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
H••••••••• A•••• M••••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Nov 15, 2024 · 4 filings
SEC status approved since Dec 16, 2024
RAUM
$104M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$104M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$34.8M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$104M as of Mar 25, 2026
Mar 18, 2025$99.8M then
HNW client RAUM$87.4M as of Mar 25, 2026
Mar 18, 2025$81.8M then
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Mar 18, 20253 then
Employees (5.A)4 as of Mar 25, 2026
Mar 18, 20254 then
Private funds: no history
RAUM +4.6% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 25, 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
- 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
- $34.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $573,632derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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$87.4M84%
- Individuals$17.0M16%
- Individual clients
- 141reported
- HNW clients
- 39reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 182reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• P••• W•••• | Pittsburgh, Pa | Mar 7, 2016 | 31 y | 0 |
| R••••• M••••••••• | Danvers, Ma | Aug 30, 2018 | 22 y | 1 |
| R••••• R•• M••••••••• | Danvers, Ma | Sep 16, 2024 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- G••••• B•••••• to B••••••••• A•••• M••••••••• L••Sep 9, 2026 · RIA to a state-registered adviser
- C••• D••••• G••• to A•••• P••••••••• C••••••• L••Aug 20, 2019 · RIA to a state-registered adviser
Joined, latest
- R••••• M••••••••• from H••••••••• S•••••••• I•••Aug 30, 2018 · Other
- C••• D••••• G••• from E••••••• P••••••••• I••••••••• G••••• L••Jan 31, 2018 · Other
- G••••• B•••••• from I•••••••• C•••••• A•••••••Dec 5, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• G••••• · Ceo, President, Chief Compliance Officer, And Treasurercontrolsince 08/2006 · owns less than 5%
- M••••••••• R••••• · Chairman, Chief Investment Officercontrolsince 08/2006 · owns less than 5%
Entity owners
- H••••••••• S•••••••• I••• · 100% Ownerdirect · 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 |
|---|---|---|---|---|---|
| Pittsburgh, Pa · principal | 3 | 0 | 1 | ||
| Danvers, Ma | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Danvers, MA1 employees
What changed
consecutive filings, newest first
- Accounts · 180 to 182Jul 16, 2025 to Mar 25, 2026
- Corporate clients · 2 to 0Jul 16, 2025 to Mar 25, 2026
- Individual clients · 139 to 141Jul 16, 2025 to Mar 25, 2026
- Discretionary RAUM · $99.8M to $104MJul 16, 2025 to Mar 25, 2026
- HNW RAUM · $81.8M to $87.4MJul 16, 2025 to Mar 25, 2026
- Individual RAUM · $15.9M to $17.0MJul 16, 2025 to Mar 25, 2026
- RAUM · $99.8M to $104MJul 16, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Mar 18, 2025 to Jul 16, 2025
- Accounts · 281 to 180Nov 15, 2024 to Mar 18, 2025
- Discretionary RAUM · $100M to $99.8MNov 15, 2024 to Mar 18, 2025
- HNW RAUM · $84.4M to $81.8MNov 15, 2024 to Mar 18, 2025
- Individual RAUM · $13.9M to $15.9MNov 15, 2024 to Mar 18, 2025
- RAUM · $100M to $99.8MNov 15, 2024 to Mar 18, 2025
Signals
2 dated events
- G••••• B•••••• left H••••••••• A•••• M••••••••• I••• for B••••••••• A•••• M••••••••• L•• (registered 2026-09-16)Sep 9, 2026 · Advisor changed firm · fact
- H••••••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Nov 15, 2024 · First SEC registration · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 412-782-5400reportedpublic record, Form ADV, Mar 25, 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
- $34.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026