DFX Intelligence

RIA Intelligence

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SEC-registered adviser

R••••••••• F•••••••• S•••••••

Independent wealth managerMedway, MassachusettsCRD 130715SEC 801-119439website IAPD

Legal name R••••••••• F•••••••• S••••••• I•••

Latest filing Apr 30, 2026

First filing on the tape Mar 24, 2012 · 13 filings

SEC status approved since Sep 11, 2020

RAUM

$256M

reported, Item 5.F

Discretionary

87%

of RAUM

Private clients

86%

$221M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$64.0M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM$256M as of Apr 30, 2026

Mar 24, 2012$45.6M then

HNW client RAUM$193M as of Apr 30, 2026

Mar 31, 2021$106M then

State-registered IARs (5.B.3)3 as of Apr 30, 2026

Mar 24, 20120 then

Employees (5.A)6 as of Apr 30, 2026

Mar 31, 20214 then

Private funds: no history

RAUM +20% over the last fiscal year+21% a year over threeIARs 3 to 3

Practice profile

derived from the filing of Apr 30, 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: $64.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 48derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.8MderivedHNW RAUM over HNW clients
Average account: $196,690derivedRAUM over accounts (5.F.2.f)
Discretionary: 87%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +20%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +12%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody: $173M, 522 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

is an insurance broker or agent (6.A.6)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$193M87%
Individuals$27.6M12%
Other investment advisers$1.6M0.7%

Individual clients: 86reported
HNW clients: 106reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1,302reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: $173M for 522 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.86 fund_share=0.01 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

Name	Branch	Here since	In industry	Prior firms
S••••• M•••••• R•••••••••	Medway, Ma	Mar 26, 2004	39 y	0
B•••• H••••• M•••••••Certified Financial Planner	Medway, Ma	Dec 2, 2004	28 y	0
E••••• M•••••• P••••Certified Financial Planner	Medway, Ma	Aug 31, 2020	32 y	2
C•••• S••••	Medway, Ma	Aug 11, 2026	10 y	1

Advisor movement

0 left, 1 joined in 12 months

net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

C•••• S•••• from J••• M••••• S••••••••• L••
Aug 11, 2026 · Wirehouse to independent RIA
E••••• M•••••• P•••• from E••••• J••••
Aug 31, 2020 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P••••• E•••••• M•••••• · Chief Compliance Officercontrol
since 08/2021 · owns less than 5%
R••••••••• S•••••• M•••••• · Presidentcontrol
since 01/1997 · owns 75% or more

Related persons

Schedule D 7.A

J• I•••••••• B••••••••
real estatey
R••••••••• • C••••••• P•••
insurancey

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Medway, Ma · principal	4	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

account count surgeChange between filings · filing Apr 30, 2026
accounts (Item 5.F.2.f) moved from 602.0 to 1,302.0 (+116.0%) between the annual amendments of 2025-03-31 and 2026-04-30; the peer median change was +5.0% (3685 comparable advisers, 98.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (3,685) · 98% percentile
institutional asset share shiftChange between filings · filing Apr 30, 2026
institutional share of RAUM moved from 16.0% to 1.0% between the annual amendments of 2025-03-31 and 2026-04-30
peers: independent wealth managers, $100M to $500M (5,678)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 602 to 1,302
Aug 21, 2025 to Mar 31, 2026
Advisory employees · 3 to 4
Aug 21, 2025 to Mar 31, 2026
BD registered reps · 3 to 4
Aug 21, 2025 to Mar 31, 2026
HNW clients · 131 to 106
Aug 21, 2025 to Mar 31, 2026
Individual clients · 41 to 86
Aug 21, 2025 to Mar 31, 2026
Pension plan clients · 430.0 to unset
Aug 21, 2025 to Mar 31, 2026
Assets in custody · $136M to $173M
Aug 21, 2025 to Mar 31, 2026
Employees · 5 to 6
Aug 21, 2025 to Mar 31, 2026
Discretionary RAUM · $179M to $222M
Aug 21, 2025 to Mar 31, 2026
HNW RAUM · $170M to $193M
Aug 21, 2025 to Mar 31, 2026
Individual RAUM · $7.7M to $27.6M
Aug 21, 2025 to Mar 31, 2026
Non-discretionary RAUM · $33.7M to $33.6M
Aug 21, 2025 to Mar 31, 2026
Pension RAUM · 33664935.0 to unset
Aug 21, 2025 to Mar 31, 2026
RAUM · $213M to $256M
Aug 21, 2025 to Mar 31, 2026
Accounts · 834 to 602
Mar 28, 2024 to Mar 31, 2025
HNW clients · 138 to 131
Mar 28, 2024 to Mar 31, 2025
Individual clients · 52 to 41
Mar 28, 2024 to Mar 31, 2025
Pension plan clients · unset to 430.0
Mar 28, 2024 to Mar 31, 2025
Financial planning clients · 11-25 to 11-25
Mar 28, 2024 to Mar 31, 2025
Discretionary RAUM · $167M to $179M
Mar 28, 2024 to Mar 31, 2025
HNW RAUM · $157M to $170M
Mar 28, 2024 to Mar 31, 2025
Individual RAUM · $9.0M to $7.7M
Mar 28, 2024 to Mar 31, 2025
Non-discretionary RAUM · $12.8M to $33.7M
Mar 28, 2024 to Mar 31, 2025
Pension RAUM · $12.8M to $33.7M
Mar 28, 2024 to Mar 31, 2025
RAUM · $180M to $213M
Mar 28, 2024 to Mar 31, 2025
Accounts · 343 to 834
Nov 27, 2023 to Mar 28, 2024
HNW clients · 142 to 138
Nov 27, 2023 to Mar 28, 2024
Individual clients · 42 to 52
Nov 27, 2023 to Mar 28, 2024
Assets in custody · $164M to $136M
Nov 27, 2023 to Mar 28, 2024
Financial planning clients · 26-50 to 11-25
Nov 27, 2023 to Mar 28, 2024
Discretionary RAUM · $145M to $167M
Nov 27, 2023 to Mar 28, 2024
HNW RAUM · $134M to $157M
Nov 27, 2023 to Mar 28, 2024
Individual RAUM · $7.2M to $9.0M
Nov 27, 2023 to Mar 28, 2024
Non-discretionary RAUM · $0 to $12.8M
Nov 27, 2023 to Mar 28, 2024
Pension RAUM · $3.1M to $12.8M
Nov 27, 2023 to Mar 28, 2024
RAUM · $145M to $180M
Nov 27, 2023 to Mar 28, 2024
Accounts · 162 to 343
Apr 1, 2022 to Mar 30, 2023
Advisory employees · 4 to 3
Apr 1, 2022 to Mar 30, 2023
BD registered reps · 4 to 3
Apr 1, 2022 to Mar 30, 2023
HNW clients · 88 to 142
Apr 1, 2022 to Mar 30, 2023

Signals

2 dated events

M E••••• P•••• (Chief Compliance Officer) appeared on Schedule A of R••••••••• F•••••••• S•••••••
Nov 12, 2021 · Control person joined · fact
R••••••••• F•••••••• S••••••• filed its initial SEC registration (Form ADV)
Aug 13, 2020 · First SEC registration · 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: 508-533-2335reportedpublished by the firm, firm site, Sep 16, 2026
Website: w••.r•••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 508.533.2335reportedpublic record, Form ADV, Apr 30, 2026
Team page: r•••••.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: $64.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026