DFX Intelligence

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D•••• I••••••••• A••••••• C•••••••••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $135M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2025-11-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $135M
Advisors: 1
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +21%
Private clients: 100% of RAUM, $135M

Advisors (1)Advisor movement Where the RAUM sits

As of 2025-11-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +21% over the last fiscal year, to $135M.
2025-11-12
RAUM a year earlier $112MRAUM now $135M
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 123499 · SEC 801-114388 · 14 filingsShow

CRD 123499SEC 801-114388First filing on the tape Nov 14, 2011, latest Nov 12, 2025SEC status approved since Dec 6, 2018IAPD

RAUM

$135M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$135M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$135M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM$135M as of Nov 12, 2025

Nov 14, 2011$43.9M then

HNW client RAUM$130M as of Nov 12, 2025

Nov 14, 2019$94.7M then

State-registered IARs (5.B.3)1 as of Nov 12, 2025

Nov 14, 20110 then

Employees (5.A)1 as of Nov 12, 2025

Nov 14, 20191 then

Private funds: no history

RAUM +21% over the last fiscal year+2.5% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Nov 12, 2025; 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: $135MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 45derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.3MderivedHNW RAUM over HNW clients
Average account: $3.0MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%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: 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: -2.0%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$130M96%
Individuals$5.2M3.8%

Individual clients: 15reported
HNW clients: 30reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 45reported
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
S••••• K•••• N•••••Chartered Financial Analyst	Westwood, Ma	Jan 3, 2003	24 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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

N•••••• S•••••• K•••• · President And Chief Compliance Officercontrol
since 11/2001 · 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 · 48 to 45
Nov 26, 2024 to Nov 12, 2025
HNW clients · 27 to 30
Nov 26, 2024 to Nov 12, 2025
Individual clients · 21 to 15
Nov 26, 2024 to Nov 12, 2025
Financial planning clients · 0 to 0
Nov 26, 2024 to Nov 12, 2025
HQ city · unset to
Nov 26, 2024 to Nov 12, 2025
HQ state · unset to
Nov 26, 2024 to Nov 12, 2025
Discretionary RAUM · $127M to $135M
Nov 26, 2024 to Nov 12, 2025
HNW RAUM · $119M to $130M
Nov 26, 2024 to Nov 12, 2025
Individual RAUM · $7.6M to $5.2M
Nov 26, 2024 to Nov 12, 2025
RAUM · $127M to $135M
Nov 26, 2024 to Nov 12, 2025
Accounts · 49 to 48
Nov 13, 2023 to Nov 26, 2024
HNW clients · 26 to 27
Nov 13, 2023 to Nov 26, 2024
Individual clients · 23 to 21
Nov 13, 2023 to Nov 26, 2024
Discretionary RAUM · $112M to $127M
Nov 13, 2023 to Nov 26, 2024
HNW RAUM · $105M to $119M
Nov 13, 2023 to Nov 26, 2024
Individual RAUM · $7.2M to $7.6M
Nov 13, 2023 to Nov 26, 2024
RAUM · $112M to $127M
Nov 13, 2023 to Nov 26, 2024
Accounts · 59 to 49
Aug 30, 2023 to Nov 13, 2023
HNW clients · 33 to 26
Aug 30, 2023 to Nov 13, 2023
Individual clients · 26 to 23
Aug 30, 2023 to Nov 13, 2023
Discretionary RAUM · $110M to $112M
Aug 30, 2023 to Nov 13, 2023
HNW RAUM · $103M to $105M
Aug 30, 2023 to Nov 13, 2023
Individual RAUM · $6.7M to $7.2M
Aug 30, 2023 to Nov 13, 2023
RAUM · $110M to $112M
Aug 30, 2023 to Nov 13, 2023
Accounts · 53 to 59
Nov 16, 2021 to Nov 15, 2022
HNW clients · 31 to 33
Nov 16, 2021 to Nov 15, 2022
Individual clients · 22 to 26
Nov 16, 2021 to Nov 15, 2022
Discretionary RAUM · $126M to $110M
Nov 16, 2021 to Nov 15, 2022
HNW RAUM · $119M to $103M
Nov 16, 2021 to Nov 15, 2022
Individual RAUM · $6.4M to $6.7M
Nov 16, 2021 to Nov 15, 2022
RAUM · $126M to $110M
Nov 16, 2021 to Nov 15, 2022
HNW clients · 30 to 31
Nov 5, 2020 to Nov 16, 2021
Individual clients · 23 to 22
Nov 5, 2020 to Nov 16, 2021
Discretionary RAUM · $103M to $126M
Nov 5, 2020 to Nov 16, 2021
HNW RAUM · $95.8M to $119M
Nov 5, 2020 to Nov 16, 2021
Individual RAUM · $7.4M to $6.4M
Nov 5, 2020 to Nov 16, 2021
RAUM · $103M to $126M
Nov 5, 2020 to Nov 16, 2021
Accounts · 52 to 53
Jun 25, 2020 to Nov 5, 2020
Individual clients · 22 to 23
Jun 25, 2020 to Nov 5, 2020
Discretionary RAUM · $101M to $103M
Jun 25, 2020 to Nov 5, 2020

Signals

1 dated events

••• Locked
Nov 6, 2018 · 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

Website: ••• Lockedreportedpublic record, Form ADV, Nov 12, 2025
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Nov 12, 2025

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: $135Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026