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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
P•••••••• A••••••• G••••• L••
Latest filing Jul 29, 2026
First filing on the tape Mar 27, 2012 · 33 filings
SEC status approved since Mar 25, 2004
RAUM
$397M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$396M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$397M as of Jul 29, 2026
Mar 27, 2012$96.1M then
HNW client RAUM$357M as of Jul 29, 2026
Mar 11, 2018$174M then
State-registered IARs (5.B.3)3 as of Jul 29, 2026
Mar 27, 20120 then
Employees (5.A)4 as of Jul 29, 2026
Apr 1, 20133 then
Private funds: no history
RAUM +23% over the last fiscal year+15% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 29, 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
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $600,299derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%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, fixed feesreportedItem 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$357M90%
- Individuals$39.3M9.9%
- Charitable organizations$1.1M0.3%
- Individual clients
- 86reported
- HNW clients
- 105reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 662reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| D•••• A•••• C•••••••• | Westford, Ma | Jun 9, 1998 | 28 y | 0 |
| K••••• L••• B••••••Certified Financial Planner | Westford, Ma | Jul 25, 2017 | 11 y | 0 |
| T•••• B•••• D•••••Certified Financial Planner | Westford, Ma | Sep 7, 2022 | 14 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
- K•••••• B•••• H••• to H••• W••••• M•••••••••Jun 26, 2020 · RIA to a state-registered adviser
- R••••• N••••• D•••••••• to N•••••••• F•••••••• P•••••••• L••Nov 15, 2017 · Other
Joined, latest
- K•••••• B•••• H••• from H••• W••••• M•••••••••Dec 11, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• D••••• A•••• · Managing Member/Owner/Principalcontrolsince 01/1998 · owns less than 5%
- D•••••• T••••• B•••• · Financial Advisor/Shareholdercontrolsince 04/2024 · owns 10% to 25%
- C••••••••• D••••• A•••• · Trusteecontrolsince 09/2019 · owns 75% or more of M•••••• T••••
- B••••••• K•••••• L••• · Chief Compliance Officer/Principal/Financial Advisorsince 02/2024 · owns 10% to 25%
Entity owners
- M•••••• T•••• · Shareholderdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Westford, Ma · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 688 to 662Jan 21, 2026 to Mar 11, 2026
- Advisory activities · 2 to 3Jan 21, 2026 to Mar 11, 2026
- HNW clients · 91 to 105Jan 21, 2026 to Mar 11, 2026
- Individual clients · 98 to 86Jan 21, 2026 to Mar 11, 2026
- Discretionary RAUM · $324M to $397MJan 21, 2026 to Mar 11, 2026
- HNW RAUM · $280M to $357MJan 21, 2026 to Mar 11, 2026
- Individual RAUM · $43.4M to $39.3MJan 21, 2026 to Mar 11, 2026
- RAUM · $324M to $397MJan 21, 2026 to Mar 11, 2026
- Accounts · 732 to 688Nov 7, 2024 to Mar 4, 2025
- HNW clients · 86 to 91Nov 7, 2024 to Mar 4, 2025
- Individual clients · 119 to 98Nov 7, 2024 to Mar 4, 2025
- Financial planning clients · 101-250 to 101-250Nov 7, 2024 to Mar 4, 2025
- Discretionary RAUM · $287M to $324MNov 7, 2024 to Mar 4, 2025
- HNW RAUM · $237M to $280MNov 7, 2024 to Mar 4, 2025
- Individual RAUM · $49.1M to $43.4MNov 7, 2024 to Mar 4, 2025
- RAUM · $287M to $324MNov 7, 2024 to Mar 4, 2025
- Other offices · 0 to 1Jul 23, 2024 to Nov 7, 2024
- Accounts · 735 to 732Sep 28, 2023 to Mar 7, 2024
- HNW clients · 93 to 86Sep 28, 2023 to Mar 7, 2024
- Individual clients · 78 to 119Sep 28, 2023 to Mar 7, 2024
- Discretionary RAUM · $261M to $287MSep 28, 2023 to Mar 7, 2024
- HNW RAUM · $222M to $237MSep 28, 2023 to Mar 7, 2024
- Individual RAUM · $38.5M to $49.1MSep 28, 2023 to Mar 7, 2024
- RAUM · $261M to $287MSep 28, 2023 to Mar 7, 2024
- Accounts · 761 to 735Sep 13, 2022 to Mar 10, 2023
- Advisory employees · 2 to 3Sep 13, 2022 to Mar 10, 2023
- HNW clients · 94 to 93Sep 13, 2022 to Mar 10, 2023
- Individual clients · 74 to 78Sep 13, 2022 to Mar 10, 2023
- Employees · 3 to 4Sep 13, 2022 to Mar 10, 2023
- State-registered IARs · 2 to 3Sep 13, 2022 to Mar 10, 2023
- Discretionary RAUM · $299M to $261MSep 13, 2022 to Mar 10, 2023
- HNW RAUM · $261M to $222MSep 13, 2022 to Mar 10, 2023
- Individual RAUM · $37.6M to $38.5MSep 13, 2022 to Mar 10, 2023
- RAUM · $299M to $261MSep 13, 2022 to Mar 10, 2023
- Accounts · 746 to 761Mar 8, 2021 to Mar 14, 2022
- HNW clients · 93 to 94Mar 8, 2021 to Mar 14, 2022
- Discretionary RAUM · $269M to $299MMar 8, 2021 to Mar 14, 2022
- HNW RAUM · $233M to $261MMar 8, 2021 to Mar 14, 2022
- Individual RAUM · $36.2M to $37.6MMar 8, 2021 to Mar 14, 2022
- RAUM · $269M to $299MMar 8, 2021 to Mar 14, 2022
Signals
1 dated events
- Bruce Tyler Dostie (Financial Advisor/Shareholder) appeared on Schedule A of P•••••••• A••••••• G••••• L••May 30, 2024 · Control person joined · 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 email
- d•@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 978-577-6025reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (978) 577-6025reportedpublic record, Form ADV, Jul 29, 2026
- Team page
- p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026