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
S•••••••• P••••••• G••••• I•••
Latest filing Mar 17, 2026
First filing on the tape Mar 15, 2012 · 31 filings
SEC status approved since Jul 15, 2011
RAUM
$219M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$219M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$109M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$219M as of Mar 17, 2026
Mar 15, 2012$145M then
HNW client RAUM$157M as of Mar 17, 2026
Feb 7, 2018$97.9M then
State-registered IARs (5.B.3)2 as of Mar 17, 2026
Mar 15, 20120 then
Employees (5.A)3 as of Mar 17, 2026
Feb 7, 20133 then
Private funds: no history
RAUM +9.9% over the last fiscal year+8.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 17, 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
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 133derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $301,909derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$157M72%
- Individuals$61.5M28%
- Individual clients
- 187reported
- HNW clients
- 78reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 724reported
- Financial planning clients
- 51-100reported
- 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 |
|---|---|---|---|---|
| D•••• A•••••••• R••••• | Wellesley, Ma | Feb 7, 2005 | 32 y | 0 |
| J••••• A••••• S•••••• | Wellesley, Ma | May 23, 2011 | 29 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
- S•••• J•••••• R•••• to R•••• R••••••••• P•••••••• L••Feb 12, 2020 · RIA to a state-registered adviser
- C••••••••• A••••• H•••••• to T•••••• K•••••• • A••••••••• L••Feb 12, 2020 · RIA to RIA
Joined, latest
- S•••• J•••••• R•••• from C••••• F•••••••• G•••• L••Sep 24, 2018 · RIA to RIA
- C••••••••• A••••• H•••••• from A••••••• I••••••••• L••Nov 7, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• D••••• A•••••••• · Presidentcontrolsince 09/2004 · owns 75% or more
- S••••••• J•••••• A••••• · Chief Compliance Officersince 12/2009 · 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 · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 769 to 724Feb 26, 2026 to Mar 17, 2026
- HNW clients · 67 to 78Feb 26, 2026 to Mar 17, 2026
- Individual clients · 221 to 187Feb 26, 2026 to Mar 17, 2026
- Discretionary RAUM · $193M to $213MFeb 26, 2026 to Mar 17, 2026
- HNW RAUM · $131M to $157MFeb 26, 2026 to Mar 17, 2026
- Individual RAUM · $68.4M to $61.5MFeb 26, 2026 to Mar 17, 2026
- Non-discretionary RAUM · $5.5M to $6.0MFeb 26, 2026 to Mar 17, 2026
- RAUM · $199M to $219MFeb 26, 2026 to Mar 17, 2026
- Accounts · 722 to 769Mar 20, 2024 to Mar 28, 2025
- HNW clients · 55 to 67Mar 20, 2024 to Mar 28, 2025
- Individual clients · 231 to 221Mar 20, 2024 to Mar 28, 2025
- Financial planning clients · 51-100 to 51-100Mar 20, 2024 to Mar 28, 2025
- Discretionary RAUM · $179M to $193MMar 20, 2024 to Mar 28, 2025
- HNW RAUM · $110M to $131MMar 20, 2024 to Mar 28, 2025
- Individual RAUM · $74.5M to $68.4MMar 20, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $4.9M to $5.5MMar 20, 2024 to Mar 28, 2025
- RAUM · $184M to $199MMar 20, 2024 to Mar 28, 2025
- Accounts · 728 to 722Mar 14, 2023 to Mar 20, 2024
- HNW clients · 76 to 55Mar 14, 2023 to Mar 20, 2024
- Individual clients · 195 to 231Mar 14, 2023 to Mar 20, 2024
- Assets in custody · 56344720.0 to unsetMar 14, 2023 to Mar 20, 2024
- Custody of client assets · true to falseMar 14, 2023 to Mar 20, 2024
- Discretionary RAUM · $167M to $179MMar 14, 2023 to Mar 20, 2024
- HNW RAUM · $120M to $110MMar 14, 2023 to Mar 20, 2024
- Individual RAUM · $51.9M to $74.5MMar 14, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $4.6M to $4.9MMar 14, 2023 to Mar 20, 2024
- RAUM · $172M to $184MMar 14, 2023 to Mar 20, 2024
- Accounts · 733 to 728Apr 29, 2022 to Mar 14, 2023
- HNW clients · 82 to 76Apr 29, 2022 to Mar 14, 2023
- Individual clients · 192 to 195Apr 29, 2022 to Mar 14, 2023
- Assets in custody · $96.4M to $56.3MApr 29, 2022 to Mar 14, 2023
- Financial planning clients · 101-250 to 51-100Apr 29, 2022 to Mar 14, 2023
- Discretionary RAUM · $203M to $167MApr 29, 2022 to Mar 14, 2023
- HNW RAUM · $153M to $120MApr 29, 2022 to Mar 14, 2023
- Individual RAUM · $60.6M to $51.9MApr 29, 2022 to Mar 14, 2023
- Non-discretionary RAUM · $10.9M to $4.6MApr 29, 2022 to Mar 14, 2023
- RAUM · $214M to $172MApr 29, 2022 to Mar 14, 2023
- Accounts · 720 to 733Mar 31, 2021 to Mar 10, 2022
- HNW clients · 76 to 82Mar 31, 2021 to Mar 10, 2022
- Assets in custody · $105M to $96.4MMar 31, 2021 to Mar 10, 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 phone
- 781-444-8876reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 781-444-9010reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- SPG1.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 781-444-9010reportedpublic record, Form ADV, Mar 17, 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
- $109Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026