DFX Intelligence
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SEC-registered adviser
E••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 30, 2022 · 9 filings
SEC status approved since Apr 29, 2022
RAUM
$217M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$217M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$217M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$217M as of Mar 26, 2026
Mar 28, 2023$142M then
HNW client RAUM$217M as of Mar 26, 2026
Mar 28, 2023$138M then
State-registered IARs (5.B.3)1 as of Mar 26, 2026
Mar 28, 20231 then
Employees (5.A)3 as of Mar 26, 2026
Mar 28, 20233 then
Private funds: no history
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $217MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $976,608derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$217M100%
- Individual clients
- 0reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 222reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 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 |
|---|---|---|---|---|
| P•••• E•••••••• C•••••••Chartered Financial Analyst | Boston, Ma | Jul 19, 2002 | 27 y | 1 |
Advisor movement
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
- C•••••••• P••••• E•••••••• · Managing Partner And Chief Compliance Officercontrolsince 02/1999 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 60 to 222Mar 25, 2025 to Mar 26, 2026
- HNW clients · 53 to 60Mar 25, 2025 to Mar 26, 2026
- Individual clients · 7 to 0Mar 25, 2025 to Mar 26, 2026
- Assets in custody · $93.5M to $105MMar 25, 2025 to Mar 26, 2026
- Financial planning clients · 1-10 to 0Mar 25, 2025 to Mar 26, 2026
- Discretionary RAUM · $192M to $217MMar 25, 2025 to Mar 26, 2026
- HNW RAUM · $188M to $217MMar 25, 2025 to Mar 26, 2026
- Individual RAUM · 3700137.0 to unsetMar 25, 2025 to Mar 26, 2026
- RAUM · $192M to $217MMar 25, 2025 to Mar 26, 2026
- Accounts · 54 to 60Mar 22, 2024 to Mar 25, 2025
- HNW clients · 44 to 53Mar 22, 2024 to Mar 25, 2025
- Individual clients · 10 to 7Mar 22, 2024 to Mar 25, 2025
- Assets in custody · $77.1M to $93.5MMar 22, 2024 to Mar 25, 2025
- Financial planning clients · 1-10 to 1-10Mar 22, 2024 to Mar 25, 2025
- Discretionary RAUM · $173M to $192MMar 22, 2024 to Mar 25, 2025
- HNW RAUM · $168M to $188MMar 22, 2024 to Mar 25, 2025
- Individual RAUM · $4.3M to $3.7MMar 22, 2024 to Mar 25, 2025
- RAUM · $173M to $192MMar 22, 2024 to Mar 25, 2025
- HNW clients · 42 to 44Sep 29, 2023 to Mar 22, 2024
- Individual clients · 12 to 10Sep 29, 2023 to Mar 22, 2024
- Assets in custody · $46.8M to $77.1MSep 29, 2023 to Mar 22, 2024
- Discretionary RAUM · $142M to $173MSep 29, 2023 to Mar 22, 2024
- HNW RAUM · $138M to $168MSep 29, 2023 to Mar 22, 2024
- Individual RAUM · $4.1M to $4.3MSep 29, 2023 to Mar 22, 2024
- RAUM · $142M to $173MSep 29, 2023 to Mar 22, 2024
- Related adviser · true to falseSep 27, 2023 to Sep 29, 2023
- Assets in custody · unset to 46797422.0Jun 30, 2023 to Sep 27, 2023
- Related adviser · false to trueJun 30, 2023 to Sep 27, 2023
- Accounts · 51 to 54Apr 5, 2022 to Mar 28, 2023
- HNW clients · 43 to 42Apr 5, 2022 to Mar 28, 2023
- Individual clients · 8 to 12Apr 5, 2022 to Mar 28, 2023
- Discretionary RAUM · $132M to $142MApr 5, 2022 to Mar 28, 2023
- HNW RAUM · $130M to $138MApr 5, 2022 to Mar 28, 2023
- Individual RAUM · $2.0M to $4.1MApr 5, 2022 to Mar 28, 2023
- RAUM · $132M to $142MApr 5, 2022 to Mar 28, 2023
Signals
1 dated events
- E••• L•• filed its initial SEC registration (Form ADV)Mar 30, 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
- 617-945-9401reportedpublic record, Form ADV, Mar 26, 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
- $217Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026