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
S•••• S•••• C•••••• A•••••••• L••
Latest filing Mar 6, 2026
First filing on the tape May 15, 2015 · 29 filings
SEC status approved since Jun 1, 2015
RAUM
$273M
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
97%
$266M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$90.9M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$273M as of Mar 6, 2026
Apr 11, 2016$136M then
HNW client RAUM$256M as of Mar 6, 2026
Mar 23, 2018$189M then
State-registered IARs (5.B.3)3 as of Mar 6, 2026
Apr 11, 20164 then
Employees (5.A)3 as of Mar 6, 2026
Apr 11, 20164 then
Private funds1 as of Mar 16, 2020
Apr 11, 20161 then
RAUM +21% over the last fiscal year+15% a year over threeIARs 3 to 3offices 0 to 1
Practice profile
derived from the filing of Mar 6, 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
- $90.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$256M94%
- Individuals$9.8M3.6%
- Charitable organizations$7.2M2.6%
- Individual clients
- 31reported
- HNW clients
- 65reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 250reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| T••••• G•••••• T••••• | Boston, Ma | Feb 15, 2007 | 31 y | 2 |
| L••••• S•••••• T•••••Chartered Financial Analyst | Boston, Ma | Oct 28, 2008 | 30 y | 0 |
| C•••••• S••••••• A••••••• | Boston, Ma | Sep 14, 2018 | 26 y | 2 |
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
- C•••••• S••••••• A••••••• from C••••• S••••• S••••••••• •••• L••Sep 14, 2018 · Other
- T••••• G•••••• T••••• from C••••• S••••• S••••••••• •••• L••Feb 15, 2007 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| X••••• P•••••••• L•no longer reported | Hedge Fund | $18.9M | 14 | Mar 28, 2016 |
Owners and control persons
Schedule A and B, latest filing
- T•••••• L•••••• S•••••• · Principalcontrolsince 10/2008 · owns 25% to 50%
- T•••••• T•••••• G•••••• · Principal/Chief Compliance Officercontrolsince 12/2006 · 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 |
|---|---|---|---|---|---|
| Boston, Ma · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 249 to 250Nov 11, 2025 to Mar 6, 2026
- Advisory employees · 3 to 2Nov 11, 2025 to Mar 6, 2026
- HNW clients · 68 to 65Nov 11, 2025 to Mar 6, 2026
- Individual clients · 32 to 31Nov 11, 2025 to Mar 6, 2026
- Financial planning clients · 0 to 11-25Nov 11, 2025 to Mar 6, 2026
- HQ city · COHASSET to BOSTONNov 11, 2025 to Mar 6, 2026
- Other offices · 0 to 1Nov 11, 2025 to Mar 6, 2026
- Discretionary RAUM · $147M to $183MNov 11, 2025 to Mar 6, 2026
- HNW RAUM · $210M to $256MNov 11, 2025 to Mar 6, 2026
- Individual RAUM · $8.8M to $9.8MNov 11, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $78.6M to $89.6MNov 11, 2025 to Mar 6, 2026
- RAUM · $226M to $273MNov 11, 2025 to Mar 6, 2026
- Financial planning clients · 0 to 0Apr 10, 2025 to Nov 11, 2025
- Accounts · 231 to 249Mar 6, 2024 to Apr 10, 2025
- HNW clients · 69 to 68Mar 6, 2024 to Apr 10, 2025
- Individual clients · 25 to 32Mar 6, 2024 to Apr 10, 2025
- Financial planning clients · 1-10 to 0Mar 6, 2024 to Apr 10, 2025
- Discretionary RAUM · $123M to $147MMar 6, 2024 to Apr 10, 2025
- HNW RAUM · $204M to $210MMar 6, 2024 to Apr 10, 2025
- Individual RAUM · $7.1M to $8.8MMar 6, 2024 to Apr 10, 2025
- Non-discretionary RAUM · $94.8M to $78.6MMar 6, 2024 to Apr 10, 2025
- RAUM · $217M to $226MMar 6, 2024 to Apr 10, 2025
- Accounts · 220 to 231Mar 16, 2023 to Mar 6, 2024
- Charity clients · 4.0 to unsetMar 16, 2023 to Mar 6, 2024
- HNW clients · 66 to 69Mar 16, 2023 to Mar 6, 2024
- Individual clients · 26 to 25Mar 16, 2023 to Mar 6, 2024
- Employees · 4 to 3Mar 16, 2023 to Mar 6, 2024
- Other offices · 1 to 0Mar 16, 2023 to Mar 6, 2024
- Discretionary RAUM · $103M to $123MMar 16, 2023 to Mar 6, 2024
- HNW RAUM · $169M to $204MMar 16, 2023 to Mar 6, 2024
- Individual RAUM · $5.8M to $7.1MMar 16, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $78.0M to $94.8MMar 16, 2023 to Mar 6, 2024
- RAUM · $181M to $217MMar 16, 2023 to Mar 6, 2024
- Accounts · 201 to 220Jun 1, 2022 to Feb 9, 2023
- HNW clients · 65 to 66Jun 1, 2022 to Feb 9, 2023
- Individual clients · 29 to 26Jun 1, 2022 to Feb 9, 2023
- Discretionary RAUM · $103M to $103MJun 1, 2022 to Feb 9, 2023
- HNW RAUM · $179M to $169MJun 1, 2022 to Feb 9, 2023
- Individual RAUM · $6.6M to $5.8MJun 1, 2022 to Feb 9, 2023
- Non-discretionary RAUM · $89.7M to $78.0MJun 1, 2022 to Feb 9, 2023
Signals
1 dated events
- S•••• S•••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 15, 2015 · 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
- Business phone
- 781-236-3304reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 781-735-0486reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 781-740-9310reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 781-740-9310reportedpublic record, Form ADV, Mar 6, 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
- $90.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026