DFX Intelligence
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T•••• C•••••• M•••••••••
Independent wealth manager, based in Needham, Massachusetts, reporting $211M of regulatory assets across 3 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
- $211M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +25%
- Private clients
- 98% of RAUM, $206M
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
- RAUM a year earlier $169MRAUM now $211M
- Contact points 5
Every filed figure, and the identifiersCRD 136851 · SEC 801-70068 · 18 filingsShowHide
CRD 136851SEC 801-70068Legal name T•••• C•••••• M••••••••• L••First filing on the tape Mar 20, 2012, latest Mar 5, 2026SEC status approved since Apr 16, 2009IAPD
RAUM
$211M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$206M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$70.3M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$211M as of Mar 5, 2026
Mar 20, 2012$86.0M then
HNW client RAUM$192M as of Mar 5, 2026
Feb 20, 2018$73.0M then
State-registered IARs (5.B.3)1 as of Mar 5, 2026
Mar 20, 20120 then
Employees (5.A)4 as of Mar 5, 2026
Mar 18, 20133 then
Private funds: 1
RAUM +25% over the last fiscal year+15% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Mar 5, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $70.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$192M91%
- Individuals$14.0M6.7%
- Pension and profit-sharing plans$2.7M1.3%
- Corporations and businesses$1.6M0.7%
- Individual clients
- 59reported
- HNW clients
- 70reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 131reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H••••• D•••• T••••Chartered Financial Analyst | Needham, Ma | Oct 31, 2005 | 23 y | 0 |
| A•••• O••••••••Chartered Financial Analyst | Needham, Ma | Jun 12, 2019 | 10 y | 0 |
| J••• E•••• B•••••Chartered Financial Analyst | Needham, Ma | Jul 11, 2025 | 9 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••• C•••••• 3• F•••• L•no longer reported | Hedge Fund | $4.0M | 15 | Mar 20, 2012 |
Owners and control persons
Schedule A and B, latest filing
- T••••• H•••••• D•••• · Managing Member And Chief Compliance Officercontrolsince 10/2003 · 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 |
|---|---|---|---|---|---|
| Needham, Ma · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 132 to 131Mar 24, 2025 to Mar 5, 2026
- HNW clients · 49 to 70Mar 24, 2025 to Mar 5, 2026
- Individual clients · 81 to 59Mar 24, 2025 to Mar 5, 2026
- State-registered IARs · 0 to 1Mar 24, 2025 to Mar 5, 2026
- Discretionary RAUM · $169M to $207MMar 24, 2025 to Mar 5, 2026
- HNW RAUM · $139M to $192MMar 24, 2025 to Mar 5, 2026
- Individual RAUM · $26.4M to $14.0MMar 24, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $0 to $3.4MMar 24, 2025 to Mar 5, 2026
- Pension RAUM · $2.4M to $2.7MMar 24, 2025 to Mar 5, 2026
- RAUM · $169M to $211MMar 24, 2025 to Mar 5, 2026
- Accounts · 121 to 132Feb 12, 2024 to Mar 24, 2025
- Advisory employees · 3 to 4Feb 12, 2024 to Mar 24, 2025
- Corporate clients · 2 to 1Feb 12, 2024 to Mar 24, 2025
- HNW clients · 47 to 49Feb 12, 2024 to Mar 24, 2025
- Individual clients · 72 to 81Feb 12, 2024 to Mar 24, 2025
- Employees · 3 to 4Feb 12, 2024 to Mar 24, 2025
- Financial planning clients · 26-50 to 51-100Feb 12, 2024 to Mar 24, 2025
- Discretionary RAUM · $150M to $169MFeb 12, 2024 to Mar 24, 2025
- HNW RAUM · $121M to $139MFeb 12, 2024 to Mar 24, 2025
- Individual RAUM · $25.4M to $26.4MFeb 12, 2024 to Mar 24, 2025
- Pension RAUM · $2.1M to $2.4MFeb 12, 2024 to Mar 24, 2025
- RAUM · $150M to $169MFeb 12, 2024 to Mar 24, 2025
- Accounts · 113 to 121Mar 16, 2023 to Feb 12, 2024
- HNW clients · 46 to 47Mar 16, 2023 to Feb 12, 2024
- Individual clients · 64 to 72Mar 16, 2023 to Feb 12, 2024
- Discretionary RAUM · $137M to $150MMar 16, 2023 to Feb 12, 2024
- HNW RAUM · $112M to $121MMar 16, 2023 to Feb 12, 2024
- Individual RAUM · $20.9M to $25.4MMar 16, 2023 to Feb 12, 2024
- Pension RAUM · $1.9M to $2.1MMar 16, 2023 to Feb 12, 2024
- RAUM · $137M to $150MMar 16, 2023 to Feb 12, 2024
- Accounts · 94 to 113Feb 10, 2022 to Mar 16, 2023
- HNW clients · 52 to 46Feb 10, 2022 to Mar 16, 2023
- Individual clients · 39 to 64Feb 10, 2022 to Mar 16, 2023
- Discretionary RAUM · $149M to $137MFeb 10, 2022 to Mar 16, 2023
- HNW RAUM · $133M to $112MFeb 10, 2022 to Mar 16, 2023
- Individual RAUM · $11.9M to $20.9MFeb 10, 2022 to Mar 16, 2023
- Pension RAUM · $2.1M to $1.9MFeb 10, 2022 to Mar 16, 2023
- RAUM · $149M to $137MFeb 10, 2022 to Mar 16, 2023
- Accounts · 88 to 94Feb 24, 2021 to Feb 10, 2022
- HNW clients · 50 to 52Feb 24, 2021 to Feb 10, 2022
Signals
No event on the tape.
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
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 5, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 5, 2026
- Team page
- ••• 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
- $70.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026