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SEC-registered adviser

N•• E•••••• S•••••••• I•••

Independent wealth managerPeabody, MassachusettsCRD 129552SEC 801-133872websiteIAPD
Latest filing Mar 10, 2026
First filing on the tape Jun 12, 2025 · 4 filings
SEC status approved since Jul 14, 2025
RAUM
$165M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$165M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$41.3M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$165M as of Mar 10, 2026
Jun 12, 2025$131M then
HNW client RAUM$74.3M as of Mar 10, 2026
Jun 12, 2025$48.6M then
State-registered IARs (5.B.3)4 as of Mar 10, 2026
Jun 12, 20254 then
Employees (5.A)4 as of Mar 10, 2026
Jun 12, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 10, 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
$41.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
80derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$309,375derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$90.9M55%
  • High-net-worth individuals$74.3M45%
Individual clients
285reported
HNW clients
35reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
534reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R•••••• P••• J••••••Certified Financial PlannerPeabody, MaMar 3, 200440 y0
S•••••• A••••• T•••••Peabody, MaJul 7, 200631 y0
K•••• E• N••••••Certified Financial PlannerPeabody, Ma Jan 29, 201319 y0
J••••• T••••• B•••••••Peabody, MaFeb 23, 202214 y0
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
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
    • B•••••••• J•••••• T••••• · Chief Compliance Officercontrol
      since 10/2025 · owns less than 5%
    • J••••••• R••••••• P••• · Presidentcontrol
      since 01/1996 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Peabody, Ma · principal400
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 336 to 534
      Feb 25, 2026 to Mar 10, 2026
    • HNW clients · 21 to 35
      Feb 25, 2026 to Mar 10, 2026
    • Individual clients · 315 to 285
      Feb 25, 2026 to Mar 10, 2026
    • Employees · 5 to 4
      Feb 25, 2026 to Mar 10, 2026
    • Insurance-licensed employees · 4 to 0
      Feb 25, 2026 to Mar 10, 2026
    • Discretionary RAUM · $131M to $165M
      Feb 25, 2026 to Mar 10, 2026
    • HNW RAUM · $48.6M to $74.3M
      Feb 25, 2026 to Mar 10, 2026
    • Individual RAUM · $82.1M to $90.9M
      Feb 25, 2026 to Mar 10, 2026
    • RAUM · $131M to $165M
      Feb 25, 2026 to Mar 10, 2026
    • Other offices · 0 to 1
      Nov 3, 2025 to Feb 25, 2026
    • Financial planning clients · 0 to 0
      Jun 12, 2025 to Nov 3, 2025
    Signals
    1 dated events
    • T•••••• M•••••• G••••• left N•• E•••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2023-04-05)
      Apr 3, 2023 · Advisor changed firm · 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
    800-448-4757reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    978-977-4757reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    978-977-4764reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    n•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
    Principal office phone
    978-977-4757reportedpublic record, Form ADV, Mar 10, 2026
    Contact form
    n•••••••••.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
    $41.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026