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
A••••••• I••••••••• S••••••• I••
Latest filing Mar 31, 2026
First filing on the tape Mar 27, 2012 · 30 filings
SEC status approved since Feb 5, 1979
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
63%
$671M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$179M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2026
Mar 27, 2012$521M then
HNW client RAUM$573M as of Mar 31, 2026
Apr 3, 2018$557M then
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Mar 27, 20120 then
Employees (5.A)10 as of Mar 31, 2026
Mar 13, 20138 then
Private funds: no history
RAUM -17% over the last fiscal year-3.8% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Mar 31, 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
- $179MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $952,913derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -22%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $202M, 88 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$573M53%
- Charitable organizations$273M25%
- Corporations and businesses$122M11%
- Individuals$98.3M9.2%
- Pension and profit-sharing plans$7.0M0.6%
- Individual clients
- 202reported
- HNW clients
- 157reported
- Pension plan clients
- n/areported
- Charitable clients
- 13reported
- Accounts
- 1,126reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $202M for 88 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.63 fund_share=0.0 institutional_share=0.26 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• L••• B••••Chartered Financial Consultant | Great Barrington, Ma | Aug 19, 2004 | 32 y | 0 |
| A• M•••••••• W••••••••• W••••••• | Great Barrington, Ma | Nov 28, 2005 | 22 y | 0 |
| M•••••• J••• S•••••• | Great Barrington, Ma | Jul 26, 2006 | 29 y | 0 |
| C•••••• D••••• M••••• | Great Barrington, Ma | Nov 14, 2007 | 22 y | 2 |
| D•••• F•••••• S•• P••••Chartered Financial Analyst | Great Barrington, Ma | Feb 18, 2010 | 21 y | 0 |
| M•••••• L•••• B••••••Certified Financial Planner | Malta, Ny | May 1, 2025 | 16 y | 2 |
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 headcount2 left over 36 months
Left, latest
- S••• L••••••• H•••••• to A••••• W•••••Apr 21, 2025 · RIA to RIA
- L••• F•••••• D•••••• to T••••••• W•••••Aug 6, 2024 · RIA to RIA
- B•••• E••••• S•••••• to B•••Jul 6, 2022 · RIA to RIA
- R•••••• A•••••• S••••• to A•• I••••••••• P••••••• • M••••••••• I••Dec 2, 2009 · Other
Joined, latest
- M•••••• L•••• B•••••• from C••••• I••••••••• A••••••• L••May 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- C•••••• D••••• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 14, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••• L••• · President & Ceocontrolsince 01/2000 · owns less than 5%
- B•••••••• R••• E•••• · Directorcontrolsince 07/2012 · owns less than 5%
- F••••••• N••••• · Director & Chairmancontrolsince 10/2014 · owns less than 5%
- H•••••• N•••• D•••••• · Directorcontrolsince 10/2011 · owns less than 5%
- L•••••••• J••••• C•••••• · Directorcontrolsince 12/2023 · owns less than 5%
- M•••••• C••••••• D••••• · Treasurercontrolsince 12/2009 · owns less than 5%
- S•• P••••• D••••• F•••••• · Secretarycontrolsince 02/2010 · owns less than 5%
- S•••••• T•••••• R•• · Chief Operating Officercontrolsince 12/2023 · owns less than 5%
- P••••••••• S••••• · Chief Compliance Officersince 08/2017 · owns less than 5%
Entity owners
- A••••••• I•••••••• F•• E••••••• · Parentdirect · owns 75% or more
- A••••••• I•••••••• F•• E••••••• R••••••• · Parent Organizationdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Great Barrington, Ma · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 31, 2026S•• P••••• D••••• F•••••• (SECRETARY) left Schedule A between the filings of 2024-03-29 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-31, yes on the filing of 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,421 to 1,126Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 6 to 5Mar 31, 2025 to Mar 31, 2026
- Charity clients · 11 to 13Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 5 to 6Mar 31, 2025 to Mar 31, 2026
- HNW clients · 194 to 157Mar 31, 2025 to Mar 31, 2026
- Individual clients · 268 to 202Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $289M to $202MMar 31, 2025 to Mar 31, 2026
