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
9• F•••••••• G••••• L••
Latest filing Mar 23, 2026
First filing on the tape May 13, 2013 · 25 filings
SEC status approved since May 31, 2013
RAUM
$900M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$900M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$180M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$900M as of Mar 23, 2026
Feb 20, 2014$134M then
HNW client RAUM$519M as of Mar 23, 2026
Mar 28, 2018$72.2M then
State-registered IARs (5.B.3)5 as of Mar 23, 2026
Feb 20, 20144 then
Employees (5.A)8 as of Mar 23, 2026
Feb 20, 20146 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 23, 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
- $180MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 235derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $364,826derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.3%derived
- Compensation
- percentage of assetsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$519M58%
- Individuals$381M42%
- Individual clients
- 873reported
- HNW clients
- 302reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,466reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| J••• A••• W•••• | Woburn, Ma | Feb 15, 2008 | 26 y | 1 |
| J•••• T••••• W•••• | Woburn, Ma | Feb 15, 2008 | 23 y | 0 |
| P••• J••••• W•••• | Woburn, Ma | Feb 15, 2008 | 33 y | 1 |
| L••••••• E••••• W•••• | Woburn, Ma | Feb 15, 2008 | 32 y | 1 |
| D•••• R••••• B•••• | Woburn, Ma | Apr 13, 2018 | 26 y | 4 |
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
- D•••• R••••• B•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 13, 2018 · Affiliated broker-dealer or bank to independent RIA
- P••• J••••• W•••• from 1••• C•••••• M••••••••• C••••••Feb 15, 2008 · Other
- L••••••• E••••• W•••• from 1••• C•••••• M••••••••• C••••••Feb 15, 2008 · Other
- J••• A••• W•••• from R•• C•••••• M••••••• L••Feb 15, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• L•••••••• E••••• · Principal / Managing Membercontrolsince 08/2003 · owns 50% to 75%
- W••••• P•••• J••••• · Principal / Managing Membercontrolsince 08/2003 · owns 50% to 75%
- W••••• J•••• A••• · Chief Compliance Officersince 12/2017 · 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 |
|---|---|---|---|---|---|
| Woburn, Ma · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,438 to 2,466Mar 14, 2025 to Mar 23, 2026
- HNW clients · 235 to 302Mar 14, 2025 to Mar 23, 2026
- Individual clients · 937 to 873Mar 14, 2025 to Mar 23, 2026
- Discretionary RAUM · $780M to $900MMar 14, 2025 to Mar 23, 2026
- HNW RAUM · $387M to $519MMar 14, 2025 to Mar 23, 2026
- Individual RAUM · $393M to $381MMar 14, 2025 to Mar 23, 2026
- RAUM · $780M to $900MMar 14, 2025 to Mar 23, 2026
- Accounts · 2,397 to 2,438Mar 28, 2024 to Mar 14, 2025
- HNW clients · 174 to 235Mar 28, 2024 to Mar 14, 2025
- Individual clients · 978 to 937Mar 28, 2024 to Mar 14, 2025
- Financial planning clients · 11-25 to 26-50Mar 28, 2024 to Mar 14, 2025
- Discretionary RAUM · $639M to $780MMar 28, 2024 to Mar 14, 2025
- HNW RAUM · $265M to $387MMar 28, 2024 to Mar 14, 2025
- Individual RAUM · $374M to $393MMar 28, 2024 to Mar 14, 2025
- RAUM · $639M to $780MMar 28, 2024 to Mar 14, 2025
- HNW clients · 136 to 174Sep 27, 2023 to Mar 28, 2024
- Individual clients · 1,016 to 978Sep 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $564M to $639MSep 27, 2023 to Mar 28, 2024
- HNW RAUM · $197M to $265MSep 27, 2023 to Mar 28, 2024
- Individual RAUM · $367M to $374MSep 27, 2023 to Mar 28, 2024
- RAUM · $564M to $639MSep 27, 2023 to Mar 28, 2024
- Accounts · 2,315 to 2,397Mar 27, 2022 to Mar 6, 2023
- HNW clients · 173 to 136Mar 27, 2022 to Mar 6, 2023
- Individual clients · 950 to 1,016Mar 27, 2022 to Mar 6, 2023
- Financial planning clients · 26-50 to 11-25Mar 27, 2022 to Mar 6, 2023
- Discretionary RAUM · $629M to $564MMar 27, 2022 to Mar 6, 2023
- HNW RAUM · $259M to $197MMar 27, 2022 to Mar 6, 2023
- Individual RAUM · $371M to $367MMar 27, 2022 to Mar 6, 2023
- RAUM · $629M to $564MMar 27, 2022 to Mar 6, 2023
- Accounts · 2,214 to 2,315Feb 8, 2021 to Mar 27, 2022
- HNW clients · 137 to 173Feb 8, 2021 to Mar 27, 2022
- Individual clients · 943 to 950Feb 8, 2021 to Mar 27, 2022
- Employees · 9 to 8Feb 8, 2021 to Mar 27, 2022
- Financial planning clients · 11-25 to 26-50Feb 8, 2021 to Mar 27, 2022
- Discretionary RAUM · $532M to $629MFeb 8, 2021 to Mar 27, 2022
- HNW RAUM · $198M to $259MFeb 8, 2021 to Mar 27, 2022
- Individual RAUM · $334M to $371MFeb 8, 2021 to Mar 27, 2022
- RAUM · $532M to $629MFeb 8, 2021 to Mar 27, 2022
- Accounts · 2,111 to 2,214Jun 23, 2020 to Feb 8, 2021
- HNW clients · 93 to 137Jun 23, 2020 to Feb 8, 2021
Signals
2 dated events
- 9• F•••••••• G••••• L•• reported RAUM $440.4M, up 31% from $335.4M (2019-05-01 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
- 9• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)May 13, 2013 · 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 email
- i•••@9•••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-933-4506reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-938-6361reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- 9•••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 781-938-6361reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- 9•••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- 9•••.comreportedpublished 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
- $180Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026