DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C•• C•••••• M••••••••• L••
Latest filing Feb 25, 2026
First filing on the tape Feb 6, 2012 · 30 filings
SEC status approved since Jan 2, 2014
RAUM
$361M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$335M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$90.2M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$361M as of Feb 25, 2026
Feb 6, 2012$79.5M then
HNW client RAUM$291M as of Feb 25, 2026
Feb 13, 2018$98.5M then
State-registered IARs (5.B.3)4 as of Feb 25, 2026
Jan 27, 20142 then
Employees (5.A)4 as of Feb 25, 2026
Jan 27, 20142 then
Private funds: no history
RAUM +9.8% over the last fiscal year+9.8% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 25, 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
- RAUM per advisor
- $90.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $623,409derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $55.1M, 59 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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 cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$291M81%
- Individuals$44.1M12%
- Charitable organizations$22.3M6.2%
- Corporations and businesses$3.2M0.9%
- Individual clients
- 108reported
- HNW clients
- 93reported
- Pension plan clients
- 0reported
- Charitable clients
- 10reported
- Accounts
- 579reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $55.1M for 59 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• J••• C•• | Andover, Ma | Mar 22, 2005 | 42 y | 0 |
| E•••• T••••• B•••• | Andover, Ma | Feb 1, 2016 | 11 y | 0 |
| H••••••• O•••• | Andover, Ma | Aug 31, 2021 | 16 y | 0 |
| J•••••• B••••• | Andover, Ma | Jan 2, 2024 | 16 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
- C••• B•••• B•••••• to B•••••• F•••••••• S•••••••• I•••Aug 28, 2020 · RIA to a state-registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• E••••• T••••• · Partnercontrolsince 01/2020 · owns 50% to 75%
- C••• W••••••• J••• · President/Member/Ccocontrolsince 01/2002 · 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 |
|---|---|---|---|---|---|
| Andover, Ma · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 25, 2026custody of client assets (Item 9.A): no on the filing of 2025-12-08, yes on the filing of 2026-02-25peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 542 to 579Dec 8, 2025 to Feb 25, 2026
- Charity clients · 11 to 10Dec 8, 2025 to Feb 25, 2026
- Corporate clients · 3 to 5Dec 8, 2025 to Feb 25, 2026
- HNW clients · 68 to 93Dec 8, 2025 to Feb 25, 2026
- Individual clients · 133 to 108Dec 8, 2025 to Feb 25, 2026
- Assets in custody · unset to 55116622.0Dec 8, 2025 to Feb 25, 2026
- Custody of client assets · false to trueDec 8, 2025 to Feb 25, 2026
- Employees · 5 to 4Dec 8, 2025 to Feb 25, 2026
- Financial planning clients · 26-50 to 0Dec 8, 2025 to Feb 25, 2026
- Discretionary RAUM · $329M to $361MDec 8, 2025 to Feb 25, 2026
- HNW RAUM · $227M to $291MDec 8, 2025 to Feb 25, 2026
- Individual RAUM · $71.6M to $44.1MDec 8, 2025 to Feb 25, 2026
- RAUM · $329M to $361MDec 8, 2025 to Feb 25, 2026
- Accounts · 514 to 542Apr 30, 2024 to Mar 7, 2025
- Charity clients · 14 to 11Apr 30, 2024 to Mar 7, 2025
- Corporate clients · 1 to 3Apr 30, 2024 to Mar 7, 2025
- HNW clients · 67 to 68Apr 30, 2024 to Mar 7, 2025
- Individual clients · 117 to 133Apr 30, 2024 to Mar 7, 2025
- Employees · 4 to 5Apr 30, 2024 to Mar 7, 2025
- Financial planning clients · 26-50 to 26-50Apr 30, 2024 to Mar 7, 2025
- State-registered IARs · 2 to 4Apr 30, 2024 to Mar 7, 2025
- Discretionary RAUM · $304M to $329MApr 30, 2024 to Mar 7, 2025
- HNW RAUM · $220M to $227MApr 30, 2024 to Mar 7, 2025
- Individual RAUM · $57.1M to $71.6MApr 30, 2024 to Mar 7, 2025
- RAUM · $304M to $329MApr 30, 2024 to Mar 7, 2025
- Accounts · 463 to 514Jun 8, 2023 to Feb 8, 2024
- Advisory employees · 3 to 4Jun 8, 2023 to Feb 8, 2024
- BD registered reps · 3 to 0Jun 8, 2023 to Feb 8, 2024
- Charity clients · 13 to 14Jun 8, 2023 to Feb 8, 2024
- HNW clients · 62 to 67Jun 8, 2023 to Feb 8, 2024
- Individual clients · 113 to 117Jun 8, 2023 to Feb 8, 2024
- Employees · 5 to 4Jun 8, 2023 to Feb 8, 2024
- Discretionary RAUM · $273M to $304MJun 8, 2023 to Feb 8, 2024
- HNW RAUM · $191M to $220MJun 8, 2023 to Feb 8, 2024
- Individual RAUM · $55.0M to $57.1MJun 8, 2023 to Feb 8, 2024
- RAUM · $273M to $304MJun 8, 2023 to Feb 8, 2024
- Accounts · 396 to 463Nov 30, 2022 to Feb 21, 2023
- BD registered reps · 0 to 3Nov 30, 2022 to Feb 21, 2023
- Charity clients · 14 to 13Nov 30, 2022 to Feb 21, 2023
- HNW clients · 57 to 62Nov 30, 2022 to Feb 21, 2023
Signals
2 dated events
- Thomas Ethan Brown (Partner) appeared on Schedule A of C•• C•••••• M••••••••• L••Mar 12, 2020 · Control person joined · fact
- C•• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 3, 2013 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 978-475-3325reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- COXCAPITALMANAGEMENT.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 978-475-3325reportedpublic record, Form ADV, Feb 25, 2026
- Team page
- COXCAPITALMANAGEMENT.COM/teamreportedpublished 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
- $90.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026