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.
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SEC-registered adviser
A•••• S••••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 28, 2012 · 36 filings
SEC status approved since May 15, 2006
RAUM
$649M
reported, Item 5.F
Discretionary
34%
of RAUM
Private clients
35%
$230M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$54.1M
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$649M as of Mar 31, 2026
Mar 28, 2012$136M then
HNW client RAUM$193M as of Mar 31, 2026
Mar 31, 2018$72.1M then
State-registered IARs (5.B.3)8 as of Mar 31, 2026
Mar 28, 20120 then
Employees (5.A)10 as of Mar 31, 2026
Apr 1, 20135 then
Private funds: no history
RAUM -29% over the last fiscal year+9.5% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- ocio institutional a••••••y · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $54.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $665,762derivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 34%derivedof RAUM
- Institutional
- 65%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$420M65%
- High-net-worth individuals$193M30%
- Individuals$36.6M5.6%
- Individual clients
- 191reported
- HNW clients
- 290reported
- Pension plan clients
- 23reported
- Charitable clients
- n/areported
- Accounts
- 504reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.35 fund_share=0.0 institutional_share=0.65 related_bd=true related_bank=false bd_reps=8.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• A•••• F••••••••• | Wayland, Ma | Jun 30, 2006 | 38 y | 1 |
| W•••••• D• M••••• | Wayland, Ma | Jul 8, 2008 | 36 y | 0 |
| R•••••• S•••••••• S••••••• | Wayland, Ma | Dec 8, 2014 | 12 y | 0 |
| R•••••• R••••• R•••••Chartered Financial Consultant | Wayland, Ma | May 22, 2015 | 31 y | 1 |
| D•••• C••••••••• O••••••Certified Financial Planner | Wayland, Ma | Aug 28, 2019 | 30 y | 3 |
| B•••• W•••••• H•••• | Wayland, Ma | Aug 31, 2020 | 30 y | 1 |
| P•••• D•••••• | Wayland, Ma | Mar 27, 2023 | 10 y | 1 |
| K••••• C• F•••••••••Certified Financial Planner | Wayland, Ma | Jul 3, 2024 | 12 y | 1 |
| T•••••• J••••• B•••• | Wayland, Ma | Jul 17, 2024 | 26 y | 2 |
| J••• W•• F•Certified Financial Planner | Wayland, Ma | Aug 6, 2024 | 24 y | 0 |
| E••••• R•••••• | Wayland, Ma | Oct 16, 2025 | 14 y | 0 |
| W•••••• C••••••••• S•••••• | Wayland, Ma | Jan 23, 2026 | 15 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- S••• D•••• W••••• to C••••••• A•••• M••••••••• L••Jul 25, 2025 · RIA to affiliated broker-dealer or bank
- W•••••• J••••• O•••••• to C••••••• A•••• M••••••••• L••Jun 16, 2025 · RIA to affiliated broker-dealer or bank
- J••• D•••• G••••• to T••••• P••••• W••••• M•••••••••May 18, 2023 · RIA to RIA
- W•••••• B•••• R•••• to I••••• L•••• C••••••Jun 28, 2018 · Other
- K•••••• A• Z•••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 26, 2018 · Other
- M•••••• V••••• P••••• to K••••• C•••••• A•••••••• L••Oct 19, 2017 · Other
- D•••• K•••••• S•••••• to O•••• W•••••• I•••Nov 19, 2012 · Other
- J••••••• S••• B•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 8, 2012 · Other
- C•••• G•••••• F•••• to A•••• S••••••• C••••••••• L••Dec 9, 2008 · Other
- S•••• S•••••• H••••••• to A•••• S••••••• C••••••••• L••Dec 9, 2008 · Other
Joined, latest
- W•••••• C••••••••• S•••••• from S•••••••• A••••••• L••Jan 23, 2026 · Affiliated broker-dealer or bank to independent RIA
- T•••••• J••••• B•••• from H••• F•••••••• G••••• L••Jul 17, 2024 · Other
