DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

A•••••• M••••••••• L••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $106M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-02-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $106M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +6.7%
Private clients: 76%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-02-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Feb 2026, RAUM $99.5M to $106M (+6.7%) on the Form ADV filed 27 Feb 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 110303 · SEC 801-3548 · 26 filingsShow

CRD 110303SEC 801-3548First filing on the tape Mar 29, 2012, latest Feb 27, 2026SEC status approved since Aug 15, 1975IAPD

RAUM

$106M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

76%

$80.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$106M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM +4.8% a year over three years · the tape starts Mar 29, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$106M as of Feb 27, 2026

Mar 29, 2012$133M then

HNW client RAUM$78.8M as of Feb 27, 2026

Mar 30, 2018$109M then

State-registered IARs (5.B.3)1 as of Feb 27, 2026

Mar 29, 20120 then

Employees (5.A)2 as of Feb 27, 2026

Mar 28, 20134 then

Private funds: no history

RAUM +6.7% over the last fiscal year+4.8% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Feb 27, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $106MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.6MderivedHNW RAUM over HNW clients
Average account: $4.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +6.7%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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

74% high-net-worth individuals, 19% charitable organizations, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$78.8M74%
Charitable organizations$19.8M19%
Corporations and businesses$6.0M5.7%
Individuals$1.6M1.5%

Individual clients: n/areported
HNW clients: 17reported
Pension plan clients: 0reported
Charitable clients: n/areported
Accounts: 25reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 76% private clients, 0% pooled funds, 19% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
C••••••••• A••••• D• R•••••	Hingham, Ma	Jul 18, 2006	34 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D• R•••••• C••••••••• A••••• · Member And Chief Compliance Officercontrol
since 04/2001 · owns 50% to 75%
A•••• E•••••••• · Membercontrol
since 04/2001 · owns 25% to 50% of A•••••• M••••••••• H•••••••• L••
D• R•••••• C••••••••• A••••• · Member And Chief Compliance Officercontrol
since 04/2001 · owns 50% to 75% of A•••••• M••••••••• H•••••••• L••

Entity owners

A•••••• M••••••••• H•••••••• L•• · Member
direct · owns 50% to 75%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Hingham, MA1 employee

What changed

consecutive filings, newest first

Individual clients · 4.0 to unset
Feb 27, 2025 to Feb 27, 2026
Discretionary RAUM · $99.5M to $106M
Feb 27, 2025 to Feb 27, 2026
HNW RAUM · $72.0M to $78.8M
Feb 27, 2025 to Feb 27, 2026
Individual RAUM · $1.6M to $1.6M
Feb 27, 2025 to Feb 27, 2026
RAUM · $99.5M to $106M
Feb 27, 2025 to Feb 27, 2026

