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
P•••••• C•••••• A•••••••• L••
Latest filing Jun 1, 2026
First filing on the tape Mar 28, 2012 · 31 filings
SEC status approved since Oct 8, 2008
RAUM
$836M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
92%
$771M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$167M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$836M as of Jun 1, 2026
Mar 28, 2012$189M then
HNW client RAUM$742M as of Jun 1, 2026
Mar 24, 2018$259M then
State-registered IARs (5.B.3)5 as of Jun 1, 2026
Mar 28, 20120 then
Employees (5.A)6 as of Jun 1, 2026
Mar 5, 20135 then
Private funds: no history
RAUM +14% over the last fiscal year+19% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jun 1, 2026; every figure names its basis
- RAUM per advisor
- $167MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.5MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Custody
- $420M, 58 clientsreportedItem 9.A
- 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 cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$742M89%
- Corporations and businesses$37.7M4.5%
- Individuals$28.4M3.4%
- Pension and profit-sharing plans$27.4M3.3%
- Charitable organizations$482,2480.1%
- Individual clients
- 74reported
- HNW clients
- 99reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 500reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $420M for 58 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| P•••• E••••• S•••••• | Braintree, Ma | Oct 28, 2008 | 24 y | 1 |
| K•••••• M••• M••••Certified Financial Planner | Braintree, Ma | Sep 21, 2016 | 13 y | 1 |
| M•••••• E••••• S••••••Certified Financial Planner | Braintree, Ma | Sep 21, 2016 | 17 y | 0 |
| I•• G••••••• B•••••••Chartered Financial Analyst | Braintree, Ma | Sep 21, 2016 | 14 y | 0 |
| J••• F•••••••• D•••••••Certified Financial Planner | Braintree, Ma | Jan 22, 2021 | 29 y | 5 |
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
- J••• F•••••••• D••••••• from D••••• W•••••• L••Jan 22, 2021 · RIA to RIA
- K•••••• M••• M•••• from V••••••• A•••••••• I•••Sep 21, 2016 · Other
- P•••• E••••• S•••••• from B•••••• L••• A••••••• L••Oct 28, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• J•••• F•••••••• · Chief Compliance Officer, Presidentcontrolsince 03/2022 · owns less than 5%
- S••••••• M••••••• E••••• · Chief Operations Officer, Wealth Advisorcontrolsince 01/2017 · owns 5% to 10%
- S••••••• P••••• E••••• · Chief Executive Officercontrolsince 08/2008 · owns 75% or more
- B•••••••• I••• G••••••• · Partner, Director Of Investment Strategysince 11/2017 · owns 5% to 10%
- S••••••• K••••••• M••• · Director Of Relationship Managementsince 01/2021 · owns 5% to 10%
Related persons
Schedule D 7.A
- P•••••• T•• S•••••••• L••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Braintree, Ma · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lynnfield, MA1 employees
What changed
consecutive filings, newest first
- Accounts · 461 to 500Oct 21, 2025 to Jan 30, 2026
- HNW clients · 87 to 99Oct 21, 2025 to Jan 30, 2026
- Individual clients · 66 to 74Oct 21, 2025 to Jan 30, 2026
- Assets in custody · $310M to $420MOct 21, 2025 to Jan 30, 2026
- Discretionary RAUM · $705M to $801MOct 21, 2025 to Jan 30, 2026
- HNW RAUM · $662M to $742MOct 21, 2025 to Jan 30, 2026
- Individual RAUM · $23.2M to $28.4MOct 21, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $26.8M to $35.0MOct 21, 2025 to Jan 30, 2026
- Pension RAUM · $18.1M to $27.4MOct 21, 2025 to Jan 30, 2026
- RAUM · $732M to $836MOct 21, 2025 to Jan 30, 2026
- Financial planning clients · 11-25 to 11-25Jun 3, 2025 to Jul 25, 2025
- Accounts · 435 to 461Sep 13, 2024 to Feb 13, 2025
- Corporate clients · 5.0 to unsetSep 13, 2024 to Feb 13, 2025
- HNW clients · 88 to 87Sep 13, 2024 to Feb 13, 2025
- Individual clients · 54 to 66Sep 13, 2024 to Feb 13, 2025
- Assets in custody · $285M to $310MSep 13, 2024 to Feb 13, 2025
- Financial planning clients · 1-10 to 11-25Sep 13, 2024 to Feb 13, 2025
- Discretionary RAUM · $591M to $705MSep 13, 2024 to Feb 13, 2025
- HNW RAUM · $560M to $662MSep 13, 2024 to Feb 13, 2025
- Individual RAUM · $17.6M to $23.2MSep 13, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $22.8M to $26.8MSep 13, 2024 to Feb 13, 2025
- Pension RAUM · $15.1M to $18.1MSep 13, 2024 to Feb 13, 2025
- RAUM · $614M to $732MSep 13, 2024 to Feb 13, 2025
- Accounts · 437 to 435Feb 26, 2024 to Jul 30, 2024
- Assets in custody · $567M to $285MFeb 26, 2024 to Jul 30, 2024
- Accounts · 372 to 437Mar 14, 2023 to Feb 26, 2024
- Advisory employees · 6 to 5Mar 14, 2023 to Feb 26, 2024
- Corporate clients · unset to 5.0Mar 14, 2023 to Feb 26, 2024
- HNW clients · 78 to 88Mar 14, 2023 to Feb 26, 2024
- Individual clients · 40 to 54Mar 14, 2023 to Feb 26, 2024
- Assets in custody · $246M to $567MMar 14, 2023 to Feb 26, 2024
- Employees · 7 to 6Mar 14, 2023 to Feb 26, 2024
- State-registered IARs · 6 to 5Mar 14, 2023 to Feb 26, 2024
- Discretionary RAUM · $480M to $591MMar 14, 2023 to Feb 26, 2024
- HNW RAUM · $467M to $560MMar 14, 2023 to Feb 26, 2024
- Individual RAUM · $8.6M to $17.6MMar 14, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $15.5M to $22.8MMar 14, 2023 to Feb 26, 2024
- Pension RAUM · $8.2M to $15.1MMar 14, 2023 to Feb 26, 2024
- RAUM · $496M to $614MMar 14, 2023 to Feb 26, 2024
- Accounts · 341 to 372Oct 7, 2022 to Mar 14, 2023
Signals
2 dated events
- Frederick John Desimone (Chief Compliance Officer, President) appeared on Schedule A of P•••••• C•••••• A•••••••• L••Mar 22, 2022 · Control person joined · fact
- P•••••• C•••••• A•••••••• L•• reported RAUM $405.4M, up 38% from $293.0M (2020-06-25 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P•••••• C•••••• A•••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 781-848-0288reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/peddock-capital-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- peddock.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (781) 848-0288reportedpublic record, Form ADV, Jun 1, 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
- $167Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026