DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
T••••••• C•••••• M••••••••• L••
Independent wealth manager, based in Boston, Massachusetts, reporting $98.6M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $98.6M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +8.6%
- Private clients
- 95% of RAUM, $94.0M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 4
Every filed figure, and the identifiersCRD 131084 · SEC 801-125812 · 14 filingsShowHide
CRD 131084SEC 801-125812First filing on the tape May 5, 2022, latest Mar 28, 2026SEC status approved since Jun 3, 2022IAPD
RAUM
$98.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$94.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$98.6M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$98.6M as of Mar 28, 2026
Jun 29, 2023$73.5M then
HNW client RAUM$78.4M as of Mar 28, 2026
Jun 29, 2023$48.0M then
State-registered IARs (5.B.3)1 as of Mar 28, 2026
Jun 29, 20231 then
Employees (5.A)3 as of Mar 28, 2026
Jun 29, 20232 then
Private funds: no history
RAUM +8.6% over the last fiscal year+10% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 28, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $98.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $286,532derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +28%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminars, otherreportedItem 5.G
- Custody
- $1.6M, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$78.4M80%
- Individuals$15.6M16%
- Pension and profit-sharing plans$2.7M2.8%
- Charitable organizations$1.7M1.7%
- Corporations and businesses$123,2990.1%
- Individual clients
- 68reported
- HNW clients
- 47reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 344reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.6M for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| O•••••• D•••••Certified Financial Planner, Chartered Financial Analyst | Boston, Ma | Jul 6, 2004 | 26 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• O•••••• · Managing Member, Chief Compliance Officersince 04/2004 · owns 50% to 75%
- F•••• B••••••••• · Membersince 04/2004 · owns 10% to 25%
- H••• S•••••• · Membersince 04/2004 · owns less than 5%
- S•••• N•••• · Membersince 03/2020 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 339 to 344Mar 28, 2025 to Mar 28, 2026
- Charity clients · unset to 1.0Mar 28, 2025 to Mar 28, 2026
- Corporate clients · unset to 3.0Mar 28, 2025 to Mar 28, 2026
- HNW clients · 39 to 47Mar 28, 2025 to Mar 28, 2026
- Individual clients · 51 to 68Mar 28, 2025 to Mar 28, 2026
- Pension plan clients · unset to 3.0Mar 28, 2025 to Mar 28, 2026
- Assets in custody · $1.8M to $1.6MMar 28, 2025 to Mar 28, 2026
- Financial planning clients · 11-25 to 1-10Mar 28, 2025 to Mar 28, 2026
- Discretionary RAUM · $90.8M to $98.6MMar 28, 2025 to Mar 28, 2026
- HNW RAUM · $67.5M to $78.4MMar 28, 2025 to Mar 28, 2026
- Individual RAUM · $16.7M to $15.6MMar 28, 2025 to Mar 28, 2026
- Non-discretionary RAUM · $0 to $64Mar 28, 2025 to Mar 28, 2026
- Pension RAUM · $3.1M to $2.7MMar 28, 2025 to Mar 28, 2026
- RAUM · $90.8M to $98.6MMar 28, 2025 to Mar 28, 2026
- Accounts · 281 to 339Feb 27, 2025 to Mar 28, 2025
- Charity clients · 1.0 to unsetFeb 27, 2025 to Mar 28, 2025
- Corporate clients · 3.0 to unsetFeb 27, 2025 to Mar 28, 2025
- HNW clients · 38 to 39Feb 27, 2025 to Mar 28, 2025
- Individual clients · 61 to 51Feb 27, 2025 to Mar 28, 2025
- Pension plan clients · 3.0 to unsetFeb 27, 2025 to Mar 28, 2025
- Assets in custody · $1.7M to $1.8MFeb 27, 2025 to Mar 28, 2025
- Employees · 2 to 3Feb 27, 2025 to Mar 28, 2025
- Financial planning clients · 11-25 to 11-25Feb 27, 2025 to Mar 28, 2025
- Discretionary RAUM · $84.1M to $90.8MFeb 27, 2025 to Mar 28, 2025
- HNW RAUM · $56.0M to $67.5MFeb 27, 2025 to Mar 28, 2025
- Individual RAUM · $23.0M to $16.7MFeb 27, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $434,000 to $0Feb 27, 2025 to Mar 28, 2025
- Pension RAUM · $4.0M to $3.1MFeb 27, 2025 to Mar 28, 2025
- RAUM · $84.6M to $90.8MFeb 27, 2025 to Mar 28, 2025
- Advisory activities · 4 to 5May 17, 2024 to May 24, 2024
- Advisory activities · 5 to 4May 1, 2024 to May 17, 2024
- Accounts · 90 to 281Jun 29, 2023 to Mar 22, 2024
- Advisory employees · 2 to 1Jun 29, 2023 to Mar 22, 2024
- Charity clients · unset to 1.0Jun 29, 2023 to Mar 22, 2024
- Corporate clients · 1 to 3Jun 29, 2023 to Mar 22, 2024
- HNW clients · 33 to 38Jun 29, 2023 to Mar 22, 2024
- Individual clients · 55 to 61Jun 29, 2023 to Mar 22, 2024
- Pension plan clients · 1 to 3Jun 29, 2023 to Mar 22, 2024
- Assets in custody · $2.5M to $1.7MJun 29, 2023 to Mar 22, 2024
- Financial planning clients · 26-50 to 11-25Jun 29, 2023 to Mar 22, 2024
Signals
1 dated events
- ••• LockedMay 5, 2022 · 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
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 28, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 28, 2026
- Contact form
- ••• Lockedreportedpublished 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
- $98.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026