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
F•••••••• I••••••••• L••
Latest filing Jul 30, 2026
First filing on the tape Jan 4, 2021 · 19 filings
SEC status approved since Feb 17, 2021
RAUM
$288M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$286M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$72.0M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$288M as of Jul 30, 2026
Jan 12, 2021$176M then
HNW client RAUM$214M as of Jul 30, 2026
Jan 12, 2021$109M then
State-registered IARs (5.B.3)4 as of Jul 30, 2026
Jan 12, 20213 then
Employees (5.A)7 as of Jul 30, 2026
Jan 12, 20213 then
Private funds: no history
RAUM +19% over the last fiscal year+16% a year over threeIARs 3 to 4offices 0 to 2
Practice profile
derived from the filing of Jul 30, 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
- $72.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $321,904derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
- 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$214M74%
- Individuals$72.0M25%
- Pension and profit-sharing plans$2.3M0.8%
- Individual clients
- 191reported
- HNW clients
- 87reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 895reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• W••••• C•••••••Chartered Financial Consultant | Hyannis, Ma | Jun 1, 2009 | 25 y | 2 |
| M••• A•••• L•••••••Certified Financial Planner | Warwick, Ri | Sep 25, 2009 | 40 y | 2 |
| K•••• P•••••Certified Financial Planner | Warwick, Ri | Nov 16, 2018 | 14 y | 0 |
| M•••••••• D•••••• C••••••• | Warwick, Ri | Feb 12, 2026 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- M•••••••• D•••••• C••••••• from C••••••• S••••••••• I•••Feb 12, 2026 · Affiliated broker-dealer or bank to independent RIA
- M••• A•••• L••••••• from L•• F•••••••• L••Sep 25, 2009 · Other
- R••• W••••• C••••••• from H•••••• T••••••• • K•••• L••Jun 1, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• R•••• W••••• · President/Chief Compliance Officercontrolsince 04/2009 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Warwick, Ri · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jul 30, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Other offices · 0 to 2Mar 3, 2026 to Jul 30, 2026
- Advisory employees · 3 to 4Feb 5, 2026 to Mar 3, 2026
- State-registered IARs · 3 to 4Feb 5, 2026 to Mar 3, 2026
- Accounts · 834 to 895Mar 4, 2025 to Feb 5, 2026
- HNW clients · 74 to 87Mar 4, 2025 to Feb 5, 2026
- Individual clients · 187 to 191Mar 4, 2025 to Feb 5, 2026
- Employees · 6 to 7Mar 4, 2025 to Feb 5, 2026
- HNW RAUM · $175M to $214MMar 4, 2025 to Feb 5, 2026
- Individual RAUM · $65.6M to $72.0MMar 4, 2025 to Feb 5, 2026
- Non-discretionary RAUM · $242M to $288MMar 4, 2025 to Feb 5, 2026
- Pension RAUM · $2.0M to $2.3MMar 4, 2025 to Feb 5, 2026
- RAUM · $242M to $288MMar 4, 2025 to Feb 5, 2026
- Accounts · 780 to 834Feb 14, 2024 to Mar 4, 2025
- HNW clients · 67 to 74Feb 14, 2024 to Mar 4, 2025
- Individual clients · 189 to 187Feb 14, 2024 to Mar 4, 2025
- Financial planning clients · 101-250 to 101-250Feb 14, 2024 to Mar 4, 2025
- HNW RAUM · $144M to $175MFeb 14, 2024 to Mar 4, 2025
- Individual RAUM · $64.2M to $65.6MFeb 14, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $210M to $242MFeb 14, 2024 to Mar 4, 2025
- Pension RAUM · $1.8M to $2.0MFeb 14, 2024 to Mar 4, 2025
- RAUM · $210M to $242MFeb 14, 2024 to Mar 4, 2025
- Accounts · 732 to 780Sep 25, 2023 to Feb 14, 2024
- HNW clients · 64 to 67Sep 25, 2023 to Feb 14, 2024
- Individual clients · 180 to 189Sep 25, 2023 to Feb 14, 2024
- Pension plan clients · 2 to 1Sep 25, 2023 to Feb 14, 2024
- HNW RAUM · $124M to $144MSep 25, 2023 to Feb 14, 2024
- Individual RAUM · $57.3M to $64.2MSep 25, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $184M to $210MSep 25, 2023 to Feb 14, 2024
- Pension RAUM · $3.0M to $1.8MSep 25, 2023 to Feb 14, 2024
- RAUM · $184M to $210MSep 25, 2023 to Feb 14, 2024
- Accounts · 667 to 732Oct 13, 2022 to Mar 1, 2023
- HNW clients · 66 to 64Oct 13, 2022 to Mar 1, 2023
- Individual clients · 165 to 180Oct 13, 2022 to Mar 1, 2023
- Pension plan clients · 4 to 2Oct 13, 2022 to Mar 1, 2023
- HNW RAUM · $138M to $124MOct 13, 2022 to Mar 1, 2023
- Individual RAUM · $62.5M to $57.3MOct 13, 2022 to Mar 1, 2023
- Non-discretionary RAUM · $210M to $184MOct 13, 2022 to Mar 1, 2023
- Pension RAUM · $9.7M to $3.0MOct 13, 2022 to Mar 1, 2023
- RAUM · $210M to $184MOct 13, 2022 to Mar 1, 2023
- Employees · 7 to 6Aug 12, 2022 to Oct 13, 2022
Signals
1 dated events
- F•••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Jan 4, 2021 · 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
- info@fi-ri.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 401-681-4825reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/financial-independence-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- FI-RI.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 401-681-4825reportedpublic record, Form ADV, Jul 30, 2026
- Team page
- fi-ri.com/meet-the-teamreportedpublished 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
- $72.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026