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
B••••••••• C•••••• M••••••••• L••
Latest filing Sep 18, 2026
First filing on the tape Mar 30, 2012 · 15 filings
SEC status approved since Aug 15, 2022
RAUM
$161M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$141M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$161M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$161M as of Mar 25, 2026
Mar 30, 2012$79.4M then
HNW client RAUM$130M as of Mar 25, 2026
Mar 23, 2023$112M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 30, 20120 then
Employees (5.A)1 as of Mar 25, 2026
Mar 23, 20231 then
Private funds: no history
RAUM +4.9% over the last fiscal year+3.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 18, 2026; 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
- $161MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.2MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10.0%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
- +4.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $78.2M, 10 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$130M81%
- Charitable organizations$16.1M10.0%
- Individuals$11.7M7.3%
- Corporations and businesses$3.5M2.2%
- Individual clients
- 18reported
- HNW clients
- 18reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 94reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $78.2M for 10 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.1 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• E••• G•••••Chartered Financial Analyst | Boston, Ma | Jun 16, 2003 | 31 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• A••••• M••••• · Principal/Managing Membercontrolsince 10/2003 · owns 50% to 75%
- G•••••• B••••• E••• · Principal/Managing Member/Chief Compliance Officercontrolsince 11/2002 · owns 50% to 75%
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
- Financial planning clients · to unsetMar 25, 2026 to Sep 18, 2026
- Related adviser · false to unsetMar 25, 2026 to Sep 18, 2026
- Related bank · false to unsetMar 25, 2026 to Sep 18, 2026
- Related broker-dealer · false to unsetMar 25, 2026 to Sep 18, 2026
- Related insurance company · false to unsetMar 25, 2026 to Sep 18, 2026
- Succession · false to unsetMar 25, 2026 to Sep 18, 2026
- Accounts · 101 to 94Oct 28, 2025 to Mar 25, 2026
- HNW clients · 19 to 18Oct 28, 2025 to Mar 25, 2026
- Individual clients · 22 to 18Oct 28, 2025 to Mar 25, 2026
- Assets in custody · $66.8M to $78.2MOct 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $154M to $161MOct 28, 2025 to Mar 25, 2026
- HNW RAUM · $123M to $130MOct 28, 2025 to Mar 25, 2026
- Individual RAUM · $12.0M to $11.7MOct 28, 2025 to Mar 25, 2026
- RAUM · $154M to $161MOct 28, 2025 to Mar 25, 2026
- Assets in custody · $64.5M to $66.8MMar 27, 2025 to Oct 28, 2025
- Accounts · 102 to 101Mar 20, 2024 to Mar 27, 2025
- Charity clients · 1.0 to unsetMar 20, 2024 to Mar 27, 2025
- Corporate clients · 1.0 to unsetMar 20, 2024 to Mar 27, 2025
- HNW clients · 21 to 19Mar 20, 2024 to Mar 27, 2025
- Individual clients · 23 to 22Mar 20, 2024 to Mar 27, 2025
- Pension plan clients · 0.0 to unsetMar 20, 2024 to Mar 27, 2025
- Pooled vehicle clients · 0.0 to unsetMar 20, 2024 to Mar 27, 2025
- Assets in custody · $1.2M to $64.5MMar 20, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 27, 2025
- Discretionary RAUM · $152M to $154MMar 20, 2024 to Mar 27, 2025
- HNW RAUM · $123M to $123MMar 20, 2024 to Mar 27, 2025
- Individual RAUM · $10.9M to $12.0MMar 20, 2024 to Mar 27, 2025
- Pension RAUM · 0.0 to unsetMar 20, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · 0.0 to unsetMar 20, 2024 to Mar 27, 2025
- RAUM · $152M to $154MMar 20, 2024 to Mar 27, 2025
- Accounts · 101 to 102Jan 16, 2024 to Mar 20, 2024
- Corporate clients · 2 to 1Jan 16, 2024 to Mar 20, 2024
- HNW clients · 20 to 21Jan 16, 2024 to Mar 20, 2024
- Individual clients · 47 to 23Jan 16, 2024 to Mar 20, 2024
- Assets in custody · $1.2M to $1.2MJan 16, 2024 to Mar 20, 2024
- Discretionary RAUM · $144M to $152MJan 16, 2024 to Mar 20, 2024
- HNW RAUM · $112M to $123MJan 16, 2024 to Mar 20, 2024
- Individual RAUM · $14.6M to $10.9MJan 16, 2024 to Mar 20, 2024
- RAUM · $144M to $152MJan 16, 2024 to Mar 20, 2024
- Assets in custody · $4.0M to $1.2MDec 9, 2022 to Mar 23, 2023
Signals
1 dated events
- B••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 15, 2022 · 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
- Principal office phone
- 617-778-0095reportedpublic record, Form ADV, Sep 18, 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
- $161Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026