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•••• P•••••••• I•••
Latest filing Jan 9, 2026
First filing on the tape Jan 5, 2024 · 6 filings
SEC status approved since Feb 13, 2024
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$187M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$93.6M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$187M as of Jan 9, 2026
Jan 10, 2025$160M then
HNW client RAUM$180M as of Jan 9, 2026
Jan 10, 2025$152M then
State-registered IARs (5.B.3)2 as of Jan 9, 2026
Jan 10, 20252 then
Employees (5.A)3 as of Jan 9, 2026
Jan 10, 20253 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 9, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $93.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- +5.3%derived
- Compensation
- percentage of assets, hourly, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$180M96%
- Individuals$7.0M3.8%
- Individual clients
- 25reported
- HNW clients
- 74reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 99reported
- Financial planning clients
- 51-100reported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••• D•••• G••••••• | Belmont, Ma | Aug 17, 2007 | 19 y | 0 |
| S•••• H••••• L•••••• | Belmont, Ma | Oct 30, 2007 | 19 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• E••••• D•••• · Chief Compliance Officercontrolsince 01/1992 · owns 50% to 75%
- L••••••• S••••• H••••• · Vice Presidentcontrolsince 01/1992 · owns 25% to 50%
- S•••••• R••••• · Directorsince 01/1992 · 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 |
|---|---|---|---|---|---|
| Belmont, Ma | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 94 to 99Nov 10, 2025 to Jan 9, 2026
- HNW clients · 61 to 74Nov 10, 2025 to Jan 9, 2026
- Individual clients · 33 to 25Nov 10, 2025 to Jan 9, 2026
- Discretionary RAUM · $160M to $187MNov 10, 2025 to Jan 9, 2026
- HNW RAUM · $152M to $180MNov 10, 2025 to Jan 9, 2026
- Individual RAUM · $7.1M to $7.0MNov 10, 2025 to Jan 9, 2026
- RAUM · $160M to $187MNov 10, 2025 to Jan 9, 2026
- Accounts · 91 to 94Feb 13, 2024 to Jan 10, 2025
- HNW clients · 60 to 61Feb 13, 2024 to Jan 10, 2025
- Individual clients · 31 to 33Feb 13, 2024 to Jan 10, 2025
- Financial planning clients · 51-100 to 51-100Feb 13, 2024 to Jan 10, 2025
- HQ city · unset to Feb 13, 2024 to Jan 10, 2025
- HQ state · unset to Feb 13, 2024 to Jan 10, 2025
- Discretionary RAUM · $126M to $160MFeb 13, 2024 to Jan 10, 2025
- HNW RAUM · $116M to $152MFeb 13, 2024 to Jan 10, 2025
- Individual RAUM · $9.5M to $7.1MFeb 13, 2024 to Jan 10, 2025
- RAUM · $126M to $160MFeb 13, 2024 to Jan 10, 2025
- HQ city · BELMONT to unsetJan 11, 2024 to Feb 13, 2024
- HQ state · MA to unsetJan 11, 2024 to Feb 13, 2024
Signals
1 dated events
- H••••• A•••• P•••••••• I••• filed its initial SEC registration (Form ADV)Jan 5, 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
- Business phone
- 617-489-0324reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••ASSETP•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-489-0324reportedpublic record, Form ADV, Jan 9, 2026
- Contact form
- harborasset.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- harborasset.com/about/our-teamreportedpublished 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
- $93.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026