 to 87Sep 19, 2022 to Mar 31, 2023
- Individual clients · 151 to 143Sep 19, 2022 to Mar 31, 2023
- Discretionary RAUM · $196M to $213MSep 19, 2022 to Mar 31, 2023
- HNW RAUM · $190M to $227MSep 19, 2022 to Mar 31, 2023
- Individual RAUM · $41.8M to $36.5MSep 19, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $37.9M to $52.8MSep 19, 2022 to Mar 31, 2023
- RAUM · $234M to $265MSep 19, 2022 to Mar 31, 2023
- Accounts · 343 to 350Feb 17, 2021 to Mar 16, 2022
- Charity clients · 8 to 7Feb 17, 2021 to Mar 16, 2022
- HNW clients · 63 to 79Feb 17, 2021 to Mar 16, 2022
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
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- ••• 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
- $337Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026