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.
SEC-registered adviser
Wellesley Asset Management, Inc.
Latest filing Mar 30, 2026
First filing on the tape Dec 22, 2011 · 54 filings
SEC status approved since Jun 27, 2002
RAUM
$2.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
44%
$881M individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$124M
derived; firm RAUM over IAPD count
Employees
30
19 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$2.0B as of Mar 30, 2026
Mar 29, 2012$1.1B then
HNW client RAUM$487M as of Mar 30, 2026
Mar 30, 2018$966M then
State-registered IARs (5.B.3)13 as of Mar 30, 2026
Mar 27, 201317 then
Employees (5.A)30 as of Mar 30, 2026
Mar 27, 201324 then
Private funds1 as of Mar 30, 2026
Mar 29, 20121 then
RAUM -3.5% over the last fiscal year-6.0% a year over threeIARs 15 to 13offices 1 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $124MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 5.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $355M, 657 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$781M39%
- High-net-worth individuals$487M24%
- Individuals$394M20%
- Pooled investment vehicles$138M6.9%
- Pension and profit-sharing plans$127M6.4%
- Charitable organizations$44.1M2.2%
- Insurance companies$11.1M0.6%
- Corporations and businesses$10.2M0.5%
- Individual clients
- 958reported
- HNW clients
- 288reported
- Pension plan clients
- 22reported
- Charitable clients
- 12reported
- Accounts
- 1,956reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $584M managedreported
- Custody of client assets
- $355M for 657 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.44 fund_share=0.46 institutional_share=0.09 related_bd=false related_bank=false bd_reps=7.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joseph Michael Buscaino | Wellesley, Ma | Dec 5, 2003 | 29 y | 0 |
| James Alexander Wiegel | Portsmouth, Nh | Jul 30, 2010 | 26 y | 1 |
| Gerald R Russo | Portsmouth, Nh | Jun 8, 2015 | 29 y | 0 |
| Michael David Foley | Portsmouth, Nh | Oct 5, 2015 | 20 y | 3 |
| Stephen Anthony Marzo | Portsmouth, Nh | Dec 12, 2016 | 11 y | 0 |
| Nicholas Anthony Felici | Portsmouth, Nh | Dec 12, 2016 | 15 y | 0 |
| Paul David Chamberlain | Pleasant Hill, Ia | Dec 21, 2017 | 32 y | 2 |
| Thomas Francis Lahaise | Portsmouth, Nh | Feb 7, 2020 | 26 y | 3 |
| David Jacques Moret | Sarasota, Fl | Jan 14, 2025 | 40 y | 2 |
| James William BuckhamChartered Financial Analyst | Portsmouth, Nh | Jan 28, 2025 | 17 y | 0 |
| Christopher John Carrelha | Cumming, Ga | Jan 31, 2025 | 20 y | 0 |
| Michael David Miller | Portsmouth, Nh | Feb 3, 2025 | 20 y | 2 |
| James Carl Miklas | Longboat Key, Fl | Feb 5, 2025 | 41 y | 0 |
| Gabriel Joseph Osorio | Portsmouth, Nh | May 21, 2025 | 22 y | 2 |
| Collin Michael Schrier | Portsmouth, Nh | May 22, 2025 | 12 y | 4 |
| Rebecca Bahlert | Portsmouth, Nh | Jun 12, 2026 | 10 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 headcount2 left over 36 months
Left, latest
- Arik Paul Schechet to Savant Wealth ManagementFeb 5, 2025 · RIA to RIA
- Darlene Marie Murphy to Sudbury Wealth Management, IncAug 15, 2024 · Other
- Taylor Joseph Morrison to Citizens Private WealthMar 24, 2023 · RIA to RIA
- John Linsenmeyer to Pnc Wealth ManagementMar 23, 2021 · RIA to affiliated broker-dealer or bank
- William Douglas Kindle to Windham Capital Management, LLCMar 30, 2020 · RIA to RIA
- Gregory Curtis Ellms to Algorithmic Investment ModelsMay 8, 2019 · Other
- Michael Edward Hogan to Cutler Capital ManagementOct 30, 2018 · RIA to RIA
- Eric Michael Kellar to Leader Capital Corp.Aug 9, 2018 · Other
- Thomas J Curtin to LPL Financial LLCJan 3, 2017 · Other
- Christopher Aristotle Vassilopoulos to Aon Investments USA Inc.Dec 2, 2015 · Other
- Brett Thomas Bartkiewicz to Mercer Global Advisors Inc.Sep 10, 2015 · Other
- Kevin B Morrissey to Grimes & CompanyJul 30, 2015 · Other
- Christopher Luke Weiss to Osaic Institutions, Inc.Jul 22, 2015 · Other
- Todd Charles Pniewski to MML Investors Services, LLCJul 22, 2015 · Other
- Katherine Elizabeth Phillips to Loomis, Sayles & Company, L.P.Apr 30, 2015 · Other
Joined, latest
- Collin Michael Schrier from Cache Advisors LLCMay 22, 2025 · Other
- Gabriel Joseph Osorio from Strategic Advisers LLCMay 21, 2025 · Affiliated broker-dealer or bank to independent RIA
- Michael David Miller from Convergent Wealth Advisors, LLCFeb 3, 2025 · Other
- David Jacques Moret from Principal Asset ManagementJan 14, 2025 · Other
- Thomas Francis Lahaise from Wellesley Investment Partners, LLCFeb 7, 2020 · RIA to RIA
