DFX Intelligence
RIA Intelligence
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SEC-registered adviser
F••••• F•••••••• S•••••••• I•••
Latest filing Aug 24, 2026
First filing on the tape Jun 19, 2020 · 14 filings
SEC status approved since Jul 20, 2020
RAUM
$254M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$218M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$42.4M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$254M as of Aug 24, 2026
Mar 16, 2021$117M then
HNW client RAUM$202M as of Aug 24, 2026
Mar 16, 2021$83.1M then
State-registered IARs (5.B.3)4 as of Aug 24, 2026
Mar 16, 20211 then
Employees (5.A)5 as of Aug 24, 2026
Mar 16, 20216 then
Private funds: no history
RAUM +24% over the last fiscal year+27% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Aug 24, 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
- $42.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $688,759derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +30%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$202M79%
- Pension and profit-sharing plans$22.8M9.0%
- Individuals$16.0M6.3%
- Corporations and businesses$11.1M4.4%
- Charitable organizations$2.5M1.0%
- Individual clients
- 64reported
- HNW clients
- 39reported
- Pension plan clients
- 9reported
- Charitable clients
- 6reported
- Accounts
- 369reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• L••••••• G••• | Beverly, Ma | Apr 2, 2008 | 23 y | 2 |
| S•••••• N•••• W••••••• | Beverly, Ma | Apr 7, 2008 | 46 y | 0 |
| L••••••• G•••••• M••••• | Newton, Ma | May 18, 2009 | 27 y | 0 |
| C•••••• D••••• O•••••• | Beverly, Ma | Nov 10, 2022 | 12 y | 1 |
| B••••••• T•••••• | Beverly, Ma | Jul 21, 2025 | 11 y | 0 |
| M•••••• A•••••• S•••• | Beverly, Ma | Feb 8, 2026 | 10 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
- C•••••• D••••• O•••••• from C•••••••• G••••• M•••••• I•••Nov 10, 2022 · Affiliated broker-dealer or bank to independent RIA
- D•••• L••••••• G••• from G••• I••••••••• L••Apr 2, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• D••••• L••••••• · President, Director, Chief Compliance Officer And Shareholdercontrolsince 11/2007 · owns 50% to 75%
- M•••••• L•••••••• G•••••• · Director And Shareholdercontrolsince 08/2016 · owns 10% to 25%
- O••••••• C••••••• D••••• · Directorcontrolsince 11/2022 · owns less than 5%
- R•• I••• D•• · Directorcontrolsince 02/2020 · owns less than 5%
- W•••••••• S••••••• N•••• · Director, Chairman And Shareholdercontrolsince 11/2007 · owns 10% to 25%
Entity owners
- N•••• L• P••• I••••••••• F••••• T•••• 2••• · Shareholderdirect · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Beverly, Ma · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 4 to 5Mar 26, 2026 to Aug 24, 2026
- Accounts · 98 to 369Mar 27, 2025 to Mar 26, 2026
- Advisory employees · 4 to 5Mar 27, 2025 to Mar 26, 2026
- Advisory activities · 3 to 4Mar 27, 2025 to Mar 26, 2026
- Charity clients · unset to 6.0Mar 27, 2025 to Mar 26, 2026
- Corporate clients · 10 to 11Mar 27, 2025 to Mar 26, 2026
- HNW clients · 32 to 39Mar 27, 2025 to Mar 26, 2026
- Individual clients · 47 to 64Mar 27, 2025 to Mar 26, 2026
- Pension plan clients · unset to 9.0Mar 27, 2025 to Mar 26, 2026
- Assets in custody · $51.0M to $37.7MMar 27, 2025 to Mar 26, 2026
- Employees · 6 to 5Mar 27, 2025 to Mar 26, 2026
- State-registered IARs · 2 to 4Mar 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $205M to $254MMar 27, 2025 to Mar 26, 2026
- HNW RAUM · $162M to $202MMar 27, 2025 to Mar 26, 2026
- Individual RAUM · $12.2M to $16.0MMar 27, 2025 to Mar 26, 2026
- Pension RAUM · $14.9M to $22.8MMar 27, 2025 to Mar 26, 2026
- RAUM · $205M to $254MMar 27, 2025 to Mar 26, 2026
- Accounts · 81 to 98Sep 26, 2024 to Mar 27, 2025
- Advisory employees · 7 to 4Sep 26, 2024 to Mar 27, 2025
- Corporate clients · 7 to 10Sep 26, 2024 to Mar 27, 2025
- HNW clients · 28 to 32Sep 26, 2024 to Mar 27, 2025
- Individual clients · 46 to 47Sep 26, 2024 to Mar 27, 2025
- Assets in custody · $46.5M to $51.0MSep 26, 2024 to Mar 27, 2025
- Custody of client assets · true to falseSep 26, 2024 to Mar 27, 2025
- Employees · 7 to 6Sep 26, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Sep 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $170M to $205MSep 26, 2024 to Mar 27, 2025
- HNW RAUM · $137M to $162MSep 26, 2024 to Mar 27, 2025
- Individual RAUM · $14.9M to $12.2MSep 26, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $4.9M to $0Sep 26, 2024 to Mar 27, 2025
- Pension RAUM · $11.1M to $14.9MSep 26, 2024 to Mar 27, 2025
- RAUM · $175M to $205MSep 26, 2024 to Mar 27, 2025
- Accounts · 224 to 81Mar 30, 2023 to Mar 29, 2024
- Corporate clients · unset to 7.0Mar 30, 2023 to Mar 29, 2024
- HNW clients · 25 to 28Mar 30, 2023 to Mar 29, 2024
- Individual clients · 34 to 46Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $35.9M to $46.5MMar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $0 to $170MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $90.8M to $137MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $12.7M to $14.9MMar 30, 2023 to Mar 29, 2024
Signals
2 dated events
- Daniel Cameron O'Neill (Director) appeared on Schedule A of F••••• F•••••••• S•••••••• I•••Mar 30, 2023 · Control person joined · fact
- F••••• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Jun 19, 2020 · 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
- t•••••••••@f•••••••••.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 978-922-0050reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- FAMILYF••••••••.NETreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 978-922-0050reportedpublic record, Form ADV, Aug 24, 2026
- Contact form
- f•••••••••.netreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- f•••••••••.netreportedpublished 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
- $42.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026