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
R•••••••• C•••••• A••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Mar 30, 2012 · 29 filings
SEC status approved since May 3, 2006
RAUM
$624M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$624M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$125M
derived; firm RAUM over IAPD count
Employees
8
6 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$624M as of Apr 1, 2026
Mar 30, 2012$110M then
HNW client RAUM$566M as of Apr 1, 2026
Mar 19, 2018$155M then
State-registered IARs (5.B.3)6 as of Apr 1, 2026
Mar 30, 20120 then
Employees (5.A)8 as of Apr 1, 2026
Mar 28, 20134 then
Private funds: no history
RAUM +0.8% over the last fiscal year+11% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Apr 1, 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
- $125MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 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
- 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$566M91%
- Individuals$58.5M9.4%
- Individual clients
- 104reported
- HNW clients
- 117reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 590reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• L•••••• A••••••••• | Boston, Ma | Nov 15, 2006 | 33 y | 1 |
| P•••• J• P••••••••• | Boston, Ma | Dec 1, 2009 | 22 y | 0 |
| N••••• M•••• H••••••Certified Financial Planner | Boston, Ma | Oct 6, 2020 | 10 y | 0 |
| K•••• B•••••• | Boston, Ma | May 2, 2023 | 13 y | 4 |
| B••••••• P• S••••• | Boston, Ma | Jun 25, 2024 | 13 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 headcount1 left over 36 months
Left, latest
- T•• A••••• F••• to E•••• S••••••••• L••May 12, 2025 · RIA to affiliated broker-dealer or bank
- A•••• E• D•••• to R••••••• F••••••••• L••Jun 2, 2021 · RIA to RIA
Joined, latest
- K•••• B•••••• from O• I••••••••• M••••••••• C•May 2, 2023 · Affiliated broker-dealer or bank to independent RIA
- A••• L•••••• A••••••••• from N••••••••• M••••• W••••• M••••••••• C••••••Nov 15, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• A•••• L•••••• · Partnercontrolsince 03/2006 · owns 75% or more
- P••••••••• P••••• J• · Managing Membercontrolsince 01/2018 · owns 10% to 25%
- G••••••• J•••••• R• · Chief Compliance Officersince 10/2019 · owns less than 5%
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 | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 599 to 590Mar 31, 2025 to Mar 31, 2026
- HNW clients · 100 to 117Mar 31, 2025 to Mar 31, 2026
- Individual clients · 84 to 104Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $584M to $584MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $562M to $566MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $57.0M to $58.5MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $34.4M to $40.0MMar 31, 2025 to Mar 31, 2026
- RAUM · $619M to $624MMar 31, 2025 to Mar 31, 2026
- Accounts · 542 to 599Nov 21, 2024 to Mar 31, 2025
- HNW clients · 115 to 100Nov 21, 2024 to Mar 31, 2025
- Individual clients · 87 to 84Nov 21, 2024 to Mar 31, 2025
- Employees · 7 to 8Nov 21, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Nov 21, 2024 to Mar 31, 2025
- Discretionary RAUM · $496M to $584MNov 21, 2024 to Mar 31, 2025
- HNW RAUM · $472M to $562MNov 21, 2024 to Mar 31, 2025
- Individual RAUM · $55.3M to $57.0MNov 21, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $31.7M to $34.4MNov 21, 2024 to Mar 31, 2025
- RAUM · $527M to $619MNov 21, 2024 to Mar 31, 2025
- Advisory employees · 4 to 6Mar 29, 2024 to Apr 29, 2024
- Employees · 6 to 7Mar 29, 2024 to Apr 29, 2024
- State-registered IARs · 4 to 6Mar 29, 2024 to Apr 29, 2024
- Accounts · 503 to 542Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 3 to 4Mar 31, 2023 to Mar 29, 2024
- HNW clients · 110 to 115Mar 31, 2023 to Mar 29, 2024
- Individual clients · 69 to 87Mar 31, 2023 to Mar 29, 2024
- Employees · 4 to 6Mar 31, 2023 to Mar 29, 2024
- State-registered IARs · 3 to 4Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $428M to $496MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $414M to $472MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $43.7M to $55.3MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $30.2M to $31.7MMar 31, 2023 to Mar 29, 2024
- RAUM · $458M to $527MMar 31, 2023 to Mar 29, 2024
- Accounts · 493 to 503Mar 31, 2022 to Mar 31, 2023
- HNW clients · 86 to 110Mar 31, 2022 to Mar 31, 2023
- Individual clients · 59 to 69Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $458M to $428MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $439M to $414MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $63.9M to $43.7MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $44.7M to $30.2MMar 31, 2022 to Mar 31, 2023
- RAUM · $503M to $458MMar 31, 2022 to Mar 31, 2023
Signals
4 dated events
- T•• A••••• F••• left R•••••••• C•••••• A••••••• L•• for E•••• S••••••••• L•• (registered 2026-04-02)May 12, 2025 · Advisor changed firm · fact
- R•••••••• C•••••• A••••••• L•• reported RAUM $502.5M, up 31% from $384.7M (2021-06-23 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- R•••••••• C•••••• A••••••• L•• reported RAUM $311.0M, up 53% from $203.5M (2019-10-15 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- J Paula Pienkowska (Partner) appeared on Schedule A of R•••••••• C•••••• A••••••• L••Oct 2, 2019 · Control person joined · fact
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
- 617-423-0080reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/R••••••••-CAPITAL-ADVISERS-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-423-0080reportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- riverviewcapital.com/contact-2reportedpublished 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
- $125Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026