- K••••• C• F••••••••• from F••••••• P••••••• A•• W•••••••• A•••••••Jul 3, 2024 · Affiliated broker-dealer or bank to independent RIA
- P•••• D•••••• from P••• A••••• S••••••••• L••Mar 27, 2023 · Affiliated broker-dealer or bank to independent RIA
- B•••• W•••••• H•••• from P•• F•••••••• A•••••••• I•••Aug 31, 2020 · Other
- D•••• C••••••••• O•••••• from M••••• S••••••Aug 28, 2019 · Wirehouse to independent RIA
- J••• D•••• G••••• from G••••• R••••••••• P••••••• L••May 29, 2019 · Other
- S••• D•••• W••••• from R••••• C•••••• M••••••••• L••Feb 12, 2018 · Other
- R•••••• R••••• R••••• from T•••• A•••••••• L••May 22, 2015 · Other
- M•••••• V••••• P••••• from A•••• S••••••• C••••••••• L••May 20, 2015 · Other
- K•••••• A• Z•••••••• from A••••• A•• P••••••• S•••••••May 20, 2015 · Other
- S•••• S•••••• H••••••• from C••••• A•••••• N••••••• L••Jul 9, 2007 · Other
- C•••• G•••••• F•••• from I•••••••• A••••••• I••May 25, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••••• K•••• A•••• · Member/Chief Compliance Officercontrolsince 10/2007 · owns 75% or more
- S•••••••• R••••••• S•••••••• · Director Of R•••••••controlsince 08/2020 · owns 5% to 10%
- W•••••• S•••• D•••• · Financial Consultantcontrolsince 08/2020 · owns 5% to 10%
Entity owners
- A•••• S••••••• H•••••••• L•• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- A•••• S••••••• F•••••••• G••••• I••real estaten
- A•••• S••••••• R••••• P•••••••• L••investment companyn
- C••••••• I••••••••• S•••••••• L••broker-dealern
- R•• C•••••• G••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wayland, Ma · principal | 12 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- RAUM down a••••••s stableCombination · filing Mar 31, 2026RAUM fell 25 percent or more while the advisor count stayed within 5 percent: assets left without people leaving (a large client or institutional mandate, a fee change, or a reporting change). RAUM $917,771,097 to $649,260,559, advisors 8 to 8, private clients 523 to 481, offices 0 to 0 (2025-03-02 to 2026-03-31)peers: independent wealth managers, $500M to $1B (1,482)
- high institutional concentrationStatic outlier · filing Mar 31, 2026institutional share of RAUM of 65% against a peer median of 2% (1482 comparable advisers, 99.0th percentile, 21.3 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 99% percentile
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $917,771,097 to $649,260,559 (-29.0%) between the annual amendments of 2025-03-02 and 2026-03-31; the peer median change was +16.0% (1385 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 0.5% percentile
What changed
consecutive filings, newest first
- Accounts · 544 to 504Jan 5, 2026 to Mar 31, 2026
- BD registered reps · 5 to 8Jan 5, 2026 to Mar 31, 2026
- HNW clients · 372 to 290Jan 5, 2026 to Mar 31, 2026
- Individual clients · 151 to 191Jan 5, 2026 to Mar 31, 2026
- Pension plan clients · 21 to 23Jan 5, 2026 to Mar 31, 2026
- Employees · 12 to 10Jan 5, 2026 to Mar 31, 2026
- Discretionary RAUM · $230M to $221MJan 5, 2026 to Mar 31, 2026
- HNW RAUM · $177M to $193MJan 5, 2026 to Mar 31, 2026
- Individual RAUM · $57.4M to $36.6MJan 5, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $687M to $429MJan 5, 2026 to Mar 31, 2026
- Pension RAUM · $683M to $420MJan 5, 2026 to Mar 31, 2026
- RAUM · $918M to $649MJan 5, 2026 to Mar 31, 2026
- HQ city · NATICK to WAYLANDSep 8, 2025 to Jan 5, 2026
- Accounts · 539 to 544Aug 29, 2024 to Mar 2, 2025