- John Linsenmeyer from Pnc Capital Advisors LLCDec 24, 2019 · Other
- Taylor Joseph Morrison from Boston Financial Management LLCOct 31, 2019 · RIA to RIA
- Paul David Chamberlain from Principal Asset ManagementDec 21, 2017 · Other
- Michael Edward Hogan from Td Private Client Wealth LLCDec 11, 2015 · Other
- Michael David Foley from E*Trade Capital Management, LLCOct 5, 2015 · Other
- Christopher Aristotle Vassilopoulos from 300 North CapitalMay 20, 2015 · Other
- Arthur John Brachowski from Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 30, 2014 · Other
- Arik Paul Schechet from New England Private Wealth Advisors, LLCMar 4, 2014 · Other
- William Douglas Kindle from Ai Advisors, LLCSep 23, 2013 · Other
- Kevin B Morrissey from Edward JonesSep 6, 2011 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Brenton Partners, L.P. | Hedge Fund | $138M | 82 | Mar 29, 2012 |
| Brenton Partners II, L.P.no longer reported | Hedge Fund | $34.8M | 26 | Feb 26, 2021 |
Owners and control persons
Schedule A and B, latest filing
- Marie Dawn Baillie · Presidentcontrolsince 10/2025 · owns less than 5%
- William James Buckham · Senior Portfolio Managercontrolsince 12/2025 · owns less than 5%
- Brian David Clott · Chief Investment Officercontrolsince 12/2025 · owns less than 5%
- P. Dennis Godin · Chief Operating Officercontrolsince 12/2025 · owns less than 5%
- Domenic Stephen Martino · Chief Financial Officercontrolsince 01/2019 · owns less than 5%
- Greg Miller · Foundercontrolsince 07/1991 · owns less than 5%
- David Michael Miller · Chief Executive Officer / Co-Trustee Of Thecontrolsince 10/2019 · owns less than 5%
- C. Regis Miller · Trustee Of The Greg Miller Trustcontrolsince 06/2016 · owns less than 5%
- C. Daniel Mitchell · Chief Operating Officercontrolsince 04/2019 · owns less than 5%
- Peter James Mulhern · Co-Trustee Of The Michael Miller Irrevocablecontrolsince 10/2025 · owns less than 5%
- Gilbert Steven Rawlings · Chief Compliance Officer And General Counselcontrolsince 10/2025 · owns less than 5%
- Maureen Hernberg · Trustee Of The Darlene M. Murphy Trust - 2011since 11/2014 · owns less than 5%
- Sloan Samuel Johnson · Trustee Of The Michael David Miller Trust -since 11/2014 · owns less than 5%
- Marie Darlene Murphy · Owner / Shareholdersince 10/2019 · owns 5% to 10%
- Zorn William · Trustee Of The Michael Miller Irrevocable Trust Of 2020since 12/2020 · owns less than 5%
Entity owners
- The Greg Miller Trust · Owner/Shareholderdirect · owns 50% to 75%
- Michael Miller Irrevocable Trust Of 2020 · Owner / Shareholderdirect · owns 5% to 10%
- The Darlene M. Murphy · Owner / Shareholderdirect · owns less than 5%
- The Darlene M. Murphy Trust - 2011 · Owner / Shareholderdirect · owns 10% to 25%
- The Michael David Miller · Owner / Shareholderdirect · owns 5% to 10%
- The Michael David Miller Trust - 2011 · Owner / Shareholderdirect · owns 10% to 25%
- The Michael Miller · Owner / Shareholderdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Portsmouth, Nh · principal | 15 | 1 | 0 | ||
| Wellesley, Ma | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boston, MA4 employees
ADV anomalies
8 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 30, 2026MILLER, REGIS, C. (TRUSTEE OF THE GREG MILLER TRUST) left Schedule A between the filings of 2022-09-26 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 30, 2026MITCHELL, C. DANIEL (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2022-09-26 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 30, 2026BUCKHAM, JAMES, WILLIAM (SENIOR PORTFOLIO MANAGER) appeared on Schedule A between the filings of 2022-09-26 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 30, 2026MULHERN, JAMES, PETER (CO-TRUSTEE OF THE MICHAEL MILLER IRREVOCABLE) appeared on Schedule A between the filings of 2022-09-26 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 30, 2026MARTINO, STEPHEN, DOMENIC (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2022-09-26 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 30, 2026CLOTT, DAVID, BRIAN (CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2022-09-26 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 30, 2026RAWLINGS, STEVEN, GILBERT (CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL) appeared on Schedule A between the filings of 2022-09-26 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 30, 2026GODIN, DENNIS, P. (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2022-09-26 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,478 to 1,956Jan 2, 2026 to Mar 30, 2026
