DFX Intelligence

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SEC-registered adviser

M•••• F•••••••• A•••••••• L•••

Independent wealth managerBelmont, MassachusettsCRD 130421SEC 801-131897website IAPD

Latest filing Aug 14, 2026

First filing on the tape Jan 3, 2025 · 5 filings

SEC status approved since Feb 4, 2025

RAUM

$127M

reported, Item 5.F

Discretionary

76%

of RAUM

Private clients

100%

$127M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$42.4M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

5 filings and snapshots on the tape

RAUM$127M as of Aug 14, 2026

Jan 3, 2025$109M then

HNW client RAUM$102M as of Aug 14, 2026

Jan 3, 2025$85.5M then

State-registered IARs (5.B.3)3 as of Aug 14, 2026

Jan 3, 20253 then

Employees (5.A)4 as of Aug 14, 2026

Jan 3, 20253 then

Private funds: no history

RAUM +15% over the last fiscal yearIARs 3 to 3

Practice profile

derived from the filing of Aug 14, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent

RAUM per advisor: $42.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 31derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.1MderivedHNW RAUM over HNW clients
Average account: $363,540derivedRAUM over accounts (5.F.2.f)
Discretionary: 76%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 0.8derived4 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: +2.2%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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$102M80%
Individuals$24.8M20%

Individual clients: 44reported
HNW clients: 48reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 350reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
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
P••••••• S•••• M••••Certified Financial Planner	Arlington, Ma	Feb 7, 2003	23 y	1
R••••• F•••••••• K••••Chartered Financial Analyst	Belmont, Ma	Jul 16, 2019	35 y	1
D•••• L•••••• C••••••••	Middletown, Ri	Jun 22, 2023	15 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

R••••• F•••••••• K•••• from L••••••••• A•••••••• L••
Jul 16, 2019 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

K••••• R•••••• F•••••••• · Owner, President, Chief Investment Officer, Chief Compliance Officercontrol
since 02/2024 · 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
Belmont, Ma · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 330 to 350
Mar 13, 2025 to Mar 23, 2026
Charity clients · 0.0 to unset
Mar 13, 2025 to Mar 23, 2026
Corporate clients · 0.0 to unset
Mar 13, 2025 to Mar 23, 2026
HNW clients · 45 to 48
Mar 13, 2025 to Mar 23, 2026
Individual clients · 45 to 44
Mar 13, 2025 to Mar 23, 2026
Pension plan clients · 0.0 to unset
Mar 13, 2025 to Mar 23, 2026
Pooled vehicle clients · 0.0 to unset
Mar 13, 2025 to Mar 23, 2026
Discretionary RAUM · $83.1M to $97.2M
Mar 13, 2025 to Mar 23, 2026
HNW RAUM · $88.1M to $102M
Mar 13, 2025 to Mar 23, 2026
Individual RAUM · $23.0M to $24.8M
Mar 13, 2025 to Mar 23, 2026
Non-discretionary RAUM · $28.0M to $30.0M
Mar 13, 2025 to Mar 23, 2026
Pension RAUM · 0.0 to unset
Mar 13, 2025 to Mar 23, 2026
Pooled vehicle RAUM · 0.0 to unset
Mar 13, 2025 to Mar 23, 2026
RAUM · $111M to $127M
Mar 13, 2025 to Mar 23, 2026
Accounts · 319 to 330
Jan 3, 2025 to Mar 13, 2025
HNW clients · 43 to 45
Jan 3, 2025 to Mar 13, 2025
Individual clients · 46 to 45
Jan 3, 2025 to Mar 13, 2025
Assets in custody · 0.0 to unset
Jan 3, 2025 to Mar 13, 2025
Employees · 3 to 4
Jan 3, 2025 to Mar 13, 2025
Financial planning clients · 51-100 to 51-100
Jan 3, 2025 to Mar 13, 2025
Discretionary RAUM · $80.6M to $83.1M
Jan 3, 2025 to Mar 13, 2025
HNW RAUM · $85.5M to $88.1M
Jan 3, 2025 to Mar 13, 2025
Individual RAUM · $23.4M to $23.0M
Jan 3, 2025 to Mar 13, 2025
Non-discretionary RAUM · $28.3M to $28.0M
Jan 3, 2025 to Mar 13, 2025
RAUM · $109M to $111M
Jan 3, 2025 to Mar 13, 2025

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.

How to reach

public business contact points only, each with its source

Business email: t•••••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 617-393-9999reportedpublished by the firm, firm site, Sep 16, 2026
Firm profile: linkedin.com/company/moore-financial-advisors-ltd/aboutreportedpublic record, Form ADV, Aug 14, 2026
Website: M••••ADVISORS.COMreportedpublic record, Form ADV, Aug 14, 2026
Principal office phone: 617-393-9999reportedpublic record, Form ADV, Aug 14, 2026
Contact form: m•••••••••.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: $42.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026