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
M•• R•••• I••••••••
Legal name M••••••••• A•••••••• L••
Latest filing Jul 7, 2026
First filing on the tape Mar 30, 2012 · 29 filings
SEC status approved since Apr 22, 2004
RAUM
$404M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
71%
$288M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$101M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$404M as of Jul 7, 2026
Mar 30, 2012$208M then
HNW client RAUM$269M as of Jul 7, 2026
Mar 29, 2018$105M then
State-registered IARs (5.B.3)4 as of Jul 7, 2026
Mar 28, 20134 then
Employees (5.A)6 as of Jul 7, 2026
Mar 28, 20137 then
Private funds2 as of Jul 7, 2026
Mar 30, 201213 then
RAUM +19% over the last fiscal year+19% a year over threeIARs 3 to 4offices 0 to 1
Practice profile
derived from the filing of Jul 7, 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
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $2.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -23%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $69.7M, 2 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$269M67%
- Pooled investment vehicles$69.7M17%
- Corporations and businesses$26.4M6.6%
- Pension and profit-sharing plans$19.5M4.8%
- Individuals$18.7M4.6%
- Individual clients
- 21reported
- HNW clients
- 68reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 140reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $69.7M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.71 fund_share=0.17 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• T••••• G•••• | Saint Petersburg, Fl | Jan 23, 2026 | 10 y | 1 |
| S•••••• C•••••• C•••••••• | Boston, Ma | Jan 27, 2026 | 22 y | 1 |
| J••••• M•••••• S•••••• | Boston, Ma | Jan 27, 2026 | 25 y | 1 |
| R•••••• W•••••• S••••• | St Petersburg, Fl | Feb 17, 2026 | 42 y | 1 |
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
15 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••• P•••• I•••••••• • M•• R•••• M•••••• S••••• | Hedge Fund | $53.6M | 31 | Mar 30, 2012 |
| L••• P•••• I•••••••• • P••••••• S•••••• L••• S•••••no longer reported | Hedge Fund | $6.0M | 12 | Mar 30, 2012 |
| L••• P•••• I•••••••• • A••••• B••••• L••• S•••••no longer reported | Hedge Fund | $5.6M | 11 | Mar 30, 2012 |
| L••• P•••• I•••••••• W•••••• 1• S•••••no longer reported | Private Equity Fund | $4.4M | 15 | Mar 30, 2012 |
| L••• P•••• O••••••• F••• L••••••no longer reported | Hedge Fund | $4.2M | 1 | Mar 30, 2012 |
| L••• P•••• I•••••••• • S••••• P•••• C•••••• F•••• L••• S•••••no longer reported | Hedge Fund | $3.8M | 4 | Mar 30, 2012 |
| L••• P•••• I•••••••• • A•••••••• I••••••••• L•••••• P••••••••• I• S•••••no longer reported | Hedge Fund | $3.8M | 13 | Mar 30, 2012 |
| L••• P•••• I•••••••• • W•••••• S••••••• F•••• L••• S•••••no longer reported | Hedge Fund | $3.2M | 7 | Mar 30, 2012 |
| L••• P•••• I•••••••• • S•••••• P••••••• S•••••no longer reported | Hedge Fund | $2.0M | 3 | Mar 30, 2016 |
| L••• P•••• I••••••••• L•••no longer reported | Hedge Fund | $1.2M | 91 | Mar 30, 2012 |
| L••• P•••• I•••••••• • W•••••• C••••••• S•••••no longer reported | Hedge Fund | $936,444 | 8 | Mar 30, 2012 |
| L••• P•••• I•••••••• • D••••••••• S•••••no longer reported | Hedge Fund | $833,873 | 30 | Mar 30, 2012 |
| L•• P•••••• E••••• S••••• | Private Equity Fund | $493,484 | 15 | Nov 20, 2013 |
| L••• P•••• I•••••••• • P•••• P•••••••• L••• S•••••no longer reported | Hedge Fund | $466,242 | 5 | Mar 30, 2012 |
| L••• P•••• I•••••••• B••••• S•••••no longer reported | Private Equity Fund | $64,339 | 3 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- S•••••• R••••••• W•••••• · Managing Membercontrolsince 11/1997 · owns 75% or more
- C••••••••• S••••••• C•••••• · General Counsel/Ccosince 02/2012 · owns less than 5%