- Custody of client assets · false to trueMar 31, 2025 to Mar 31, 2026
- State-registered IARs · 6 to 5Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.3B to $1.1BMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $826M to $573MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $121M to $98.3MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $5.9M to $7.0MMar 31, 2025 to Mar 31, 2026
- RAUM · $1.3B to $1.1BMar 31, 2025 to Mar 31, 2026
- Accounts · 1,473 to 1,421Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 7 to 6Mar 29, 2024 to Mar 31, 2025
- Advisory activities · 5 to 3Mar 29, 2024 to Mar 31, 2025
- Charity clients · 10 to 11Mar 29, 2024 to Mar 31, 2025
- HNW clients · 207 to 194Mar 29, 2024 to Mar 31, 2025
- Individual clients · 277 to 268Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $279M to $289MMar 29, 2024 to Mar 31, 2025
- Employees · 11 to 10Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- State-registered IARs · 7 to 6Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.2B to $1.3BMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $793M to $826MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $121M to $121MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $5.4M to $5.9MMar 29, 2024 to Mar 31, 2025
- RAUM · $1.2B to $1.3BMar 29, 2024 to Mar 31, 2025
- Accounts · 1,492 to 1,473Mar 31, 2023 to Mar 29, 2024
- Charity clients · 15 to 10Mar 31, 2023 to Mar 29, 2024
- HNW clients · 175 to 207Mar 31, 2023 to Mar 29, 2024
- Individual clients · 310 to 277Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $297M to $279MMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.2B to $1.2BMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $754M to $793MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $141M to $121MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $4.8M to $5.4MMar 31, 2023 to Mar 29, 2024
- RAUM · $1.2B to $1.2BMar 31, 2023 to Mar 29, 2024
- Accounts · 1,687 to 1,492Mar 30, 2022 to Mar 31, 2023
Signals
12 dated events
- S••• L••••••• H•••••• left A••••••• I••••••••• S••••••• I•• for A••••• W••••• (registered 2025-04-23)Apr 21, 2025 · Advisor changed firm · fact
- L••• F•••••• D•••••• left A••••••• I••••••••• S••••••• I•• for T••••••• W••••• (registered 2024-08-06)Aug 6, 2024 · Advisor changed firm · fact
- C•••••• J•••• L••••••• (Director) appeared on Schedule A of A••••••• I••••••••• S••••••• I••Mar 29, 2024 · Control person joined · fact
- Rae T••••• S••••• (Chief Operating Officer) appeared on Schedule A of A••••••• I••••••••• S••••••• I••Mar 29, 2024 · Control person joined · fact
- Edwin Gerald Sohan (Director) no longer on Schedule A of A••••••• I••••••••• S••••••• I•• (listed 2023-03-31, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- B•••• E••••• S•••••• left A••••••• I••••••••• S••••••• I•• for Bcas (registered 2023-04-07)Jul 6, 2022 · Advisor changed firm · fact
- Lawrence Seth Hoffman (Executive Vice President) no longer on Schedule A of A••••••• I••••••••• S••••••• I•• (listed 2021-07-01, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Paul Howard Kent (Director) no longer on Schedule A of A••••••• I••••••••• S••••••• I•• (listed 2021-07-01, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Paul Howard Kent (Director) appeared on Schedule A of A••••••• I••••••••• S••••••• I••Mar 31, 2021 · Control person joined · fact
- John Michael Rizzo (Director) no longer on Schedule A of A••••••• I••••••••• S••••••• I•• (listed 2020-04-01, absent 2020-06-30)Jun 30, 2020 · Control person left · inference
- John Michael Rizzo (Director) appeared on Schedule A of A••••••• I••••••••• S••••••• I••Apr 1, 2020 · Control person joined · fact
- J•••• John Finnerty (Director) no longer on Schedule A of A••••••• I••••••••• S••••••• I•• (listed 2019-03-30, absent 2020-04-01)Apr 1, 2020 · Control person left · inference
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
- aisinfo@americaninvestment.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 413-591-4445reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 413-645-3255reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 413-591-4445reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- americaninvestment.com/contactreportedpublished 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
- $179Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026