Full history · 80 changes

Accounts · 29 to 25
Aug 22, 2024 to Feb 27, 2025
HNW clients · 20 to 17
Aug 22, 2024 to Feb 27, 2025
Individual clients · 5 to 4
Aug 22, 2024 to Feb 27, 2025
Financial planning clients · unset to
Aug 22, 2024 to Feb 27, 2025
HQ city · unset to
Aug 22, 2024 to Feb 27, 2025
HQ state · unset to
Aug 22, 2024 to Feb 27, 2025
Discretionary RAUM · $98.5M to $99.5M
Aug 22, 2024 to Feb 27, 2025
HNW RAUM · $72.2M to $72.0M
Aug 22, 2024 to Feb 27, 2025
Individual RAUM · $1.7M to $1.6M
Aug 22, 2024 to Feb 27, 2025
RAUM · $98.5M to $99.5M
Aug 22, 2024 to Feb 27, 2025
Accounts · 33 to 29
Mar 3, 2023 to Feb 23, 2024
Individual clients · 9 to 5
Mar 3, 2023 to Feb 23, 2024
Discretionary RAUM · $92.3M to $98.5M
Mar 3, 2023 to Feb 23, 2024
HNW RAUM · $65.7M to $72.2M
Mar 3, 2023 to Feb 23, 2024
Individual RAUM · $4.3M to $1.7M
Mar 3, 2023 to Feb 23, 2024
RAUM · $92.3M to $98.5M
Mar 3, 2023 to Feb 23, 2024
Accounts · 36 to 33
Mar 27, 2022 to Mar 3, 2023
HNW clients · 23 to 20
Mar 27, 2022 to Mar 3, 2023
Individual clients · 7 to 9
Mar 27, 2022 to Mar 3, 2023
State-registered IARs · 0 to 1
Mar 27, 2022 to Mar 3, 2023
Discretionary RAUM · $128M to $92.3M
Mar 27, 2022 to Mar 3, 2023
HNW RAUM · $81.0M to $65.7M
Mar 27, 2022 to Mar 3, 2023
Individual RAUM · $3.2M to $4.3M
Mar 27, 2022 to Mar 3, 2023
RAUM · $128M to $92.3M
Mar 27, 2022 to Mar 3, 2023
Accounts · 34 to 36
Mar 24, 2021 to Mar 27, 2022
Charity clients · 4.0 to unset
Mar 24, 2021 to Mar 27, 2022
HNW clients · 18 to 23
Mar 24, 2021 to Mar 27, 2022
Individual clients · 11 to 7
Mar 24, 2021 to Mar 27, 2022
Discretionary RAUM · $94.6M to $128M
Mar 24, 2021 to Mar 27, 2022
HNW RAUM · $57.4M to $81.0M
Mar 24, 2021 to Mar 27, 2022
Individual RAUM · $4.3M to $3.2M
Mar 24, 2021 to Mar 27, 2022
RAUM · $94.6M to $128M
Mar 24, 2021 to Mar 27, 2022
Accounts · 38 to 34
Aug 27, 2020 to Mar 24, 2021
Charity clients · 5 to 4
Aug 27, 2020 to Mar 24, 2021
HNW clients · 22 to 18
Aug 27, 2020 to Mar 24, 2021
Individual clients · 10 to 11
Aug 27, 2020 to Mar 24, 2021
Discretionary RAUM · $112M to $94.6M
Aug 27, 2020 to Mar 24, 2021
HNW RAUM · $76.3M to $57.4M
Aug 27, 2020 to Mar 24, 2021
Individual RAUM · $3.7M to $4.3M
Aug 27, 2020 to Mar 24, 2021
RAUM · $112M to $94.6M
Aug 27, 2020 to Mar 24, 2021
HQ city · BOSTON to unset
May 26, 2020 to Aug 27, 2020
HQ state · MA to unset
May 26, 2020 to Aug 27, 2020
Other offices · 0 to 1
May 26, 2020 to Aug 27, 2020
Accounts · 40 to 38
Oct 21, 2019 to Mar 29, 2020
Corporate clients · 1.0 to unset
Oct 21, 2019 to Mar 29, 2020
Individual clients · 12 to 10
Oct 21, 2019 to Mar 29, 2020
Discretionary RAUM · $108M to $112M
Oct 21, 2019 to Mar 29, 2020
HNW RAUM · $72.8M to $76.3M
Oct 21, 2019 to Mar 29, 2020
Individual RAUM · $5.5M to $3.7M
Oct 21, 2019 to Mar 29, 2020
RAUM · $108M to $112M
Oct 21, 2019 to Mar 29, 2020
Accounts · 42 to 40
Sep 4, 2019 to Oct 21, 2019
HNW clients · 23 to 22
Sep 4, 2019 to Oct 21, 2019
Individual clients · 13 to 12
Sep 4, 2019 to Oct 21, 2019
Discretionary RAUM · $136M to $108M
Sep 4, 2019 to Oct 21, 2019
HNW RAUM · $104M to $72.8M
Sep 4, 2019 to Oct 21, 2019
Individual RAUM · $6.0M to $5.5M
Sep 4, 2019 to Oct 21, 2019
RAUM · $136M to $108M
Sep 4, 2019 to Oct 21, 2019
Charity clients · 4 to 5
Dec 12, 2018 to Mar 28, 2019
HNW clients · 21 to 23
Dec 12, 2018 to Mar 28, 2019
Individual clients · 16 to 13
Dec 12, 2018 to Mar 28, 2019
Discretionary RAUM · $142M to $136M
Dec 12, 2018 to Mar 28, 2019
HNW RAUM · $112M to $104M
Dec 12, 2018 to Mar 28, 2019
Individual RAUM · $8.7M to $6.0M
Dec 12, 2018 to Mar 28, 2019
RAUM · $142M to $136M
Dec 12, 2018 to Mar 28, 2019
Accounts · 43 to 42
Mar 30, 2018 to Dec 12, 2018
Advisory employees · 2 to 1
Mar 30, 2018 to Dec 12, 2018
Charity clients · 6 to 4
Mar 30, 2018 to Dec 12, 2018
HNW clients · 22 to 21
Mar 30, 2018 to Dec 12, 2018
Individual clients · 14 to 16
Mar 30, 2018 to Dec 12, 2018
Employees · 4 to 2
Mar 30, 2018 to Dec 12, 2018
Discretionary RAUM · $147M to $142M
Mar 30, 2018 to Dec 12, 2018
HNW RAUM · $109M to $112M
Mar 30, 2018 to Dec 12, 2018
Individual RAUM · $6.9M to $8.7M
Mar 30, 2018 to Dec 12, 2018
RAUM · $147M to $142M
Mar 30, 2018 to Dec 12, 2018
Charity clients · unset to 6.0
Jul 17, 2017 to Mar 30, 2018

Signals

2 dated events

••• Locked
Mar 29, 2020 · Control person joined · fact
••• Locked
Mar 28, 2019 · 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 27, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $106Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026