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

R•••• H••• A••••••• I•••

Independent wealth managerPeabody, MassachusettsCRD 123242SEC 801-135804websiteIAPD
Latest filing May 27, 2026
First filing on the tape Jan 12, 2012 · 8 filings
SEC status approved since Apr 13, 2026
RAUM
$102M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
97%
$99.4M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$51.2M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$102M as of May 27, 2026
Jan 12, 2012$825M then
HNW client RAUM$66.4M as of May 27, 2026
Apr 13, 2026$66.4M then
State-registered IARs (5.B.3)2 as of May 27, 2026
Jan 12, 20120 then
Employees (5.A)2 as of May 27, 2026
Mar 27, 20134 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 27, 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
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$51.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
68derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$673,807derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Wrap fee program
$102MreportedItem 5.I
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$66.4M65%
  • Individuals$33.1M32%
  • Pension and profit-sharing plans$3.0M2.9%
Individual clients
108reported
HNW clients
27reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
152reported
Financial planning clients
0reported
Wrap fee programs
$102M sponsored, $102M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••• W• N••••Peabody, MaMar 5, 200323 y0
P•••• A•••••• F•••••••Peabody, MaMar 5, 200339 y0
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• P••••• A•••••• · President/Chief Compliance Officercontrol
        since 10/2002 · owns 50% to 75%
      • N••••• K••••• W• · Chief Financial Officercontrol
        since 10/2002 · 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
      OfficeAdvisorsJoinedLeftTeams outForming
      Peabody, Ma · principal200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing May 27, 2026
        discretionary 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
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 112 to 152
        Apr 10, 2014 to Apr 13, 2026
      • Advisory employees · 2 to 1
        Apr 10, 2014 to Apr 13, 2026
      • Advisory activities · 4 to 3
        Apr 10, 2014 to Apr 13, 2026
      • Charity clients · unset to 0.0
        Apr 10, 2014 to Apr 13, 2026
      • Corporate clients · unset to 0.0
        Apr 10, 2014 to Apr 13, 2026
      • HNW clients · unset to 27.0
        Apr 10, 2014 to Apr 13, 2026
      • Individual clients · unset to 108.0
        Apr 10, 2014 to Apr 13, 2026
      • Pension plan clients · unset to 1.0
        Apr 10, 2014 to Apr 13, 2026
      • Pooled vehicle clients · unset to 0.0
        Apr 10, 2014 to Apr 13, 2026
      • Assets in custody · unset to 52629587.0
        Apr 10, 2014 to Apr 13, 2026
      • Employees · 3 to 2
        Apr 10, 2014 to Apr 13, 2026
      • Financial planning clients · unset to 0
        Apr 10, 2014 to Apr 13, 2026
      • Other offices · unset to 0.0
        Apr 10, 2014 to Apr 13, 2026
      • HNW RAUM · unset to 66366848.0
        Apr 10, 2014 to Apr 13, 2026
      • Individual RAUM · unset to 33081560.0
        Apr 10, 2014 to Apr 13, 2026
      • Non-discretionary RAUM · $33.6M to $102M
        Apr 10, 2014 to Apr 13, 2026
      • Pension RAUM · unset to 2970292.0
        Apr 10, 2014 to Apr 13, 2026
      • Pooled vehicle RAUM · unset to 0.0
        Apr 10, 2014 to Apr 13, 2026
      • RAUM · $33.6M to $102M
        Apr 10, 2014 to Apr 13, 2026
      • Wrap assets (manager) · unset to 102418700.0
        Apr 10, 2014 to Apr 13, 2026
      • Wrap assets (sponsor) · unset to 102418700.0
        Apr 10, 2014 to Apr 13, 2026
      • Accounts · 116 to 112
        Apr 18, 2013 to Mar 26, 2014
      • Advisory employees · 4 to 2
        Apr 18, 2013 to Mar 26, 2014
      • Employees · 4 to 3
        Apr 18, 2013 to Mar 26, 2014
      • State-registered IARs · 3 to 2
        Apr 18, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · $625M to $33.6M
        Apr 18, 2013 to Mar 26, 2014
      • RAUM · $625M to $33.6M
        Apr 18, 2013 to Mar 26, 2014
      • Accounts · 110 to 116
        Jan 12, 2012 to Mar 27, 2013
      • Advisory employees · unset to 4.0
        Jan 12, 2012 to Mar 27, 2013
      • BD registered reps · unset to 0.0
        Jan 12, 2012 to Mar 27, 2013
      • Employees · unset to 4.0
        Jan 12, 2012 to Mar 27, 2013
      • State-registered IARs · 0 to 3
        Jan 12, 2012 to Mar 27, 2013
      • Non-discretionary RAUM · $825M to $625M
        Jan 12, 2012 to Mar 27, 2013
      • RAUM · $825M to $625M
        Jan 12, 2012 to Mar 27, 2013
      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 phone
      978-531-5900reportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      978-532-8700reportedpublished by the firm, firm site, Sep 16, 2026
      Website
      R••••H•••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      978-531-5900reportedpublic record, Form ADV, May 27, 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
      $51.2Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026