DFX Intelligence
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R••• W••••• M••••••••• L••
Independent wealth manager, based in Acton, Massachusetts, reporting $381M 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
- $381M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +17%
- Private clients
- 96% of RAUM, $365M
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 $325MRAUM now $381M
- financial planning (Item 5.G.1) 1
- Contact points 5
Every filed figure, and the identifiersCRD 140210 · SEC 801-66710 · 30 filingsShowHide
CRD 140210SEC 801-66710First filing on the tape Mar 13, 2012, latest Aug 11, 2026SEC status approved since May 17, 2006IAPD
RAUM
$381M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
96%
$365M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$381M as of Aug 11, 2026
Mar 13, 2012$96.2M then
HNW client RAUM$341M as of Aug 11, 2026
Mar 14, 2018$128M then
State-registered IARs (5.B.3)3 as of Aug 11, 2026
Mar 13, 20120 then
Employees (5.A)3 as of Aug 11, 2026
Feb 23, 20132 then
Private funds: no history
RAUM +17% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Aug 11, 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
- RAUM per advisor
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $823,078derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $172M, 52 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)
- 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$341M90%
- Individuals$23.9M6.3%
- Corporations and businesses$9.1M2.4%
- Charitable organizations$6.0M1.6%
- Pension and profit-sharing plans$900,9440.2%
- Individual clients
- 59reported
- HNW clients
- 77reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 463reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $172M for 52 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| R••••• W•••••• H••• | Acton, Ma | Jun 26, 2006 | 22 y | 1 |
| A••••• W•••••• H••• | Sherman Oaks, Ca | Jan 4, 2016 | 11 y | 0 |
| R••• W•••••• H•••Certified Financial Planner | Acton, Ma | Feb 26, 2016 | 10 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
- R••••• W•••••• H••• from R•••••• F••••••• • L••••• P•Jun 26, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• A•••••• W•••••• · Member, Co-President, & Chief Compliance Officercontrolsince 02/2017 · owns 50% to 75%
- H•••• R•••• W•••••• · Member & Co-Presidentcontrolsince 02/2017 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Acton, Ma · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 11, 2026financial planning (Item 5.G.1): no on the filing of 2026-03-10, yes on the filing of 2026-08-11peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Advisory activities · 3 to 4Mar 10, 2026 to Aug 11, 2026
- Financial planning clients · to 0Mar 10, 2026 to Aug 11, 2026
- Accounts · 439 to 463Mar 10, 2025 to Mar 10, 2026
- HNW clients · 72 to 77Mar 10, 2025 to Mar 10, 2026
- Individual clients · 57 to 59Mar 10, 2025 to Mar 10, 2026
- Assets in custody · $144M to $172MMar 10, 2025 to Mar 10, 2026
- Discretionary RAUM · $299M to $352MMar 10, 2025 to Mar 10, 2026
- HNW RAUM · $285M to $341MMar 10, 2025 to Mar 10, 2026
- Individual RAUM · $24.6M to $23.9MMar 10, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $26.5M to $28.7MMar 10, 2025 to Mar 10, 2026
- Pension RAUM · $766,380 to $900,944Mar 10, 2025 to Mar 10, 2026
- RAUM · $325M to $381MMar 10, 2025 to Mar 10, 2026
- Accounts · 405 to 439Mar 25, 2024 to Mar 10, 2025
- HNW clients · 71 to 72Mar 25, 2024 to Mar 10, 2025
- Individual clients · 55 to 57Mar 25, 2024 to Mar 10, 2025
- Assets in custody · $125M to $144MMar 25, 2024 to Mar 10, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 10, 2025
- Discretionary RAUM · $262M to $299MMar 25, 2024 to Mar 10, 2025
- HNW RAUM · $251M to $285MMar 25, 2024 to Mar 10, 2025
- Individual RAUM · $21.2M to $24.6MMar 25, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $24.7M to $26.5MMar 25, 2024 to Mar 10, 2025
- Pension RAUM · $702,432 to $766,380Mar 25, 2024 to Mar 10, 2025
- RAUM · $287M to $325MMar 25, 2024 to Mar 10, 2025
- Accounts · 379 to 405Mar 2, 2023 to Mar 13, 2024
- HNW clients · 68 to 71Mar 2, 2023 to Mar 13, 2024
- Individual clients · 57 to 55Mar 2, 2023 to Mar 13, 2024
- Assets in custody · $84.6M to $125MMar 2, 2023 to Mar 13, 2024
- Discretionary RAUM · $220M to $262MMar 2, 2023 to Mar 13, 2024
- HNW RAUM · $211M to $251MMar 2, 2023 to Mar 13, 2024
- Individual RAUM · $19.7M to $21.2MMar 2, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $21.8M to $24.7MMar 2, 2023 to Mar 13, 2024
- Pension RAUM · $657,225 to $702,432Mar 2, 2023 to Mar 13, 2024
- RAUM · $241M to $287MMar 2, 2023 to Mar 13, 2024
- Accounts · 353 to 379Jul 19, 2022 to Feb 17, 2023
- Corporate clients · 3 to 5Jul 19, 2022 to Feb 17, 2023
- Individual clients · 53 to 57Jul 19, 2022 to Feb 17, 2023
- Assets in custody · $79.6M to $84.6MJul 19, 2022 to Feb 17, 2023
- Discretionary RAUM · $217M to $220MJul 19, 2022 to Feb 17, 2023
- HNW RAUM · $216M to $211MJul 19, 2022 to Feb 17, 2023
- Individual RAUM · $21.5M to $19.7MJul 19, 2022 to Feb 17, 2023
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 15, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Aug 11, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Aug 11, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 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
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026