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•••••• A•••••••• L••
Latest filing Aug 19, 2026
First filing on the tape Mar 5, 2012 · 17 filings
SEC status approved since Mar 25, 2021
RAUM
$171M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
94%
$161M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$57.1M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$171M as of Aug 19, 2026
Mar 24, 2021$120M then
HNW client RAUM$147M as of Aug 19, 2026
Mar 24, 2021$105M then
State-registered IARs (5.B.3)3 as of Aug 19, 2026
Mar 24, 20212 then
Employees (5.A)3 as of Aug 19, 2026
Mar 24, 20212 then
Private funds: no history
RAUM +8.3% over the last fiscal year+11% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Aug 19, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $57.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $789,782derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +38%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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$147M86%
- Individuals$14.0M8.2%
- Charitable organizations$6.9M4.0%
- Pension and profit-sharing plans$3.6M2.1%
- Corporations and businesses$67,2460.0%
- Individual clients
- 32reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 217reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 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 |
|---|---|---|---|---|
| W•••• M••••• U•••••Chartered Financial Analyst | Holden, Ma | Sep 11, 2003 | 23 y | 0 |
| R••••• E••••• J•••••••Certified Financial Planner | Holden, Ma | Nov 5, 2014 | 12 y | 0 |
| T••••• M••••• J••••••• | Holden, Ma | Nov 20, 2025 | 10 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
- J•••••••• R•••••• E••••• · Director And Chief Compliance Officercontrolsince 01/2015 · owns less than 5%
- U•••••• W••••• M••••• · Managing Directorcontrolsince 07/2003 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Holden, Ma · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 196 to 217Nov 21, 2025 to Mar 11, 2026
- Advisory employees · 2 to 3Nov 21, 2025 to Mar 11, 2026
- HNW clients · 32 to 45Nov 21, 2025 to Mar 11, 2026
- Individual clients · 24 to 32Nov 21, 2025 to Mar 11, 2026
- Employees · 2 to 3Nov 21, 2025 to Mar 11, 2026
- State-registered IARs · 2 to 3Nov 21, 2025 to Mar 11, 2026
- Discretionary RAUM · $155M to $168MNov 21, 2025 to Mar 11, 2026
- HNW RAUM · $138M to $147MNov 21, 2025 to Mar 11, 2026
- Individual RAUM · $11.7M to $14.0MNov 21, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $2.8M to $3.6MNov 21, 2025 to Mar 11, 2026
- Pension RAUM · $3.2M to $3.6MNov 21, 2025 to Mar 11, 2026
- RAUM · $158M to $171MNov 21, 2025 to Mar 11, 2026
- Accounts · 190 to 196Jan 16, 2025 to Feb 18, 2025
- Individual clients · 21 to 24Jan 16, 2025 to Feb 18, 2025
- Financial planning clients · unset to Jan 16, 2025 to Feb 18, 2025
- Discretionary RAUM · $137M to $155MJan 16, 2025 to Feb 18, 2025
- HNW RAUM · $124M to $138MJan 16, 2025 to Feb 18, 2025
- Individual RAUM · $8.6M to $11.7MJan 16, 2025 to Feb 18, 2025
- Non-discretionary RAUM · $2.6M to $2.8MJan 16, 2025 to Feb 18, 2025
- Pension RAUM · $2.6M to $3.2MJan 16, 2025 to Feb 18, 2025
- RAUM · $140M to $158MJan 16, 2025 to Feb 18, 2025
- Accounts · 193 to 190Nov 3, 2023 to Feb 22, 2024
- Individual clients · 25 to 21Nov 3, 2023 to Feb 22, 2024
- Discretionary RAUM · $123M to $137MNov 3, 2023 to Feb 22, 2024
- HNW RAUM · $109M to $124MNov 3, 2023 to Feb 22, 2024
- Individual RAUM · $10.2M to $8.6MNov 3, 2023 to Feb 22, 2024
- Non-discretionary RAUM · $2.9M to $2.6MNov 3, 2023 to Feb 22, 2024
- Pension RAUM · $2.7M to $2.6MNov 3, 2023 to Feb 22, 2024
- RAUM · $126M to $140MNov 3, 2023 to Feb 22, 2024
- Accounts · 176 to 193May 5, 2022 to Mar 29, 2023
- HNW clients · 33 to 32May 5, 2022 to Mar 29, 2023
- Individual clients · 20 to 25May 5, 2022 to Mar 29, 2023
- Discretionary RAUM · $131M to $123MMay 5, 2022 to Mar 29, 2023
- HNW RAUM · $117M to $109MMay 5, 2022 to Mar 29, 2023
- Individual RAUM · $8.8M to $10.2MMay 5, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $3.3M to $2.9MMay 5, 2022 to Mar 29, 2023
- Pension RAUM · $3.1M to $2.7MMay 5, 2022 to Mar 29, 2023
- RAUM · $134M to $126MMay 5, 2022 to Mar 29, 2023
- Accounts · 162 to 176Oct 25, 2021 to Feb 23, 2022
- HNW clients · 32 to 33Oct 25, 2021 to Feb 23, 2022
Signals
3 dated events
- Blakeslee Elizabeth Phelps (Director/Chief Compliance Officer) no longer on Schedule A of A•••••• A•••••••• L•• (listed 2012-03-16, absent 2021-02-22)Feb 22, 2021 · Control person left · inference
- Edward Robert Jacobsen (Director And Chief Compliance Officer) appeared on Schedule A of A•••••• A•••••••• L••Feb 22, 2021 · Control person joined · fact
- A•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 22, 2021 · 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
- 508-351-9666reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/6716524/admin/feed/postsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (508) 351-9666reportedpublic record, Form ADV, Aug 19, 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
- $57.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026