DFX Intelligence
RIA Intelligence
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SEC-registered adviser
T•• W••••• M•••••••••
Legal name W•••• F•••••••• A•••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Apr 24, 2019 · 18 filings
SEC status approved since May 24, 2019
RAUM
$279M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$279M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$140M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$279M as of Mar 24, 2026
Mar 24, 2020$180M then
HNW client RAUM$248M as of Mar 24, 2026
Mar 24, 2020$150M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Mar 24, 20202 then
Employees (5.A)5 as of Mar 24, 2026
Mar 24, 20205 then
Private funds: no history
RAUM +12% over the last fiscal year+11% a year over threeIARs 2 to 2offices 0 to 2
Practice profile
derived from the filing of Mar 24, 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
- RAUM per advisor
- $140MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $657,078derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $36.0M, 26 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$248M89%
- Individuals$30.9M11%
- Charitable organizations$44,1250.0%
- Individual clients
- 57reported
- HNW clients
- 75reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 425reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $36.0M for 26 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• B•••••• W••••Certified Financial Planner, Chartered Financial Consultant | Framingham, Ma | Sep 5, 1996 | 35 y | 1 |
| S•••• A•• W••••Certified Financial Planner | Framingham, Ma | Jul 24, 2013 | 14 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 headcount1 left over 36 months
Left, latest
- S•••• M••••••• D••••••• to L•• F•••••••• L••May 7, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- S•••• M••••••• D••••••• from C••••••••• F•••••••• N••••••Apr 5, 2022 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• T••••• B•••••• · Managing Principal/Chief Compliance Officercontrolsince 08/1996 · owns 75% or more
- W••••• S••••• A•• · Principalsince 03/2015 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Framingham, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 426 to 425Mar 20, 2025 to Mar 24, 2026
- BD registered reps · 2 to 3Mar 20, 2025 to Mar 24, 2026
- HNW clients · 71 to 75Mar 20, 2025 to Mar 24, 2026
- Individual clients · 59 to 57Mar 20, 2025 to Mar 24, 2026
- Assets in custody · $27.3M to $36.0MMar 20, 2025 to Mar 24, 2026
- Other offices · 0 to 2Mar 20, 2025 to Mar 24, 2026
- Discretionary RAUM · $249M to $279MMar 20, 2025 to Mar 24, 2026
- HNW RAUM · $219M to $248MMar 20, 2025 to Mar 24, 2026
- Individual RAUM · $29.7M to $30.9MMar 20, 2025 to Mar 24, 2026
- RAUM · $249M to $279MMar 20, 2025 to Mar 24, 2026
- Accounts · 403 to 426Mar 28, 2024 to Mar 20, 2025
- BD registered reps · 3 to 2Mar 28, 2024 to Mar 20, 2025
- HNW clients · 67 to 71Mar 28, 2024 to Mar 20, 2025
- Individual clients · 60 to 59Mar 28, 2024 to Mar 20, 2025
- Assets in custody · $23.3M to $27.3MMar 28, 2024 to Mar 20, 2025
- Financial planning clients · 1-10 to 1-10Mar 28, 2024 to Mar 20, 2025
- State-registered IARs · 3 to 2Mar 28, 2024 to Mar 20, 2025
- Discretionary RAUM · $223M to $249MMar 28, 2024 to Mar 20, 2025
- HNW RAUM · $194M to $219MMar 28, 2024 to Mar 20, 2025
- Individual RAUM · $28.8M to $29.7MMar 28, 2024 to Mar 20, 2025
- RAUM · $223M to $249MMar 28, 2024 to Mar 20, 2025
- Accounts · 406 to 403Mar 21, 2023 to Mar 26, 2024
- HNW clients · 68 to 67Mar 21, 2023 to Mar 26, 2024
- Individual clients · 66 to 60Mar 21, 2023 to Mar 26, 2024
- Assets in custody · $18.0M to $23.3MMar 21, 2023 to Mar 26, 2024
- Discretionary RAUM · $203M to $223MMar 21, 2023 to Mar 26, 2024
- HNW RAUM · $174M to $194MMar 21, 2023 to Mar 26, 2024
- Individual RAUM · $28.9M to $28.8MMar 21, 2023 to Mar 26, 2024
- RAUM · $203M to $223MMar 21, 2023 to Mar 26, 2024
- Accounts · 398 to 406Oct 24, 2022 to Mar 20, 2023
- BD registered reps · 2 to 3Oct 24, 2022 to Mar 20, 2023
- HNW clients · 71 to 68Oct 24, 2022 to Mar 20, 2023
- Individual clients · 61 to 66Oct 24, 2022 to Mar 20, 2023
- Assets in custody · $18.8M to $18.0MOct 24, 2022 to Mar 20, 2023
- Employees · 6 to 5Oct 24, 2022 to Mar 20, 2023
- Discretionary RAUM · $234M to $203MOct 24, 2022 to Mar 20, 2023
- HNW RAUM · $204M to $174MOct 24, 2022 to Mar 20, 2023
- Individual RAUM · $30.0M to $28.9MOct 24, 2022 to Mar 20, 2023
- RAUM · $234M to $203MOct 24, 2022 to Mar 20, 2023
- Accounts · 383 to 398Mar 26, 2021 to Mar 23, 2022
Signals
2 dated events
- S•••• M••••••• D••••••• left T•• W••••• M••••••••• for L•• F•••••••• L•• (registered 2024-12-24)May 7, 2024 · Advisor changed firm · fact
- W•••• F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Apr 24, 2019 · 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
- TSWMANAGEMENT.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 508-655-9303reportedpublic record, Form ADV, Mar 24, 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
- $140Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026