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
E••••••• P•••• A•••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 19, 2012 · 26 filings
SEC status approved since Sep 16, 2004
RAUM
$380M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$379M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$380M as of Mar 25, 2026
Mar 19, 2012$104M then
HNW client RAUM$334M as of Mar 25, 2026
Mar 5, 2018$159M then
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Mar 19, 20120 then
Employees (5.A)3 as of Mar 25, 2026
Mar 14, 20132 then
Private funds: no history
RAUM +7.3% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 25, 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
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $500,284derivedRAUM 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
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $35.0M, 22 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$334M88%
- Individuals$45.4M12%
- Corporations and businesses$567,4020.1%
- Individual clients
- 156reported
- HNW clients
- 92reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 759reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $35.0M for 22 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=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• C••••••••• O••••••• | Canton, Ma | Mar 15, 2004 | 42 y | 1 |
| T••••• A•••••• P••••••• | Sudbury, Ma | Mar 15, 2004 | 41 y | 1 |
| D••••• R••••• O•••••••Certified Financial Planner | Canton, Ma | Aug 13, 2019 | 16 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
- T••••• A•••••• P••••••• from S•••••••• A••••••• L••Mar 15, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O•••••••• J•••• C••••••••• · President / Membercontrolsince 02/2003 · owns 50% to 75%
- P•••••••• T•••••• A•••••• · Principal / Senior Vice President / Chief Compliance Officercontrolsince 03/2004 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Sudbury, Ma · principal | 3 | 0 | 0 | ||
| Canton, Ma | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Canton, MA2 employees
What changed
consecutive filings, newest first
- Accounts · 718 to 759Jan 16, 2026 to Mar 25, 2026
- HNW clients · 80 to 92Jan 16, 2026 to Mar 25, 2026
- Individual clients · 176 to 156Jan 16, 2026 to Mar 25, 2026
- Assets in custody · $31.9M to $35.0MJan 16, 2026 to Mar 25, 2026
- Discretionary RAUM · $354M to $380MJan 16, 2026 to Mar 25, 2026
- HNW RAUM · $299M to $334MJan 16, 2026 to Mar 25, 2026
- Individual RAUM · $54.6M to $45.4MJan 16, 2026 to Mar 25, 2026
- RAUM · $354M to $380MJan 16, 2026 to Mar 25, 2026
- Accounts · 706 to 718Sep 30, 2024 to Mar 19, 2025
- Individual clients · 158 to 176Sep 30, 2024 to Mar 19, 2025
- Assets in custody · $24.1M to $31.9MSep 30, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Sep 30, 2024 to Mar 19, 2025
- Discretionary RAUM · $309M to $354MSep 30, 2024 to Mar 19, 2025
- HNW RAUM · $262M to $299MSep 30, 2024 to Mar 19, 2025
- Individual RAUM · $46.4M to $54.6MSep 30, 2024 to Mar 19, 2025
- RAUM · $309M to $354MSep 30, 2024 to Mar 19, 2025
- Other offices · 0 to 1Mar 22, 2024 to Sep 30, 2024
- Accounts · 665 to 706Mar 8, 2023 to Mar 22, 2024
- Corporate clients · 0.0 to unsetMar 8, 2023 to Mar 22, 2024
- HNW clients · 75 to 80Mar 8, 2023 to Mar 22, 2024
- Individual clients · 150 to 158Mar 8, 2023 to Mar 22, 2024
- Assets in custody · $24.2M to $24.1MMar 8, 2023 to Mar 22, 2024
- Discretionary RAUM · $270M to $309MMar 8, 2023 to Mar 22, 2024
- HNW RAUM · $228M to $262MMar 8, 2023 to Mar 22, 2024
- Individual RAUM · $42.1M to $46.4MMar 8, 2023 to Mar 22, 2024
- RAUM · $270M to $309MMar 8, 2023 to Mar 22, 2024
- Accounts · 647 to 665Mar 22, 2022 to Mar 8, 2023
- Charity clients · unset to 0.0Mar 22, 2022 to Mar 8, 2023
- Corporate clients · unset to 0.0Mar 22, 2022 to Mar 8, 2023
- HNW clients · 87 to 75Mar 22, 2022 to Mar 8, 2023
- Individual clients · 113 to 150Mar 22, 2022 to Mar 8, 2023
- Pension plan clients · unset to 0.0Mar 22, 2022 to Mar 8, 2023
- Pooled vehicle clients · unset to 0.0Mar 22, 2022 to Mar 8, 2023
- Assets in custody · $16.4M to $24.2MMar 22, 2022 to Mar 8, 2023
- Discretionary RAUM · $293M to $270MMar 22, 2022 to Mar 8, 2023
- HNW RAUM · $261M to $228MMar 22, 2022 to Mar 8, 2023
- Individual RAUM · $32.1M to $42.1MMar 22, 2022 to Mar 8, 2023
- Pension RAUM · unset to 0.0Mar 22, 2022 to Mar 8, 2023
- Pooled vehicle RAUM · unset to 0.0Mar 22, 2022 to Mar 8, 2023
- RAUM · $293M to $270MMar 22, 2022 to Mar 8, 2023
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
- Principal office phone
- 978-443-4405reportedpublic record, Form ADV, Mar 25, 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
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026