- HNW clients · 399 to 372Aug 29, 2024 to Mar 2, 2025
- Individual clients · 117 to 151Aug 29, 2024 to Mar 2, 2025
- Pension plan clients · 23 to 21Aug 29, 2024 to Mar 2, 2025
- Financial planning clients · 1-10 to 1-10Aug 29, 2024 to Mar 2, 2025
- Discretionary RAUM · $199M to $230MAug 29, 2024 to Mar 2, 2025
- HNW RAUM · $192M to $177MAug 29, 2024 to Mar 2, 2025
- Individual RAUM · $15.5M to $57.4MAug 29, 2024 to Mar 2, 2025
- Non-discretionary RAUM · $358M to $687MAug 29, 2024 to Mar 2, 2025
- Pension RAUM · $349M to $683MAug 29, 2024 to Mar 2, 2025
- RAUM · $557M to $918MAug 29, 2024 to Mar 2, 2025
- Accounts · 573 to 539Mar 30, 2023 to Mar 12, 2024
- HNW clients · 400 to 399Mar 30, 2023 to Mar 12, 2024
- Individual clients · 148 to 117Mar 30, 2023 to Mar 12, 2024
- Pension plan clients · 25 to 23Mar 30, 2023 to Mar 12, 2024
- Discretionary RAUM · $180M to $199MMar 30, 2023 to Mar 12, 2024
- HNW RAUM · $177M to $192MMar 30, 2023 to Mar 12, 2024
- Individual RAUM · $14.2M to $15.5MMar 30, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $314M to $358MMar 30, 2023 to Mar 12, 2024
- Pension RAUM · $303M to $349MMar 30, 2023 to Mar 12, 2024
- RAUM · $494M to $557MMar 30, 2023 to Mar 12, 2024
- Accounts · 545 to 573Jan 16, 2023 to Mar 30, 2023
- HNW clients · 361 to 400Jan 16, 2023 to Mar 30, 2023
- Individual clients · 163 to 148Jan 16, 2023 to Mar 30, 2023
- Pension plan clients · 21 to 25Jan 16, 2023 to Mar 30, 2023
- Discretionary RAUM · $232M to $180MJan 16, 2023 to Mar 30, 2023
- HNW RAUM · $196M to $177MJan 16, 2023 to Mar 30, 2023
Signals
9 dated events
- A•••• S••••••• A•••••••• L•• reported RAUM $649.3M, down 29% from $917.8M (2026-01-05 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- S••• D•••• W••••• left A•••• S••••••• A•••••••• L•• for C••••••• A•••• M••••••••• L•• (registered 2025-08-19)Jul 25, 2025 · a•••••• firm change · fact
- W•••••• J••••• O•••••• left A•••• S••••••• A•••••••• L•• for C••••••• A•••• M••••••••• L•• (registered 2025-07-25)Jun 16, 2025 · a•••••• firm change · fact
- A•••• S••••••• A•••••••• L•• reported RAUM $917.8M, up 65% from $557.0M (2024-08-29 to 2025-03-02)Mar 2, 2025 · RAUM change · derived
- J••• D•••• G••••• left A•••• S••••••• A•••••••• L•• for T••••• P••••• W••••• M••••••••• (registered 2023-06-02)May 18, 2023 · a•••••• firm change · fact
- David Sean Whalen (Financial Consultant) appeared on Schedule A of A•••• S••••••• A•••••••• L••Apr 15, 2022 · Control person joined · fact
- Salvatore Rosario Salamone (Director Of Research) appeared on Schedule A of A•••• S••••••• A•••••••• L••Apr 15, 2022 · Control person joined · fact
- A•••• S••••••• A•••••••• L•• reported RAUM $587.4M, up 26% from $467.9M (2021-03-31 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- A•••• S••••••• A•••••••• L•• reported RAUM $467.9M, up 33% from $351.2M (2020-09-29 to 2021-03-31)Mar 31, 2021 · 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
- Business email
- info@assetstrategy.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 781-222-3002reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 781-235-4426reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/asset-strategy-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- assetstrategy.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 781-235-4426reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- assetstrategy.com/teamreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $54.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026