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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
O••••••• • C••••••• I•••••••••
Latest filing Jul 6, 2026
First filing on the tape Dec 15, 2011 · 29 filings
SEC status approved since Aug 26, 2005
RAUM
$555M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$539M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$278M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$555M as of Jul 6, 2026
Dec 15, 2011$200M then
HNW client RAUM$456M as of Jul 6, 2026
Dec 14, 2017$306M then
State-registered IARs (5.B.3)2 as of Jul 6, 2026
Dec 15, 20110 then
Employees (5.A)4 as of Jul 6, 2026
Dec 18, 20123 then
Private funds: no history
RAUM +35% over the last fiscal year+7.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 6, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $278MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 290derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $923,086derivedHNW RAUM over HNW clients
- Average account
- $752,128derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +230%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $21,650, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$456M82%
- Individuals$83.4M15%
- Pension and profit-sharing plans$15.7M2.8%
- Individual clients
- 86reported
- HNW clients
- 494reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 738reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $21,650 for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• C••••••••• O•••••• | Boston, Ma | Apr 12, 2005 | 44 y | 2 |
| D•••• D•••• O••••••• | Boston, Ma | Jun 6, 2017 | 12 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
- D•••• D•••• O••••••• from P••••• I••••••••• M••••••••• L••Jun 6, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••• B••••• C••••••••• · President/Chief Compliance Officercontrolsince 02/1987 · 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 |
|---|---|---|---|---|---|
| Boston, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 711 to 738Dec 4, 2024 to Dec 3, 2025
- HNW clients · 495 to 494Dec 4, 2024 to Dec 3, 2025
- Individual clients · 82 to 86Dec 4, 2024 to Dec 3, 2025
- Assets in custody · $53,849 to $21,650Dec 4, 2024 to Dec 3, 2025
- Financial planning clients · 51-100 to 51-100Dec 4, 2024 to Dec 3, 2025
- Discretionary RAUM · $512M to $550MDec 4, 2024 to Dec 3, 2025
- HNW RAUM · $423M to $456MDec 4, 2024 to Dec 3, 2025
- Individual RAUM · $75.6M to $83.4MDec 4, 2024 to Dec 3, 2025
- Non-discretionary RAUM · $6.2M to $5.0MDec 4, 2024 to Dec 3, 2025
- Pension RAUM · $19.8M to $15.7MDec 4, 2024 to Dec 3, 2025
- RAUM · $518M to $555MDec 4, 2024 to Dec 3, 2025
- Accounts · 710 to 711Dec 15, 2023 to Dec 4, 2024
- HNW clients · 93 to 495Dec 15, 2023 to Dec 4, 2024
- Pension plan clients · 2.0 to unsetDec 15, 2023 to Dec 4, 2024
- Assets in custody · $180M to $53,849Dec 15, 2023 to Dec 4, 2024
- Discretionary RAUM · $406M to $512MDec 15, 2023 to Dec 4, 2024
- HNW RAUM · $340M to $423MDec 15, 2023 to Dec 4, 2024
- Individual RAUM · $53.7M to $75.6MDec 15, 2023 to Dec 4, 2024
- Non-discretionary RAUM · $6.0M to $6.2MDec 15, 2023 to Dec 4, 2024
- Pension RAUM · $17.9M to $19.8MDec 15, 2023 to Dec 4, 2024
- RAUM · $412M to $518MDec 15, 2023 to Dec 4, 2024
- Accounts · 687 to 710Feb 1, 2023 to Dec 15, 2023
- HNW clients · 96 to 93Feb 1, 2023 to Dec 15, 2023
- Assets in custody · $102M to $180MFeb 1, 2023 to Dec 15, 2023
- Financial planning clients · 0 to 51-100Feb 1, 2023 to Dec 15, 2023
- Discretionary RAUM · $358M to $406MFeb 1, 2023 to Dec 15, 2023
- HNW RAUM · $295M to $340MFeb 1, 2023 to Dec 15, 2023
- Individual RAUM · $54.9M to $53.7MFeb 1, 2023 to Dec 15, 2023
- Non-discretionary RAUM · $6.9M to $6.0MFeb 1, 2023 to Dec 15, 2023
- Pension RAUM · $14.8M to $17.9MFeb 1, 2023 to Dec 15, 2023
- RAUM · $365M to $412MFeb 1, 2023 to Dec 15, 2023
- Accounts · 651 to 687Dec 22, 2021 to Jan 3, 2023
- HNW clients · 78 to 96Dec 22, 2021 to Jan 3, 2023
- Individual clients · 49 to 82Dec 22, 2021 to Jan 3, 2023
- Pension plan clients · 3 to 2Dec 22, 2021 to Jan 3, 2023
- Assets in custody · $137M to $102MDec 22, 2021 to Jan 3, 2023
- Discretionary RAUM · $423M to $358MDec 22, 2021 to Jan 3, 2023
- HNW RAUM · $411M to $295MDec 22, 2021 to Jan 3, 2023
- Individual RAUM · $22.8M to $54.9MDec 22, 2021 to Jan 3, 2023
- Non-discretionary RAUM · $29.0M to $6.9MDec 22, 2021 to Jan 3, 2023
Signals
1 dated events
- O••••••• • C••••••• I••••••••• reported RAUM $518.1M, up 26% from $412.1M (2023-12-15 to 2024-12-04)Dec 4, 2024 · RAUM change · derived
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
- Principal office phone
- 617-482-4200reportedpublic record, Form ADV, Jul 6, 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
- $278Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026