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
P•••••• F••••••••
Legal name P•••••• F••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 17 filings
SEC status approved since Nov 13, 2002
RAUM
$382M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$382M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$191M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$382M as of Mar 31, 2026
Mar 29, 2012$189M then
HNW client RAUM$331M as of Mar 31, 2026
Mar 31, 2018$173M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)5 as of Mar 31, 2026
Mar 28, 20138 then
Private funds: no history
RAUM +5.3% over the last fiscal year+8.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $191MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $455,658derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$331M86%
- Individuals$50.9M13%
- Charitable organizations$778,4690.2%
- Individual clients
- 120reported
- HNW clients
- 90reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 839reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• J••••• P••••••Certified Financial Planner | Wellesley, Ma | Oct 18, 2004 | 33 y | 0 |
| S•••••• J•••••• D•••••••Certified Financial Planner | Wellesley, Ma | Jan 5, 2005 | 27 y | 4 |
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
- L••••• A••• F••••• to F• L• P••••• I••••••••• M••••••••• C••Dec 20, 2018 · RIA to RIA
Joined, latest
- S•••••• J•••••• D••••••• from L••••••••• W••••• M••••••••• L••Jan 5, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• T•••• J••••• · Presidentcontrolsince 07/2002 · owns 75% or more
- D•••••••• S••••••• J•••••• · Vice Presidentsince 12/2004 · 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 |
|---|---|---|---|---|---|
| Wellesley, Ma | 2 | 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
- employee count dropChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 10.0 to 5.0 (-50.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (507 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (507) · 2.4% percentile
What changed
consecutive filings, newest first
- Accounts · 859 to 839Mar 31, 2025 to Mar 31, 2026
- HNW clients · 94 to 90Mar 31, 2025 to Mar 31, 2026
- Individual clients · 117 to 120Mar 31, 2025 to Mar 31, 2026
- Employees · 10 to 5Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $363M to $382MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $315M to $331MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $46.9M to $50.9MMar 31, 2025 to Mar 31, 2026
- RAUM · $363M to $382MMar 31, 2025 to Mar 31, 2026
- Accounts · 854 to 859Mar 29, 2024 to Mar 31, 2025
- Advisory activities · 6 to 5Mar 29, 2024 to Mar 31, 2025
- HNW clients · 85 to 94Mar 29, 2024 to Mar 31, 2025
- Individual clients · 128 to 117Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $333M to $363MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $266M to $315MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $66.7M to $46.9MMar 29, 2024 to Mar 31, 2025
- RAUM · $333M to $363MMar 29, 2024 to Mar 31, 2025
- Accounts · 219 to 854Mar 29, 2023 to Mar 29, 2024
- Charity clients · unset to 1.0Mar 29, 2023 to Mar 29, 2024
- HNW clients · 86 to 85Mar 29, 2023 to Mar 29, 2024
- Individual clients · 132 to 128Mar 29, 2023 to Mar 29, 2024
- Employees · 7 to 10Mar 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $298M to $333MMar 29, 2023 to Mar 29, 2024
- HNW RAUM · $244M to $266MMar 29, 2023 to Mar 29, 2024
- Individual RAUM · $52.9M to $66.7MMar 29, 2023 to Mar 29, 2024
- RAUM · $298M to $333MMar 29, 2023 to Mar 29, 2024
- Related insurance company · true to falseMar 29, 2023 to Mar 29, 2024
- Accounts · 220 to 219Apr 1, 2022 to Mar 29, 2023
- Individual clients · 133 to 132Apr 1, 2022 to Mar 29, 2023
- Discretionary RAUM · $293M to $298MApr 1, 2022 to Mar 29, 2023
- HNW RAUM · $242M to $244MApr 1, 2022 to Mar 29, 2023
- Individual RAUM · $51.1M to $52.9MApr 1, 2022 to Mar 29, 2023
- RAUM · $293M to $298MApr 1, 2022 to Mar 29, 2023
- Accounts · 215 to 220Mar 31, 2021 to Apr 1, 2022
- HNW clients · 106 to 86Mar 31, 2021 to Apr 1, 2022
- Individual clients · 108 to 133Mar 31, 2021 to Apr 1, 2022
- Discretionary RAUM · $275M to $293MMar 31, 2021 to Apr 1, 2022
- HNW RAUM · $244M to $242MMar 31, 2021 to Apr 1, 2022
- Individual RAUM · $30.6M to $51.1MMar 31, 2021 to Apr 1, 2022
- RAUM · $275M to $293MMar 31, 2021 to Apr 1, 2022
Signals
No event on the tape.
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 email
- customerservice@proctorfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- g.stone@proctorfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s.wood@proctorfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- t.quinn@proctorfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-235-0405reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-235-0610reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-235-0405reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 781-235-0405reportedpublic record, Form ADV, Mar 31, 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
- $191Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026