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

A••••••• C•••••• M••••••••• I•••

Former SEC-registered adviserHolliston, MassachusettsCRD 128361SEC 801-71450IAPD
Latest filing Mar 16, 2020
First filing on the tape Nov 21, 2011 · 24 filings
RAUM
$129M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$125M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$129M as of Mar 13, 2020
Mar 30, 2012$92.1M then
HNW client RAUM$67.7M as of Mar 13, 2020
Mar 2, 2018$74.9M then
State-registered IARs (5.B.3)1 as of Mar 13, 2020
Mar 26, 20131 then
Employees (5.A)3 as of Mar 13, 2020
Mar 26, 20134 then
Private funds: no history
RAUM +15% over the last fiscal year+3.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 2020; every figure names its basis
RAUM per advisor
$129MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
173derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$257,508derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.8%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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$67.7M53%
  • Individuals$57.5M45%
  • Pension and profit-sharing plans$1.8M1.5%
  • Charitable organizations$27,1380.0%
Individual clients
139reported
HNW clients
34reported
Pension plan clients
1reported
Charitable clients
1reported
Accounts
500reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • N•••••• W••••••• C•••• · President & Chief Compliance Officercontrol
        since 09/1992 · owns 75% or more
      • T••••• C••••••••• J•• · Operations Manager
        since 07/2013 · owns 10% to 25%
      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 · 499 to 500
        Mar 20, 2019 to Mar 13, 2020
      • HNW clients · 35 to 34
        Mar 20, 2019 to Mar 13, 2020
      • Individual clients · 124 to 139
        Mar 20, 2019 to Mar 13, 2020
      • Financial planning clients · 1-10 to 101-250
        Mar 20, 2019 to Mar 13, 2020
      • Discretionary RAUM · $110M to $125M
        Mar 20, 2019 to Mar 13, 2020
      • HNW RAUM · $62.6M to $67.7M
        Mar 20, 2019 to Mar 13, 2020
      • Individual RAUM · $48.1M to $57.5M
        Mar 20, 2019 to Mar 13, 2020
      • Non-discretionary RAUM · $1.9M to $3.3M
        Mar 20, 2019 to Mar 13, 2020
      • Pension RAUM · $1.5M to $1.8M
        Mar 20, 2019 to Mar 13, 2020
      • RAUM · $112M to $129M
        Mar 20, 2019 to Mar 13, 2020
      • Accounts · 506 to 499
        Mar 2, 2018 to Mar 20, 2019
      • HNW clients · 42 to 35
        Mar 2, 2018 to Mar 20, 2019
      • Individual clients · 119 to 124
        Mar 2, 2018 to Mar 20, 2019
      • Pension plan clients · 2 to 1
        Mar 2, 2018 to Mar 20, 2019
      • Discretionary RAUM · $121M to $110M
        Mar 2, 2018 to Mar 20, 2019
      • HNW RAUM · $74.9M to $62.6M
        Mar 2, 2018 to Mar 20, 2019
      • Individual RAUM · $44.4M to $48.1M
        Mar 2, 2018 to Mar 20, 2019
      • Non-discretionary RAUM · $4.3M to $1.9M
        Mar 2, 2018 to Mar 20, 2019
      • Pension RAUM · $5.1M to $1.5M
        Mar 2, 2018 to Mar 20, 2019
      • RAUM · $126M to $112M
        Mar 2, 2018 to Mar 20, 2019
      • Accounts · 495 to 506
        Mar 29, 2017 to Mar 2, 2018
      • Advisory employees · 1 to 2
        Mar 29, 2017 to Mar 2, 2018
      • Charity clients · unset to 1.0
        Mar 29, 2017 to Mar 2, 2018
      • HNW clients · unset to 42.0
        Mar 29, 2017 to Mar 2, 2018
      • Individual clients · unset to 119.0
        Mar 29, 2017 to Mar 2, 2018
      • Pension plan clients · unset to 2.0
        Mar 29, 2017 to Mar 2, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 2, 2018
      • Discretionary RAUM · $111M to $121M
        Mar 29, 2017 to Mar 2, 2018
      • HNW RAUM · unset to 74862323.0
        Mar 29, 2017 to Mar 2, 2018
      • Individual RAUM · unset to 44424700.0
        Mar 29, 2017 to Mar 2, 2018
      • Non-discretionary RAUM · $4.3M to $4.3M
        Mar 29, 2017 to Mar 2, 2018
      • Pension RAUM · unset to 5068642.0
        Mar 29, 2017 to Mar 2, 2018
      • RAUM · $115M to $126M
        Mar 29, 2017 to Mar 2, 2018
      • Accounts · 488 to 495
        Mar 7, 2016 to Feb 13, 2017
      • Discretionary RAUM · $99.5M to $111M
        Mar 7, 2016 to Feb 13, 2017
      • Non-discretionary RAUM · $5.7M to $4.3M
        Mar 7, 2016 to Feb 13, 2017
      • RAUM · $105M to $115M
        Mar 7, 2016 to Feb 13, 2017
      • Discretionary RAUM · $98.6M to $99.5M
        Nov 9, 2015 to Mar 7, 2016
      • Non-discretionary RAUM · $6.0M to $5.7M
        Nov 9, 2015 to Mar 7, 2016
      • RAUM · $105M to $105M
        Nov 9, 2015 to Mar 7, 2016
      Signals
      No event on the tape.
      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