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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Former SEC-registered adviser
P•••••• A•••••••• L••
Latest filing Mar 28, 2023
First filing on the tape Mar 29, 2012 · 23 filings
RAUM
$176M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
85%
$149M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$176M as of Mar 28, 2023
Mar 29, 2012$91.1M then
HNW client RAUM$108M as of Mar 28, 2023
Mar 27, 2018$53.2M then
State-registered IARs (5.B.3)3 as of Mar 28, 2023
Mar 29, 20120 then
Employees (5.A)5 as of Mar 28, 2023
Mar 26, 20132 then
Private funds: no history
RAUM +19% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 28, 2023; every figure names its basis
- RAUM per advisor
- $58.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $506,727derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 76%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +32%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$108M61%
- Individuals$40.9M23%
- Corporations and businesses$26.4M15%
- Charitable organizations$760,1010.4%
- Individual clients
- 113reported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 347reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- R••••• E•••• W•••••• to P•••••• I••••••••• A•••••••• L••May 31, 2023 · RIA to a newly registered adviser
- M•••••• P•••••• G••• to P•••••• I••••••••• A•••••••• L••May 31, 2023 · RIA to a newly registered adviser
Joined, latest
- R••••• E•••• W•••••• from C••••• A•••••• N••••••• L••Dec 23, 2021 · Affiliated broker-dealer or bank to independent RIA
- M•••••• P•••••• G••• from C••••• A•••••• N••••••• L••Dec 23, 2021 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P•••••• I••••••••• A•••••••• L••May 31, 2023 · Framingham, Ma
- 2 joined from C••••• A•••••• N••••••• L••Dec 14, 2021 · Framingham, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• F••••••• E••••• · Managing Member / Chief Compliance Officercontrolsince 05/2003 · owns 75% or more
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
- Accounts · 150 to 347Mar 21, 2022 to Mar 28, 2023
- Charity clients · 1.0 to unsetMar 21, 2022 to Mar 28, 2023
- HNW clients · 30 to 34Mar 21, 2022 to Mar 28, 2023
- Individual clients · 81 to 113Mar 21, 2022 to Mar 28, 2023
- Discretionary RAUM · $111M to $133MMar 21, 2022 to Mar 28, 2023
- HNW RAUM · $80.1M to $108MMar 21, 2022 to Mar 28, 2023
- Individual RAUM · $37.8M to $40.9MMar 21, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $36.6M to $42.8MMar 21, 2022 to Mar 28, 2023
- RAUM · $147M to $176MMar 21, 2022 to Mar 28, 2023
- Accounts · 234 to 150Jun 7, 2021 to Mar 21, 2022
- Advisory employees · 1 to 3Jun 7, 2021 to Mar 21, 2022
- Charity clients · unset to 1.0Jun 7, 2021 to Mar 21, 2022
- HNW clients · 27 to 30Jun 7, 2021 to Mar 21, 2022
- Individual clients · 106 to 81Jun 7, 2021 to Mar 21, 2022
- Employees · 2 to 5Jun 7, 2021 to Mar 21, 2022
- State-registered IARs · 1 to 3Jun 7, 2021 to Mar 21, 2022
- Discretionary RAUM · $104M to $111MJun 7, 2021 to Mar 21, 2022
- HNW RAUM · $69.0M to $80.1MJun 7, 2021 to Mar 21, 2022
- Individual RAUM · $46.0M to $37.8MJun 7, 2021 to Mar 21, 2022
- Non-discretionary RAUM · $31.1M to $36.6MJun 7, 2021 to Mar 21, 2022
- RAUM · $135M to $147MJun 7, 2021 to Mar 21, 2022
- Accounts · 275 to 234Jun 29, 2020 to Feb 23, 2021
- HNW clients · 26 to 27Jun 29, 2020 to Feb 23, 2021
- Individual clients · 121 to 106Jun 29, 2020 to Feb 23, 2021
- Discretionary RAUM · $101M to $104MJun 29, 2020 to Feb 23, 2021
- HNW RAUM · $45.9M to $69.0MJun 29, 2020 to Feb 23, 2021
- Individual RAUM · $59.3M to $46.0MJun 29, 2020 to Feb 23, 2021
- Non-discretionary RAUM · $30.0M to $31.1MJun 29, 2020 to Feb 23, 2021
- RAUM · $131M to $135MJun 29, 2020 to Feb 23, 2021
- Accounts · 247 to 275Mar 11, 2019 to Mar 11, 2020
- Advisory employees · 2 to 1Mar 11, 2019 to Mar 11, 2020
- BD registered reps · 1 to 0Mar 11, 2019 to Mar 11, 2020
- HNW clients · 25 to 26Mar 11, 2019 to Mar 11, 2020
- Individual clients · 82 to 121Mar 11, 2019 to Mar 11, 2020
- Employees · 5 to 2Mar 11, 2019 to Mar 11, 2020
- Insurance-licensed employees · 1 to 0Mar 11, 2019 to Mar 11, 2020
- Financial planning clients · 51-100 to 1-10Mar 11, 2019 to Mar 11, 2020
- State-registered IARs · 2 to 1Mar 11, 2019 to Mar 11, 2020
- Other offices · 1 to 0Mar 11, 2019 to Mar 11, 2020
- Discretionary RAUM · $91.1M to $101MMar 11, 2019 to Mar 11, 2020
Signals
3 dated events
- R••••• E•••• W•••••• left P•••••• A•••••••• L•• for P•••••• I••••••••• A•••••••• L•• (registered 2023-04-12)May 31, 2023 · a•••••• firm change · fact
- M•••••• P•••••• G••• left P•••••• A•••••••• L•• for P•••••• I••••••••• A•••••••• L•• (registered 2023-04-05)May 31, 2023 · a•••••• firm change · fact
- 2 advisors left P•••••• A•••••••• L•• (Framingham, MA) for P•••••• I••••••••• A•••••••• L•• on the same dayMay 31, 2023 · Team lift-out · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026