DFX Intelligence
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SEC-registered adviser
S••••• • C• I••
Latest filing Jun 1, 2026
First filing on the tape Apr 17, 2012 · 26 filings
SEC status approved since Dec 12, 1986
RAUM
$320M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$287M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$107M
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
26 filings and snapshots on the tape
RAUM$320M as of Jun 1, 2026
Apr 17, 2012$109M then
HNW client RAUM$266M as of Jun 1, 2026
Mar 19, 2018$151M then
State-registered IARs (5.B.3)3 as of Jun 1, 2026
Apr 17, 20120 then
Employees (5.A)4 as of Jun 1, 2026
Apr 30, 20133 then
Private funds: no history
RAUM +2.2% over the last fiscal year+7.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 1, 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
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.6%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
- +2.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client securities (9.A.1.b)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$266M83%
- Pension and profit-sharing plans$27.4M8.6%
- Individuals$20.7M6.5%
- Corporations and businesses$5.9M1.9%
- Individual clients
- 97reported
- HNW clients
- 129reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 232reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• P•••• W•••••Chartered Financial Analyst | Boston, Ma | Oct 24, 2017 | 12 y | 0 |
| W•••••• C••••• S••••• | Boston, Ma | Aug 27, 2018 | 40 y | 0 |
| M••• C•••••••Chartered Financial Analyst | Boston, Ma | Jan 31, 2023 | 11 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
- S•••••• W••••••• C••••• · Presidentcontrolsince 02/1986 · owns 25% to 50%
- W•••••• B•••••••• P•••• · Executive Vice President, Chief Compliance Officercontrolsince 11/2013 · owns 50% to 75%
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 · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 229 to 232Apr 9, 2025 to Apr 10, 2026
- HNW clients · 124 to 129Apr 9, 2025 to Apr 10, 2026
- Individual clients · 99 to 97Apr 9, 2025 to Apr 10, 2026
- Assets in custody · $149M to $154MApr 9, 2025 to Apr 10, 2026
- Discretionary RAUM · $312M to $319MApr 9, 2025 to Apr 10, 2026
- HNW RAUM · $260M to $266MApr 9, 2025 to Apr 10, 2026
- Individual RAUM · $22.8M to $20.7MApr 9, 2025 to Apr 10, 2026
- Non-discretionary RAUM · $1.1M to $987,378Apr 9, 2025 to Apr 10, 2026
- Pension RAUM · $24.8M to $27.4MApr 9, 2025 to Apr 10, 2026
- RAUM · $313M to $320MApr 9, 2025 to Apr 10, 2026
- Accounts · 200 to 229Apr 5, 2024 to Apr 9, 2025
- Corporate clients · 5.0 to unsetApr 5, 2024 to Apr 9, 2025
- HNW clients · 112 to 124Apr 5, 2024 to Apr 9, 2025
- Individual clients · 82 to 99Apr 5, 2024 to Apr 9, 2025
- Assets in custody · $134M to $149MApr 5, 2024 to Apr 9, 2025
- Financial planning clients · unset to Apr 5, 2024 to Apr 9, 2025
- Discretionary RAUM · $260M to $312MApr 5, 2024 to Apr 9, 2025
- HNW RAUM · $225M to $260MApr 5, 2024 to Apr 9, 2025
- Individual RAUM · $18.9M to $22.8MApr 5, 2024 to Apr 9, 2025
- Non-discretionary RAUM · $8.7M to $1.1MApr 5, 2024 to Apr 9, 2025
- Pension RAUM · $20.5M to $24.8MApr 5, 2024 to Apr 9, 2025
- RAUM · $269M to $313MApr 5, 2024 to Apr 9, 2025
- Accounts · 191 to 200Mar 28, 2023 to Apr 5, 2024
- Corporate clients · unset to 5.0Mar 28, 2023 to Apr 5, 2024
- HNW clients · 111 to 112Mar 28, 2023 to Apr 5, 2024
- Individual clients · 71 to 82Mar 28, 2023 to Apr 5, 2024
- Pension plan clients · 5.0 to unsetMar 28, 2023 to Apr 5, 2024
- Assets in custody · $113M to $134MMar 28, 2023 to Apr 5, 2024
- Discretionary RAUM · $239M to $260MMar 28, 2023 to Apr 5, 2024
- HNW RAUM · $199M to $225MMar 28, 2023 to Apr 5, 2024
- Individual RAUM · $18.4M to $18.9MMar 28, 2023 to Apr 5, 2024
- Non-discretionary RAUM · $7.8M to $8.7MMar 28, 2023 to Apr 5, 2024
- Pension RAUM · $25.5M to $20.5MMar 28, 2023 to Apr 5, 2024
- RAUM · $246M to $269MMar 28, 2023 to Apr 5, 2024
- Accounts · 176 to 191Aug 24, 2022 to Mar 28, 2023
- HNW clients · 114 to 111Aug 24, 2022 to Mar 28, 2023
- Individual clients · 52 to 71Aug 24, 2022 to Mar 28, 2023
- Pension plan clients · 6 to 5Aug 24, 2022 to Mar 28, 2023
- Assets in custody · $126M to $113MAug 24, 2022 to Mar 28, 2023
- Discretionary RAUM · $251M to $239MAug 24, 2022 to Mar 28, 2023
Signals
No event on the tape.
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 phone
- 617-227-7033reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/sawyer-&-company-incorporatedreportedpublic record, Form ADV, Jun 1, 2026
- Website
- S•••••-COMPANY.COMreportedpublic record, Form ADV, Jun 1, 2026
- Principal office phone
- 617-227-7033reportedpublic record, Form ADV, Jun 1, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026