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
R••••• A• Z••• • C•••••••
Legal name Z••• R••••• A• • C• I••
Latest filing Mar 31, 2026
First filing on the tape Mar 23, 2012 · 20 filings
SEC status approved since Sep 10, 1976
RAUM
$175M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$148M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$87.5M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$175M as of Mar 31, 2026
Mar 23, 2012$101M then
HNW client RAUM$143M as of Mar 31, 2026
Mar 30, 2018$93.7M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 23, 20120 then
Employees (5.A)1 as of Mar 31, 2026
Mar 27, 20132 then
Private funds: no history
RAUM +13% over the last fiscal year+7.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $87.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.2%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $153M, 93 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)
- 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$143M82%
- Charitable organizations$26.6M15%
- Individuals$5.6M3.2%
- Individual clients
- 10reported
- HNW clients
- 86reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 100reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $153M for 93 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• A•••••• Z••• J•• | Boston, Ma | Jul 3, 1997 | 36 y | 0 |
| M•••••• A•• Z••• | Boston, Ma | Nov 27, 2001 | n/a | 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
- Z••• J••• R•••••• A•••••• · President/Chief Compliance Officercontrolsince 01/2002 · owns 75% or more
- Z•••• M••••••• A•• · Directorsince 06/1976 · owns 5% to 10%
Entity owners
- R••••• A• Z••• 1••• F••••• T•••• · Ownerdirect · owns 5% to 10%
- Z•••• M••••••• A••• Z•••• R•••••• A••••••• J••• Z•••• M•••••••• T•••••• · Trustees/Shareholdersindirect · owns F of R••••• A• Z••• 1••• F••••• T••••
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 |
|---|---|---|---|---|---|
| Boston, Ma | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 98 to 100Mar 31, 2025 to Mar 31, 2026
- HNW clients · 83 to 86Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $140M to $153MMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $155M to $175MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $126M to $143MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $5.2M to $5.6MMar 31, 2025 to Mar 31, 2026
- RAUM · $155M to $175MMar 31, 2025 to Mar 31, 2026
- HNW clients · 82 to 83Aug 2, 2024 to Mar 31, 2025
- Assets in custody · $131M to $140MAug 2, 2024 to Mar 31, 2025
- Financial planning clients · unset to Aug 2, 2024 to Mar 31, 2025
- Discretionary RAUM · $145M to $155MAug 2, 2024 to Mar 31, 2025
- HNW RAUM · $119M to $126MAug 2, 2024 to Mar 31, 2025
- Individual RAUM · $4.9M to $5.2MAug 2, 2024 to Mar 31, 2025
- RAUM · $145M to $155MAug 2, 2024 to Mar 31, 2025
- Accounts · 105 to 98Mar 28, 2023 to Mar 28, 2024
- Advisory employees · 2 to 1Mar 28, 2023 to Mar 28, 2024
- HNW clients · 85 to 82Mar 28, 2023 to Mar 28, 2024
- Individual clients · 16 to 10Mar 28, 2023 to Mar 28, 2024
- Assets in custody · $127M to $131MMar 28, 2023 to Mar 28, 2024
- Employees · 2 to 1Mar 28, 2023 to Mar 28, 2024
- State-registered IARs · 2 to 1Mar 28, 2023 to Mar 28, 2024
- Other offices · 2 to 0Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $139M to $145MMar 28, 2023 to Mar 28, 2024
- HNW RAUM · $113M to $119MMar 28, 2023 to Mar 28, 2024
- Individual RAUM · $6.3M to $4.9MMar 28, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $1.3M to $0Mar 28, 2023 to Mar 28, 2024
- RAUM · $140M to $145MMar 28, 2023 to Mar 28, 2024
- Accounts · 104 to 105Mar 30, 2022 to Mar 28, 2023
- HNW clients · 82 to 85Mar 30, 2022 to Mar 28, 2023
- Individual clients · 18 to 16Mar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $142M to $139MMar 30, 2022 to Mar 28, 2023
- HNW RAUM · $112M to $113MMar 30, 2022 to Mar 28, 2023
- Individual RAUM · $6.6M to $6.3MMar 30, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $692,909 to $1.3MMar 30, 2022 to Mar 28, 2023
- RAUM · $143M to $140MMar 30, 2022 to Mar 28, 2023
- Assets in custody · $133M to $127MMar 28, 2023 to Mar 28, 2023
- Accounts · 109 to 104Mar 30, 2021 to Mar 30, 2022
- HNW clients · 83 to 82Mar 30, 2021 to Mar 30, 2022
- Individual clients · 21 to 18Mar 30, 2021 to Mar 30, 2022
- Assets in custody · $124M to $133MMar 30, 2021 to Mar 30, 2022
Signals
1 dated events
- Anthony Robert Zock (Assistant Treasurer) no longer on Schedule A of R••••• A• Z••• • C••••••• (listed 2023-03-28, absent 2024-03-28)Mar 28, 2024 · 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
- 603-456-3106reportedpublic record, Form ADV, Mar 31, 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
- $87.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026