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
C•••• D•••••••• C••
Legal name D•••••••• C•••• D••••••
Latest filing Jan 14, 2026
First filing on the tape Sep 28, 2017 · 19 filings
SEC status approved since Oct 27, 2017
RAUM
$371M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$371M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$371M
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
19 filings and snapshots on the tape
RAUM$371M as of Jan 14, 2026
Jan 30, 2018$138M then
HNW client RAUM$350M as of Jan 14, 2026
Jan 30, 2018$97.9M then
State-registered IARs (5.B.3)1 as of Jan 14, 2026
Jan 30, 20181 then
Employees (5.A)1 as of Jan 14, 2026
Jan 30, 20181 then
Private funds: no history
RAUM +14% over the last fiscal year+20% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 14, 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
- $371MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 152derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $544,754derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.9%derived
- Compensation
- percentage of assets, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $151M, 117 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$350M94%
- Individuals$20.6M5.6%
- Individual clients
- 32reported
- HNW clients
- 120reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 681reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $151M for 117 clientsreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• D•••••• D•••••••Certified Financial Planner | Bartlett, Nh | Jun 23, 2003 | 27 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
- D•••••••• C••••• D•••••• · Sole Proprietor, Certified Financial Planner, Chief Compliance Officercontrolsince 03/2003 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 677 to 681Mar 28, 2025 to Jan 14, 2026
- HNW clients · 111 to 120Mar 28, 2025 to Jan 14, 2026
- Individual clients · 44 to 32Mar 28, 2025 to Jan 14, 2026
- Assets in custody · $128M to $151MMar 28, 2025 to Jan 14, 2026
- Discretionary RAUM · $308M to $368MMar 28, 2025 to Jan 14, 2026
- HNW RAUM · $297M to $350MMar 28, 2025 to Jan 14, 2026
- Individual RAUM · $28.0M to $20.6MMar 28, 2025 to Jan 14, 2026
- Non-discretionary RAUM · $17.0M to $2.7MMar 28, 2025 to Jan 14, 2026
- RAUM · $325M to $371MMar 28, 2025 to Jan 14, 2026
- Accounts · 643 to 677Jan 24, 2024 to Mar 28, 2025
- HNW clients · 96 to 111Jan 24, 2024 to Mar 28, 2025
- Individual clients · 58 to 44Jan 24, 2024 to Mar 28, 2025
- Assets in custody · unset to 128490572.0Jan 24, 2024 to Mar 28, 2025
- Custody of client assets · false to trueJan 24, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Jan 24, 2024 to Mar 28, 2025
- HQ city · ACTON to Jan 24, 2024 to Mar 28, 2025
- HQ state · MA to Jan 24, 2024 to Mar 28, 2025
- Other offices · 2 to 0Jan 24, 2024 to Mar 28, 2025
- Discretionary RAUM · $249M to $308MJan 24, 2024 to Mar 28, 2025
- HNW RAUM · $227M to $297MJan 24, 2024 to Mar 28, 2025
- Individual RAUM · $37.8M to $28.0MJan 24, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $15.9M to $17.0MJan 24, 2024 to Mar 28, 2025
- RAUM · $265M to $325MJan 24, 2024 to Mar 28, 2025
- Accounts · 622 to 643Jan 30, 2023 to Jan 24, 2024
- HNW clients · 86 to 96Jan 30, 2023 to Jan 24, 2024
- Individual clients · 71 to 58Jan 30, 2023 to Jan 24, 2024
- Discretionary RAUM · $200M to $249MJan 30, 2023 to Jan 24, 2024
- HNW RAUM · $175M to $227MJan 30, 2023 to Jan 24, 2024
- Individual RAUM · $39.4M to $37.8MJan 30, 2023 to Jan 24, 2024
- Non-discretionary RAUM · $14.3M to $15.9MJan 30, 2023 to Jan 24, 2024
- Pension RAUM · unset to 0.0Jan 30, 2023 to Jan 24, 2024
- Pooled vehicle RAUM · unset to 0.0Jan 30, 2023 to Jan 24, 2024
- RAUM · $214M to $265MJan 30, 2023 to Jan 24, 2024
- Accounts · 615 to 622May 2, 2022 to Jan 30, 2023
- HNW clients · 102 to 86May 2, 2022 to Jan 30, 2023
- Individual clients · 54 to 71May 2, 2022 to Jan 30, 2023
- Discretionary RAUM · $237M to $200MMay 2, 2022 to Jan 30, 2023
- HNW RAUM · $225M to $175MMay 2, 2022 to Jan 30, 2023
- Individual RAUM · $31.1M to $39.4MMay 2, 2022 to Jan 30, 2023
- Non-discretionary RAUM · $19.1M to $14.3MMay 2, 2022 to Jan 30, 2023
Signals
1 dated events
- C•••• D•••••••• C•• filed its initial SEC registration (Form ADV)Sep 28, 2017 · 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
- Business phone
- 978-977-4757reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 413-254-9735reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 978-772-2156reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- C••••D•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 978-772-2156reportedpublic record, Form ADV, Jan 14, 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
- $371Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026