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.

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Former SEC-registered adviser

W••••• M••••••••• A•••••••• L••

Former SEC-registered adviserTewksbury, MassachusettsCRD 117764SEC 801-79646IAPD
Latest filing Mar 30, 2021
First filing on the tape Apr 15, 2014 · 18 filings
RAUM
$322M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$322M 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$322M as of Mar 30, 2021
Mar 27, 2015$327M then
HNW client RAUM$295M as of Mar 30, 2021
Mar 21, 2018$242M then
State-registered IARs (5.B.3)3 as of Mar 30, 2021
Mar 27, 20153 then
Employees (5.A)4 as of Mar 30, 2021
Mar 27, 20154 then
Private funds: no history
RAUM +4.5% over the last fiscal year+5.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 2021; every figure names its basis
RAUM per advisor
$107MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
54derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$356,356derivedRAUM over accounts (5.F.2.f)
Discretionary
98%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
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+4.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-8.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 5.G
Custody
$137M, 61 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$295M92%
  • Individuals$27.0M8.4%
Individual clients
77reported
HNW clients
85reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
903reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$137M for 61 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A••••• S••••••• P•••••• · President, Director, Ccocontrol
      since 05/2000 · owns 75% or more
    Related persons
    Schedule D 7.A
    • S••••••• B•••• P•••
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    • Naples, FL1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 733 to 903
      Oct 15, 2020 to Mar 30, 2021
    • HNW clients · 75 to 85
      Oct 15, 2020 to Mar 30, 2021
    • Individual clients · 101 to 77
      Oct 15, 2020 to Mar 30, 2021
    • Assets in custody · $54.1M to $137M
      Oct 15, 2020 to Mar 30, 2021
    • Discretionary RAUM · $303M to $316M
      Oct 15, 2020 to Mar 30, 2021
    • HNW RAUM · $270M to $295M
      Oct 15, 2020 to Mar 30, 2021
    • Individual RAUM · $37.5M to $27.0M
      Oct 15, 2020 to Mar 30, 2021
    • Non-discretionary RAUM · $4.9M to $5.4M
      Oct 15, 2020 to Mar 30, 2021
    • RAUM · $308M to $322M
      Oct 15, 2020 to Mar 30, 2021
    • Accounts · 903 to 733
      Mar 19, 2019 to Mar 26, 2020
    • HNW clients · 77 to 75
      Mar 19, 2019 to Mar 26, 2020
    • Individual clients · 98 to 101
      Mar 19, 2019 to Mar 26, 2020
    • Assets in custody · $158M to $54.1M
      Mar 19, 2019 to Mar 26, 2020
    • Employees · 5 to 4
      Mar 19, 2019 to Mar 26, 2020
    • Discretionary RAUM · $261M to $303M
      Mar 19, 2019 to Mar 26, 2020
    • HNW RAUM · $236M to $270M
      Mar 19, 2019 to Mar 26, 2020
    • Individual RAUM · $29.6M to $37.5M
      Mar 19, 2019 to Mar 26, 2020
    • Non-discretionary RAUM · $4.0M to $4.9M
      Mar 19, 2019 to Mar 26, 2020
    • RAUM · $265M to $308M
      Mar 19, 2019 to Mar 26, 2020
    • Accounts · 675 to 903
      Jan 15, 2019 to Mar 19, 2019
    • HNW clients · 78 to 77
      Jan 15, 2019 to Mar 19, 2019
    • Individual clients · 92 to 98
      Jan 15, 2019 to Mar 19, 2019
    • Assets in custody · $170M to $158M
      Jan 15, 2019 to Mar 19, 2019
    • Discretionary RAUM · $267M to $261M
      Jan 15, 2019 to Mar 19, 2019
    • HNW RAUM · $242M to $236M
      Jan 15, 2019 to Mar 19, 2019
    • Individual RAUM · $29.3M to $29.6M
      Jan 15, 2019 to Mar 19, 2019
    • Non-discretionary RAUM · $4.1M to $4.0M
      Jan 15, 2019 to Mar 19, 2019
    • RAUM · $271M to $265M
      Jan 15, 2019 to Mar 19, 2019
    • Accounts · 756 to 675
      Apr 27, 2017 to Mar 21, 2018
    • Advisory activities · 4 to 6
      Apr 27, 2017 to Mar 21, 2018
    • HNW clients · unset to 78.0
      Apr 27, 2017 to Mar 21, 2018
    • Individual clients · unset to 92.0
      Apr 27, 2017 to Mar 21, 2018
    • Assets in custody · $147M to $170M
      Apr 27, 2017 to Mar 21, 2018
    • Employees · 4 to 5
      Apr 27, 2017 to Mar 21, 2018
    • Other offices · unset to 1.0
      Apr 27, 2017 to Mar 21, 2018
    • Discretionary RAUM · $243M to $267M
      Apr 27, 2017 to Mar 21, 2018
    • HNW RAUM · unset to 242175359.0
      Apr 27, 2017 to Mar 21, 2018
    • Individual RAUM · unset to 29302614.0
      Apr 27, 2017 to Mar 21, 2018
    • Non-discretionary RAUM · $0 to $4.1M
      Apr 27, 2017 to Mar 21, 2018
    • RAUM · $243M to $271M
      Apr 27, 2017 to Mar 21, 2018
    Signals
    5 dated events
    • S•••••• P•••••• A•••• left W••••• M••••••••• A•••••••• L•• for S•••••••• L•• (registered 2022-02-08)
      Mar 1, 2022 · Advisor changed firm · fact
    • J••••• D•••••• M•••••• left W••••• M••••••••• A•••••••• L•• for S•••••••• L•• (registered 2022-03-08)
      Mar 1, 2022 · Advisor changed firm · fact
    • J•••••• A••• left W••••• M••••••••• A•••••••• L•• for S•••••••• L•• (registered 2022-03-24)
      Mar 1, 2022 · Advisor changed firm · fact
    • W••••• M••••••••• A•••••••• L••'s advisors moved to S•••••••• L•• (Tewksbury, MA): 3 of 3 registered, on the same day
      Mar 1, 2022 · Firm absorbed (people side) · derived
    • S••••••• B•••• G•••• filed its initial SEC registration (Form ADV)
      Apr 15, 2014 · 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