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
A••••••• I••••••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2017 · 14 filings
SEC status approved since May 4, 2017
RAUM
$826M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
86%
$710M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$165M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$826M as of Mar 27, 2026
Mar 29, 2018$569M then
HNW client RAUM$690M as of Mar 27, 2026
Mar 29, 2018$433M then
State-registered IARs (5.B.3)5 as of Mar 27, 2026
Mar 29, 20184 then
Employees (5.A)8 as of Mar 27, 2026
Mar 29, 20187 then
Private funds: no history
RAUM +7.8% over the last fiscal year+11% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $165MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $667,286derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $292M, 125 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
- 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$690M84%
- Charitable organizations$117M14%
- Individuals$19.2M2.3%
- Individual clients
- 33reported
- HNW clients
- 147reported
- Pension plan clients
- 0reported
- Charitable clients
- 9reported
- Accounts
- 1,238reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $292M for 125 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••••• A••• H••••••••Chartered Financial Consultant | Hingham, Ma | Dec 2, 1994 | 35 y | 0 |
| N••••• D••••• W•••• | Hingham, Ma | Jun 12, 2006 | 21 y | 0 |
| M••••••• C• F•••••Certified Financial Planner | Hingham, Ma | Feb 12, 2015 | 36 y | 0 |
| T•••••• B••••••• N•••Chartered Financial Analyst | Hingham, Ma | Jul 7, 2017 | 23 y | 2 |
| S•••••• R••••••• H••••••••Chartered Financial Consultant | Hingham, Ma | Aug 3, 2022 | 19 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•••••• B••••••• N••• from C•••••••• G••••• M•••••• I•••Jul 7, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• W•••••• A••• · Managing Membercontrolsince 01/2006 · owns 50% to 75%
- W••••• N•••••• D••••• · Managing Member / Chief Compliance Officercontrolsince 01/2007 · owns 25% to 50%
- F•••••• M•••••••• C• · Member And Senior Financial Plannersince 08/2020 · owns less than 5%
- N•••• T••••••• B••••••• · Principal And Chief Portfolio Strategistsince 06/2017 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Hingham, Ma · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 27, 2026discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 1,266 to 1,238May 29, 2025 to Mar 27, 2026
- HNW clients · 138 to 147May 29, 2025 to Mar 27, 2026
- Individual clients · 40 to 33May 29, 2025 to Mar 27, 2026
- Assets in custody · $305M to $292MMay 29, 2025 to Mar 27, 2026
- Employees · 7 to 8May 29, 2025 to Mar 27, 2026
- HNW RAUM · $629M to $690MMay 29, 2025 to Mar 27, 2026
- Individual RAUM · $23.5M to $19.2MMay 29, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $766M to $826MMay 29, 2025 to Mar 27, 2026
- RAUM · $766M to $826MMay 29, 2025 to Mar 27, 2026
- Financial planning clients · 101-250 to 101-250Mar 29, 2025 to May 29, 2025
- Accounts · 1,431 to 1,266Mar 28, 2024 to Mar 29, 2025
- HNW clients · 129 to 138Mar 28, 2024 to Mar 29, 2025
- Individual clients · 46 to 40Mar 28, 2024 to Mar 29, 2025
- Assets in custody · $258M to $305MMar 28, 2024 to Mar 29, 2025
- HNW RAUM · $577M to $629MMar 28, 2024 to Mar 29, 2025
- Individual RAUM · $28.6M to $23.5MMar 28, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $709M to $766MMar 28, 2024 to Mar 29, 2025
- RAUM · $709M to $766MMar 28, 2024 to Mar 29, 2025
- Accounts · 1,332 to 1,431Mar 30, 2023 to Mar 28, 2024
- HNW clients · 122 to 129Mar 30, 2023 to Mar 28, 2024
- Individual clients · 48 to 46Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $201M to $258MMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $498M to $577MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $27.0M to $28.6MMar 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $608M to $709MMar 30, 2023 to Mar 28, 2024
- RAUM · $608M to $709MMar 30, 2023 to Mar 28, 2024
- Accounts · 1,255 to 1,332Aug 3, 2022 to Mar 30, 2023
- HNW clients · 125 to 122Aug 3, 2022 to Mar 30, 2023
- Individual clients · 43 to 48Aug 3, 2022 to Mar 30, 2023
- Assets in custody · $197M to $201MAug 3, 2022 to Mar 30, 2023
- HNW RAUM · $551M to $498MAug 3, 2022 to Mar 30, 2023
- Individual RAUM · $25.5M to $27.0MAug 3, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $685M to $608MAug 3, 2022 to Mar 30, 2023
- Pension RAUM · unset to 0.0Aug 3, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · unset to 0.0Aug 3, 2022 to Mar 30, 2023
- RAUM · $685M to $608MAug 3, 2022 to Mar 30, 2023
- State-registered IARs · 4 to 5Mar 29, 2022 to Aug 3, 2022
- Accounts · 1,151 to 1,255Mar 30, 2021 to Mar 29, 2022
- Charity clients · 10 to 9Mar 30, 2021 to Mar 29, 2022
- HNW clients · 120 to 125Mar 30, 2021 to Mar 29, 2022
Signals
1 dated events
- A••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 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
- 781-740-1199reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 781-740-1822reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- A•••••••-INV.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 781-740-1199reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $165Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026