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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SEC-registered adviser
D• • P• I••••••••• A•••••••• L•••
Latest filing Mar 6, 2026
First filing on the tape Mar 29, 2022 · 6 filings
SEC status approved since Apr 28, 2022
RAUM
$198M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
96%
$190M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$198M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$198M as of Mar 6, 2026
Mar 16, 2023$133M then
HNW client RAUM$141M as of Mar 6, 2026
Mar 16, 2023$84.0M then
State-registered IARs (5.B.3)1 as of Mar 6, 2026
Mar 16, 20231 then
Employees (5.A)1 as of Mar 6, 2026
Mar 16, 20231 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 6, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $198MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 228derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $305,657derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- 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$141M73%
- Individuals$48.8M25%
- Corporations and businesses$2.6M1.4%
- Individual clients
- 170reported
- HNW clients
- 58reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 647reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• R••••• P••••••Personal Financial Specialist | Wakefield, Ri | Apr 3, 2013 | 26 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
- P••••••• M•••• R••••• · President, Secretary, Treasurer / Chief Compliance Officercontrolsince 01/2002 · owns 75% or more
Related persons
Schedule D 7.A
- D•••••• • P••••••• L••insurancen
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 6, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 633 to 647Mar 11, 2025 to Mar 6, 2026
- Corporate clients · 5 to 7Mar 11, 2025 to Mar 6, 2026
- HNW clients · 52 to 58Mar 11, 2025 to Mar 6, 2026
- Individual clients · 173 to 170Mar 11, 2025 to Mar 6, 2026
- HNW RAUM · $121M to $141MMar 11, 2025 to Mar 6, 2026
- Individual RAUM · $45.8M to $48.8MMar 11, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $174M to $198MMar 11, 2025 to Mar 6, 2026
- RAUM · $174M to $198MMar 11, 2025 to Mar 6, 2026
- Accounts · 602 to 633Mar 13, 2024 to Mar 11, 2025
- HNW clients · 48 to 52Mar 13, 2024 to Mar 11, 2025
- Individual clients · 170 to 173Mar 13, 2024 to Mar 11, 2025
- Financial planning clients · 1-10 to 1-10Mar 13, 2024 to Mar 11, 2025
- HNW RAUM · $104M to $121MMar 13, 2024 to Mar 11, 2025
- Individual RAUM · $41.8M to $45.8MMar 13, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $152M to $174MMar 13, 2024 to Mar 11, 2025
- RAUM · $152M to $174MMar 13, 2024 to Mar 11, 2025
- Accounts · 593 to 602Mar 16, 2023 to Mar 13, 2024
- Corporate clients · unset to 5.0Mar 16, 2023 to Mar 13, 2024
- HNW clients · 42 to 48Mar 16, 2023 to Mar 13, 2024
- HNW RAUM · $84.0M to $104MMar 16, 2023 to Mar 13, 2024
- Individual RAUM · $42.5M to $41.8MMar 16, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $133M to $152MMar 16, 2023 to Mar 13, 2024
- RAUM · $133M to $152MMar 16, 2023 to Mar 13, 2024
- Accounts · 553 to 593Jan 5, 2023 to Mar 16, 2023
- Individual clients · 155 to 170Jan 5, 2023 to Mar 16, 2023
- Discretionary RAUM · $126M to $0Jan 5, 2023 to Mar 16, 2023
- HNW RAUM · $77.4M to $84.0MJan 5, 2023 to Mar 16, 2023
- Individual RAUM · $43.2M to $42.5MJan 5, 2023 to Mar 16, 2023
- Non-discretionary RAUM · $0 to $133MJan 5, 2023 to Mar 16, 2023
- RAUM · $126M to $133MJan 5, 2023 to Mar 16, 2023
Signals
1 dated events
- D• • P• I••••••••• A•••••••• L••• filed its initial SEC registration (Form ADV)Mar 29, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 401-792-0100reportedpublic record, Form ADV, Mar 6, 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
- $198Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026