DFX Intelligence
RIA Intelligence
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SEC-registered adviser
F••••••• W••••• A•••••••• L•••
Latest filing Apr 21, 2026
First filing on the tape Oct 4, 2017 · 38 filings
SEC status approved since Nov 2, 2017
RAUM
$749M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
99%
$744M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$83.2M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$749M as of Apr 21, 2026
May 4, 2018$138M then
HNW client RAUM$669M as of Apr 21, 2026
May 4, 2018$84.0M then
State-registered IARs (5.B.3)4 as of Apr 21, 2026
May 4, 20186 then
Employees (5.A)7 as of Apr 21, 2026
May 4, 20188 then
Private funds: no history
RAUM +23% over the last fiscal year+37% a year over threeIARs 4 to 4offices 1 to 0
Practice profile
derived from the filing of Apr 21, 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
- $83.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $978,591derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- 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$669M89%
- Individuals$75.5M10%
- Pension and profit-sharing plans$4.4M0.6%
- Individual clients
- 261reported
- HNW clients
- 217reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 765reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• L• H•••••••• | West Newbury, Ma | Aug 28, 2003 | 39 y | 0 |
| P••• V• R•••Certified Financial Planner | Wakefield, Ma | Aug 22, 2006 | 37 y | 1 |
| D••••• A••• J•••• | Wakefield, Ma | Dec 9, 2014 | 32 y | 0 |
| S•••• L•••• F•••••••• | Wakefield, Ma | Feb 13, 2017 | 38 y | 3 |
| R•••••• P••• J•••• | Wakefield, Ma | May 30, 2017 | 33 y | 0 |
| S•••••• M•••••• S•••••• | Wakefield, Ma | Jan 30, 2018 | 30 y | 0 |
| S•••• N• B•• | Wakefield, Ma | Feb 6, 2018 | 26 y | 0 |
| B•••••• N•• R••• | Wakefield, Ma | Oct 2, 2018 | 17 y | 0 |
| M•••••• B••••••• | Wakefield, Ma | Jul 10, 2026 | 16 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
- S•••• L•••• F•••••••• from J••••• M••••••••• S•••• L••Feb 13, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• P•••• V• · Ccocontrolsince 01/1998 · 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 |
|---|---|---|---|---|---|
| Wakefield, Ma · principal | 9 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 698 to 765Dec 17, 2025 to Apr 21, 2026
- HNW clients · 216 to 217Dec 17, 2025 to Apr 21, 2026
- Individual clients · 231 to 261Dec 17, 2025 to Apr 21, 2026
- Pension plan clients · unset to 4.0Dec 17, 2025 to Apr 21, 2026
- Other offices · 1 to 0Dec 17, 2025 to Apr 21, 2026
- Discretionary RAUM · $594M to $732MDec 17, 2025 to Apr 21, 2026
- HNW RAUM · $545M to $669MDec 17, 2025 to Apr 21, 2026
- Individual RAUM · $60.8M to $75.5MDec 17, 2025 to Apr 21, 2026
- Non-discretionary RAUM · $14.0M to $16.4MDec 17, 2025 to Apr 21, 2026
- Pension RAUM · $1.7M to $4.4MDec 17, 2025 to Apr 21, 2026
- RAUM · $608M to $749MDec 17, 2025 to Apr 21, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Oct 16, 2025
- Accounts · 666 to 698Nov 20, 2024 to Mar 31, 2025
- HNW clients · 205 to 216Nov 20, 2024 to Mar 31, 2025
- Individual clients · 229 to 231Nov 20, 2024 to Mar 31, 2025
- Insurance-licensed employees · 4 to 0Nov 20, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 0Nov 20, 2024 to Mar 31, 2025
- Discretionary RAUM · $406M to $594MNov 20, 2024 to Mar 31, 2025
- HNW RAUM · $371M to $545MNov 20, 2024 to Mar 31, 2025
- Individual RAUM · $46.2M to $60.8MNov 20, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $15.6M to $14.0MNov 20, 2024 to Mar 31, 2025
- Pension RAUM · $4.4M to $1.7MNov 20, 2024 to Mar 31, 2025
- RAUM · $421M to $608MNov 20, 2024 to Mar 31, 2025
- Accounts · 584 to 666Mar 31, 2023 to Mar 28, 2024
- HNW clients · 148 to 205Mar 31, 2023 to Mar 28, 2024
- Individual clients · 224 to 229Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $275M to $406MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $235M to $371MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $53.2M to $46.2MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $13.3M to $15.6MMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $951,980 to $4.4MMar 31, 2023 to Mar 28, 2024
- RAUM · $289M to $421MMar 31, 2023 to Mar 28, 2024
- Accounts · 547 to 584Mar 14, 2023 to Mar 31, 2023
- HNW clients · 110 to 148Mar 14, 2023 to Mar 31, 2023
- Individual clients · 257 to 224Mar 14, 2023 to Mar 31, 2023
- Discretionary RAUM · $278M to $275MMar 14, 2023 to Mar 31, 2023
- HNW RAUM · $213M to $235MMar 14, 2023 to Mar 31, 2023
- Individual RAUM · $70.3M to $53.2MMar 14, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $13.2M to $13.3MMar 14, 2023 to Mar 31, 2023
- Pension RAUM · $7.9M to $951,980Mar 14, 2023 to Mar 31, 2023
Signals
3 dated events
- F••••••• W••••• A•••••••• L••• reported RAUM $607.5M, up 44% from $421.3M (2024-11-20 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- F••••••• W••••• A•••••••• L••• reported RAUM $421.3M, up 46% from $288.7M (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- F••••••• W••••• A•••••••• L••• filed its initial SEC registration (Form ADV)Oct 4, 2017 · 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
- Website
- F•••••••WEALTHADVISORS.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 800-631-9997reportedpublic record, Form ADV, Apr 21, 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
- $83.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026