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
M•••• D•••••• A••••••• L••
Latest filing Mar 28, 2026
First filing on the tape Mar 30, 2012 · 26 filings
SEC status approved since Mar 10, 2009
RAUM
$2.0B
reported, Item 5.F
Discretionary
7.5%
of RAUM
Private clients
85%
$1.7B individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.0B
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$2.0B as of Mar 28, 2026
Mar 30, 2012$655M then
HNW client RAUM$1.1B as of Mar 28, 2026
Mar 28, 2018$1.1B then
State-registered IARs (5.B.3)1 as of Mar 28, 2026
Mar 30, 20120 then
Employees (5.A)4 as of Mar 28, 2026
Apr 1, 20134 then
Private funds: no history
RAUM +11% over the last fiscal year+8.1% 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
- $2.0BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 187derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.3MderivedHNW RAUM over HNW clients
- Average account
- $3.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 7.5%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $2.0B, 187 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B54%
- Individuals$625M31%
- Charitable organizations$306M15%
- Corporations and businesses$922,4030.0%
- Individual clients
- 67reported
- HNW clients
- 120reported
- Pension plan clients
- 0reported
- Charitable clients
- 15reported
- Accounts
- 621reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.0B for 187 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.15 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 |
|---|---|---|---|---|
| Z•••••• A• B••••••Chartered Financial Analyst | Boston, Ma | Nov 12, 2013 | 24 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
- B••••••• R•••••• G• · Chief Compliance Officer And Managercontrolsince 01/2011 · owns 25% to 50%
- B••••••• Z••••••• A• · Managercontrolsince 12/2021 · owns 10% to 25%
- G••••••••• G••••••• L• · President And Managercontrolsince 01/2009 · owns 10% to 25%
- M••••••• K••••• T• · Manager And Tax Matters Partnercontrolsince 01/2011 · owns 10% to 25%
- R•••••••• A•••• C•••••• · Manager Tax Matters Partnercontrolsince 01/2021 · owns less than 5%
- B••••••• R•••••• G• · Shareholdercontrolsince 12/2021 · owns 25% to 50% of R•••• H•••• • B••••••• I•••
- A••••• S••••• M•••• · Managersince 12/2021 · owns 10% to 25%
- M•••••• G••••••• J••••• · Officer And Managersince 01/2022 · owns less than 5%
Entity owners
- R•••• H•••• • B••••••• I••• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 28, 2026M••••••• K••••• T• (MANAGER AND TAX MATTERS PARTNER) left Schedule A between the filings of 2023-03-31 and 2026-03-28peers: independent wealth managers, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Mar 28, 2026HNW share of RAUM moved from 85.0% to 54.0% between the annual amendments of 2025-03-29 and 2026-03-28peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 606 to 621Mar 29, 2025 to Mar 28, 2026
- Charity clients · 13 to 15Mar 29, 2025 to Mar 28, 2026
- HNW clients · 193 to 120Mar 29, 2025 to Mar 28, 2026
- Individual clients · 0 to 67Mar 29, 2025 to Mar 28, 2026
- Assets in custody · $1.9B to $2.0BMar 29, 2025 to Mar 28, 2026
- Discretionary RAUM · $177M to $152MMar 29, 2025 to Mar 28, 2026
- HNW RAUM · $1.6B to $1.1BMar 29, 2025 to Mar 28, 2026
- Individual RAUM · $0 to $625MMar 29, 2025 to Mar 28, 2026
- Non-discretionary RAUM · $1.7B to $1.9BMar 29, 2025 to Mar 28, 2026
- RAUM · $1.8B to $2.0BMar 29, 2025 to Mar 28, 2026
- Accounts · 545 to 606Jun 25, 2024 to Mar 29, 2025
- HNW clients · 177 to 193Jun 25, 2024 to Mar 29, 2025
- Assets in custody · $1.7B to $1.9BJun 25, 2024 to Mar 29, 2025
- Financial planning clients · 0 to 0Jun 25, 2024 to Mar 29, 2025
- Discretionary RAUM · $146M to $177MJun 25, 2024 to Mar 29, 2025
- HNW RAUM · $1.4B to $1.6BJun 25, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $1.6B to $1.7BJun 25, 2024 to Mar 29, 2025
- RAUM · $1.7B to $1.8BJun 25, 2024 to Mar 29, 2025
- Accounts · 418 to 545Dec 8, 2023 to Mar 29, 2024
- Charity clients · 14 to 13Dec 8, 2023 to Mar 29, 2024
- HNW clients · 172 to 177Dec 8, 2023 to Mar 29, 2024
- Assets in custody · $1.6B to $1.7BDec 8, 2023 to Mar 29, 2024
- Discretionary RAUM · $149M to $146MDec 8, 2023 to Mar 29, 2024
- HNW RAUM · $1.4B to $1.4BDec 8, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $1.5B to $1.6BDec 8, 2023 to Mar 29, 2024
- RAUM · $1.6B to $1.7BDec 8, 2023 to Mar 29, 2024
- Accounts · 544 to 418Nov 15, 2022 to Mar 31, 2023
- Charity clients · 16 to 14Nov 15, 2022 to Mar 31, 2023
- HNW clients · 170 to 172Nov 15, 2022 to Mar 31, 2023
- Assets in custody · $1.8B to $1.6BNov 15, 2022 to Mar 31, 2023
- Discretionary RAUM · $149M to $149MNov 15, 2022 to Mar 31, 2023
- HNW RAUM · $1.6B to $1.4BNov 15, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $1.8B to $1.5BNov 15, 2022 to Mar 31, 2023
- RAUM · $1.9B to $1.6BNov 15, 2022 to Mar 31, 2023
- Accounts · 537 to 544Aug 31, 2021 to Mar 30, 2022
- Charity clients · 13 to 16Aug 31, 2021 to Mar 30, 2022
- Corporate clients · 2 to 1Aug 31, 2021 to Mar 30, 2022
- Assets in custody · $1.6B to $1.8BAug 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $130M to $149MAug 31, 2021 to Mar 30, 2022
- HNW RAUM · $1.4B to $1.6BAug 31, 2021 to Mar 30, 2022
Signals
3 dated events
- C•••••• A••• R••••••• (Manager) appeared on Schedule A of M•••• D•••••• A••••••• L••Mar 13, 2021 · Control person joined · fact
- Adrienne Smith (Manager) no longer on Schedule A of M•••• D•••••• A••••••• L•• (listed 2018-03-28, absent 2019-03-31)Mar 31, 2019 · Control person left · inference
- M•••• D•••••• A••••••• L•• reported RAUM $1.3B, up 46% from $891.0M (2017-12-13 to 2018-03-28)Mar 28, 2018 · 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
- a••••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- g•••••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 617-557-7407reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 617-557-7419reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- M••••D••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-557-7413reportedpublic record, Form ADV, Mar 28, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- m•••••••••.comreportedpublished 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
- $2.0Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026