DFX Intelligence
RIA Intelligence
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SEC-registered adviser
F•••••••• S•••••••• A•••••••••
Legal name S••••••••• I••••••••• S••••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Dec 23, 2011 · 12 filings
SEC status approved since Apr 23, 2021
RAUM
$153M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$153M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$153M
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
12 filings and snapshots on the tape
RAUM$153M as of Mar 3, 2026
Mar 1, 2012$74.6M then
HNW client RAUM$114M as of Mar 3, 2026
Mar 16, 2022$104M then
State-registered IARs (5.B.3)1 as of Mar 3, 2026
Mar 1, 20120 then
Employees (5.A)1 as of Mar 3, 2026
Mar 16, 20221 then
Private funds: no history
RAUM +12% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 3, 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
- $153MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 174derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $878,941derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $42.3M, 96 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$114M75%
- Individuals$38.5M25%
- Individual clients
- 109reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 174reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $42.3M for 96 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| A•••••••• E••• B••••Certified Financial Planner | Dedham, Ma | Apr 25, 2011 | 15 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
- B••••• A••••••••• E••• · Managing Member And Chief Compliance Officercontrolsince 11/2012 · owns less than 5%
- B••••• A••••••••• E••• · Trusteecontrolsince 07/2023 · owns F of A•••••••• E• B•••• F••••• T••••
Entity owners
- A•••••••• E• B•••• F••••• T•••• · Memberdirect · 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 · 158 to 174Mar 5, 2025 to Mar 3, 2026
- HNW clients · 61 to 65Mar 5, 2025 to Mar 3, 2026
- Individual clients · 97 to 109Mar 5, 2025 to Mar 3, 2026
- Assets in custody · $41.2M to $42.3MMar 5, 2025 to Mar 3, 2026
- Discretionary RAUM · $136M to $153MMar 5, 2025 to Mar 3, 2026
- HNW RAUM · $97.9M to $114MMar 5, 2025 to Mar 3, 2026
- Individual RAUM · $38.1M to $38.5MMar 5, 2025 to Mar 3, 2026
- RAUM · $136M to $153MMar 5, 2025 to Mar 3, 2026
- Accounts · 154 to 158Mar 22, 2024 to Mar 5, 2025
- Individual clients · 93 to 97Mar 22, 2024 to Mar 5, 2025
- Assets in custody · $36.2M to $41.2MMar 22, 2024 to Mar 5, 2025
- Financial planning clients · 0 to 1-10Mar 22, 2024 to Mar 5, 2025
- Discretionary RAUM · $126M to $136MMar 22, 2024 to Mar 5, 2025
- HNW RAUM · $91.6M to $97.9MMar 22, 2024 to Mar 5, 2025
- Individual RAUM · $34.6M to $38.1MMar 22, 2024 to Mar 5, 2025
- RAUM · $126M to $136MMar 22, 2024 to Mar 5, 2025
- Accounts · 155 to 154Mar 22, 2023 to Mar 22, 2024
- HNW clients · 60 to 61Mar 22, 2023 to Mar 22, 2024
- Individual clients · 95 to 93Mar 22, 2023 to Mar 22, 2024
- Assets in custody · $33.1M to $36.2MMar 22, 2023 to Mar 22, 2024
- Discretionary RAUM · $112M to $126MMar 22, 2023 to Mar 22, 2024
- HNW RAUM · $81.6M to $91.6MMar 22, 2023 to Mar 22, 2024
- Individual RAUM · $30.8M to $34.6MMar 22, 2023 to Mar 22, 2024
- RAUM · $112M to $126MMar 22, 2023 to Mar 22, 2024
- Accounts · 151 to 155Mar 16, 2022 to Mar 22, 2023
- Individual clients · 91 to 95Mar 16, 2022 to Mar 22, 2023
- Assets in custody · $34.6M to $33.1MMar 16, 2022 to Mar 22, 2023
- Discretionary RAUM · $131M to $112MMar 16, 2022 to Mar 22, 2023
- HNW RAUM · $104M to $81.6MMar 16, 2022 to Mar 22, 2023
- Individual RAUM · $27.0M to $30.8MMar 16, 2022 to Mar 22, 2023
- RAUM · $131M to $112MMar 16, 2022 to Mar 22, 2023
- Accounts · 148 to 151Mar 24, 2021 to Mar 16, 2022
- HNW clients · 52 to 60Mar 24, 2021 to Mar 16, 2022
- Individual clients · 96 to 91Mar 24, 2021 to Mar 16, 2022
- Assets in custody · $87.4M to $34.6MMar 24, 2021 to Mar 16, 2022
- Financial planning clients · 101-250 to 0Mar 24, 2021 to Mar 16, 2022
- Discretionary RAUM · $113M to $131MMar 24, 2021 to Mar 16, 2022
- HNW RAUM · $84.9M to $104MMar 24, 2021 to Mar 16, 2022
- Individual RAUM · $28.4M to $27.0MMar 24, 2021 to Mar 16, 2022
- RAUM · $113M to $131MMar 24, 2021 to Mar 16, 2022
Signals
5 dated events
- F•••••••• S•••••••• A••••••••• filed its initial SEC registration (Form ADV)Mar 24, 2021 · First SEC registration · fact
- Stern Mark Podolsky (Chief Compliance Officer) no longer on Schedule A of F•••••••• S•••••••• A••••••••• (listed 2012-04-27, absent 2021-03-24)Mar 24, 2021 · Control person left · inference
- Poole Candace Podolsky (Trustee) no longer on Schedule A of F•••••••• S•••••••• A••••••••• (listed 2012-04-27, absent 2021-03-24)Mar 24, 2021 · Control person left · inference
- Evan Alexander Burke (Managing Member And Chief Compliance Officer) appeared on Schedule A of F•••••••• S•••••••• A•••••••••Mar 24, 2021 · Control person joined · fact
- F•••••••• S•••••••• A••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 23, 2011 · Succession (Item 4) · fact
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
- Website
- FINANCIALS••••••••.NETreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 781-251-0505reportedpublic record, Form ADV, Mar 3, 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
- $153Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026