- C••••••••• S••••••• C•••••• · Trustee, L•••••• S••••• 2••• T••••since 12/2005 · owns F of L•••••• S••••• 2••• T••••
- S•••••• S•••••• · Trustee, L•••••• S••••• 2••• T••••since 12/2005 · owns F of L•••••• S••••• 2••• T••••
Entity owners
- L•••••• S••••• 2••• T•••• · Memberdirect · owns less than 5%
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 |
|---|---|---|---|---|---|
| Boston, Ma · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 27, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $338,329,107 to $403,531,748, advisors 3 to 4, private clients 115 to 89, offices 0 to 1 (2025-03-28 to 2026-03-27)peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 187 to 140Jan 9, 2026 to Mar 27, 2026
- Corporate clients · 5 to 6Jan 9, 2026 to Mar 27, 2026
- HNW clients · 95 to 68Jan 9, 2026 to Mar 27, 2026
- Individual clients · 20 to 21Jan 9, 2026 to Mar 27, 2026
- Pension plan clients · 5 to 4Jan 9, 2026 to Mar 27, 2026
- Pooled vehicle clients · 1 to 2Jan 9, 2026 to Mar 27, 2026
- Assets in custody · $65.6M to $69.7MJan 9, 2026 to Mar 27, 2026
- Employees · 5 to 6Jan 9, 2026 to Mar 27, 2026
- Other offices · 0 to 1Jan 9, 2026 to Mar 27, 2026
- Private funds · 3 to 2Jan 9, 2026 to Mar 27, 2026
- Discretionary RAUM · $338M to $404MJan 9, 2026 to Mar 27, 2026
- HNW RAUM · $220M to $269MJan 9, 2026 to Mar 27, 2026
- Individual RAUM · $16.3M to $18.7MJan 9, 2026 to Mar 27, 2026
- Non-discretionary RAUM · $237,118 to $0Jan 9, 2026 to Mar 27, 2026
- Pension RAUM · $19.0M to $19.5MJan 9, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $65.6M to $69.7MJan 9, 2026 to Mar 27, 2026
- RAUM · $338M to $404MJan 9, 2026 to Mar 27, 2026
- Employees · 4 to 5Mar 28, 2025 to Jan 9, 2026
- State-registered IARs · 3 to 4Mar 28, 2025 to Jan 9, 2026
- Accounts · 169 to 187Mar 29, 2024 to Mar 28, 2025
- HNW clients · 81 to 95Mar 29, 2024 to Mar 28, 2025
- Individual clients · 32 to 20Mar 29, 2024 to Mar 28, 2025
- Assets in custody · $54.1M to $65.6MMar 29, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 28, 2025
- Private funds · 2 to 3Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $213M to $338MMar 29, 2024 to Mar 28, 2025
- HNW RAUM · $122M to $220MMar 29, 2024 to Mar 28, 2025
- Individual RAUM · $15.5M to $16.3MMar 29, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $493,484 to $237,118Mar 29, 2024 to Mar 28, 2025
- Pension RAUM · $11.0M to $19.0MMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $54.1M to $65.6MMar 29, 2024 to Mar 28, 2025
- RAUM · $214M to $338MMar 29, 2024 to Mar 28, 2025
- Accounts · 174 to 169Oct 27, 2023 to Mar 29, 2024
- HNW clients · 82 to 81Oct 27, 2023 to Mar 29, 2024
- Individual clients · 34 to 32Oct 27, 2023 to Mar 29, 2024
- Pooled vehicle clients · 3 to 1Oct 27, 2023 to Mar 29, 2024
- Assets in custody · $62.8M to $54.1MOct 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $199M to $213MOct 27, 2023 to Mar 29, 2024
- HNW RAUM · $118M to $122MOct 27, 2023 to Mar 29, 2024
- Individual RAUM · $11.2M to $15.5MOct 27, 2023 to Mar 29, 2024
Signals
1 dated events
- M•• R•••• I•••••••• reported RAUM $338.3M, up 58% from $213.5M (2024-03-29 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- M•• R•••• I•••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- i•••@m•••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 617-728-0055reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 617-728-0333reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- MR••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-728-0333reportedpublic record, Form ADV, Jul 7, 2026
- Team page
- m•••••.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
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026