- Advisory employees · 15 to 19Jan 2, 2026 to Mar 30, 2026
- BD registered reps · 6 to 7Jan 2, 2026 to Mar 30, 2026
- Charity clients · 13 to 12Jan 2, 2026 to Mar 30, 2026
- HNW clients · 244 to 288Jan 2, 2026 to Mar 30, 2026
- Individual clients · 1,179 to 958Jan 2, 2026 to Mar 30, 2026
- Pension plan clients · 25 to 22Jan 2, 2026 to Mar 30, 2026
- Pooled vehicle clients · 3 to 1Jan 2, 2026 to Mar 30, 2026
- Assets in custody · $308M to $355MJan 2, 2026 to Mar 30, 2026
- State-registered IARs · 15 to 13Jan 2, 2026 to Mar 30, 2026
- Other offices · 1 to 2Jan 2, 2026 to Mar 30, 2026
- Private funds · 2 to 1Jan 2, 2026 to Mar 30, 2026
- Discretionary RAUM · $2.1B to $2.0BJan 2, 2026 to Mar 30, 2026
- HNW RAUM · $396M to $487MJan 2, 2026 to Mar 30, 2026
- Individual RAUM · $461M to $394MJan 2, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $3.7M to $5.6MJan 2, 2026 to Mar 30, 2026
- Pension RAUM · $129M to $127MJan 2, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $116M to $138MJan 2, 2026 to Mar 30, 2026
- RAUM · $2.1B to $2.0BJan 2, 2026 to Mar 30, 2026
- Wrap assets (manager) · $580M to $584MJan 2, 2026 to Mar 30, 2026
- Related adviser · false to trueOct 29, 2025 to Jan 2, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Oct 29, 2025
- Accounts · 2,188 to 1,478Jul 10, 2024 to Mar 28, 2025
- Advisory employees · 16 to 15Jul 10, 2024 to Mar 28, 2025
- BD registered reps · 7 to 6Jul 10, 2024 to Mar 28, 2025
- HNW clients · 232 to 244Jul 10, 2024 to Mar 28, 2025
- Individual clients · 1,889 to 1,179Jul 10, 2024 to Mar 28, 2025
- Pension plan clients · 36 to 25Jul 10, 2024 to Mar 28, 2025
- Assets in custody · $204M to $308MJul 10, 2024 to Mar 28, 2025
- State-registered IARs · 16 to 15Jul 10, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.1B to $2.1BJul 10, 2024 to Mar 28, 2025
- HNW RAUM · $365M to $396MJul 10, 2024 to Mar 28, 2025
- Individual RAUM · $547M to $461MJul 10, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $3.3M to $3.7MJul 10, 2024 to Mar 28, 2025
- Pension RAUM · $122M to $129MJul 10, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $138M to $116MJul 10, 2024 to Mar 28, 2025
- RAUM · $2.1B to $2.1BJul 10, 2024 to Mar 28, 2025
- Wrap assets (manager) · $729M to $580MJul 10, 2024 to Mar 28, 2025
- Accounts · 1,814 to 2,188Nov 30, 2023 to Mar 29, 2024
- Advisory employees · 18 to 16Nov 30, 2023 to Mar 29, 2024
Signals
9 dated events
- Arik Paul Schechet left Wellesley Asset Management, Inc. for Savant Wealth Management (registered 2025-04-10)Feb 5, 2025 · Advisor changed firm · fact
- Darlene Marie Murphy left Wellesley Asset Management, Inc. for Sudbury Wealth Management, Inc (registered 2009-07-15)Aug 15, 2024 · Advisor changed firm · fact
- Taylor Joseph Morrison left Wellesley Asset Management, Inc. for Citizens Private Wealth (registered 2023-03-22)Mar 24, 2023 · Advisor changed firm · fact
- B Charles Schmidt (Chief Compliance Officer) no longer on Schedule A of Wellesley Asset Management, Inc. (listed 2021-05-28, absent 2021-09-07)Sep 7, 2021 · Control person left · inference
- Marie Dawn Baillie (Chief Compliance Officer) appeared on Schedule A of Wellesley Asset Management, Inc.Sep 7, 2021 · Control person joined · fact
- Ann Regis Miller (Owner / Shareholder) appeared on Schedule A of Wellesley Asset Management, Inc.Mar 30, 2021 · Control person joined · fact
- B Charles Schmidt (Chief Compliance Officer) appeared on Schedule A of Wellesley Asset Management, Inc.Apr 24, 2019 · Control person joined · fact
- Burke Paul Samuels (Treasurer) no longer on Schedule A of Wellesley Asset Management, Inc. (listed 2018-03-30, absent 2019-01-25)Jan 25, 2019 · Control person left · inference
- Domenic Stephen Martino (Cfo) appeared on Schedule A of Wellesley Asset Management, Inc.Jan 25, 2019 · Control person joined · 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
- Business phone
- 781-416-4000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/wellesley-investment-advisors-inc.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- wellesleyinvestment.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 781-416-4000reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- wellesleyinvestment.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- wellesleyinvestment.com/leadershipreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $124Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Wellesley Asset Management, Inc. is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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