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.
Former SEC-registered adviser
Boston Asset Management, Inc.
Latest filing Dec 19, 2024
First filing on the tape Mar 30, 2012 · 13 filings
SEC status approved since Mar 31, 2022
RAUM
$104M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$104M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$104M as of Mar 28, 2024
Mar 30, 2012$80.5M then
HNW client RAUM$87.8M as of Mar 28, 2024
Mar 29, 2023$84.1M then
State-registered IARs (5.B.3)3 as of Mar 28, 2024
Mar 30, 20120 then
Employees (5.A)4 as of Mar 28, 2024
Mar 29, 20234 then
Private funds: no history
RAUM +7.4% over the last fiscal yearIARs 3 to 3offices 1 to 0
Practice profile
derived from the filing of Dec 19, 2024; every figure names its basis
- RAUM per advisor
- $34.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $222,470derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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$87.8M85%
- Individuals$15.9M15%
- Individual clients
- 52reported
- HNW clients
- 17reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 466reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Mark John Govoni to Empirical Asset Management, LLCApr 11, 2024 · RIA to RIA
- Keith Brown Woomer to FartherFeb 27, 2023 · RIA to RIA
- Keith James Burbank to Capitol Wealth ManagementApr 28, 2017 · Other
- James Gerard Steproe to Capitol Wealth ManagementApr 28, 2017 · Other
- Clayton Jontie Poole to Capitol Wealth ManagementApr 28, 2017 · Other
- Mark Joseph Comire to Waddell & ReedFeb 26, 2016 · Other
- Brian Glas to Noble Family WealthNov 20, 2013 · Other
- Kevin Patrick Mccutcheon to G & O Financial Services, Inc.Jun 12, 2013 · Other
- Andrew Michel Denis to Securities America Advisors, Inc.May 15, 2012 · Other
Joined, latest
- Clayton Jontie Poole from Osaic Institutions, Inc.Aug 21, 2015 · Other
- Andrew Michel Denis from Gator Capital Management, LLCDec 8, 2011 · Other
- Brian Glas from Ameriprise Financial Services, LLCFeb 2, 2011 · Other
- Mark John Govoni from Columbia Management Advisors, Inc.Aug 20, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Capitol Wealth ManagementApr 28, 2017 · Clearwater, Fl · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph Leo Govoni · Chief Executive Officer/Presidentcontrolsince 01/2017 · owns 50% to 75%
- Jason Brett Walrath · Chief Compliance Officercontrolsince 12/2004 · owns 10% to 25%
- Susan Elizabeth Sauer · Shareholdersince 12/2003 · owns 10% to 25%
Related persons
Schedule D 7.A
- The Colby Company, LLC, A Florida Limited Liability Companyreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Warner, Nh | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 1 to 0Mar 28, 2024 to Apr 16, 2024
- Accounts · 437 to 466Mar 29, 2023 to Mar 28, 2024
- Individual clients · 50 to 52Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $96.5M to $104MMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $84.1M to $87.8MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $12.4M to $15.9MMar 29, 2023 to Mar 28, 2024
- RAUM · $96.5M to $104MMar 29, 2023 to Mar 28, 2024
- Accounts · 420 to 437Mar 1, 2022 to Mar 29, 2023
- Advisory employees · 4 to 3Mar 1, 2022 to Mar 29, 2023
- Corporate clients · unset to 0.0Mar 1, 2022 to Mar 29, 2023
- HNW clients · 18 to 17Mar 1, 2022 to Mar 29, 2023
- Individual clients · 45 to 50Mar 1, 2022 to Mar 29, 2023
- Pension plan clients · unset to 0.0Mar 1, 2022 to Mar 29, 2023
- Assets in custody · 80920697.0 to unsetMar 1, 2022 to Mar 29, 2023
- Custody of client assets · true to falseMar 1, 2022 to Mar 29, 2023
- Employees · 5 to 4Mar 1, 2022 to Mar 29, 2023
- State-registered IARs · 4 to 3Mar 1, 2022 to Mar 29, 2023
- Discretionary RAUM · $115M to $96.5MMar 1, 2022 to Mar 29, 2023
- HNW RAUM · $102M to $84.1MMar 1, 2022 to Mar 29, 2023
- Individual RAUM · $12.4M to $12.4MMar 1, 2022 to Mar 29, 2023
- Pension RAUM · 859551.0 to unsetMar 1, 2022 to Mar 29, 2023
- RAUM · $115M to $96.5MMar 1, 2022 to Mar 29, 2023
- Accounts · 773 to 420Jun 27, 2012 to Mar 1, 2022
- Advisory employees · unset to 4.0Jun 27, 2012 to Mar 1, 2022
- Advisory activities · 2 to 1Jun 27, 2012 to Mar 1, 2022
- Business name · BOSTON ASSET MANAGEMENT INC to BOSTON ASSET MANAGEMENT, INC.Jun 27, 2012 to Mar 1, 2022
- Charity clients · unset to 0.0Jun 27, 2012 to Mar 1, 2022
- HNW clients · unset to 18.0Jun 27, 2012 to Mar 1, 2022
- Individual clients · unset to 45.0Jun 27, 2012 to Mar 1, 2022
- Pooled vehicle clients · unset to 0.0Jun 27, 2012 to Mar 1, 2022
- Assets in custody · unset to 80920697.0Jun 27, 2012 to Mar 1, 2022
- Custody of client assets · false to trueJun 27, 2012 to Mar 1, 2022
- Employees · unset to 5.0Jun 27, 2012 to Mar 1, 2022
- State-registered IARs · 0 to 4Jun 27, 2012 to Mar 1, 2022
- Legal name · BOSTON ASSET MANAGEMENT INC to BOSTON ASSET MANAGEMENT, INC.Jun 27, 2012 to Mar 1, 2022
- Other offices · unset to 1.0Jun 27, 2012 to Mar 1, 2022
- Discretionary RAUM · $80.5M to $115MJun 27, 2012 to Mar 1, 2022
- HNW RAUM · unset to 101755780.0Jun 27, 2012 to Mar 1, 2022
- Individual RAUM · unset to 12427053.0Jun 27, 2012 to Mar 1, 2022
- Pension RAUM · unset to 859551.0Jun 27, 2012 to Mar 1, 2022
Signals
6 dated events
- Boston Asset Management, Inc. no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $103.7M)May 2, 2025 · Left the SEC roster · derived
- John Mark Govoni (President) no longer on Schedule A of Boston Asset Management, Inc. (listed 2024-03-28, absent 2024-04-16)Apr 16, 2024 · Control person left · inference
- Mark John Govoni left Boston Asset Management, Inc. for Empirical Asset Management, Llc (registered 2024-04-03)Apr 11, 2024 · Advisor changed firm · fact
- John Mark Govoni (President) appeared on Schedule A of Boston Asset Management, Inc.Mar 29, 2023 · Control person joined · fact
- Keith Brown Woomer left Boston Asset Management, Inc. for Farther (registered 2023-04-14)Feb 27, 2023 · Advisor changed firm · fact
- Boston Asset Management, Inc. filed its initial SEC registration (Form ADV)Mar 1, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026