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
M••••••••• A•••••••••
Legal name M••••••••• A••••••••• I•••
Latest filing Jul 10, 2026
First filing on the tape Mar 30, 2012 · 38 filings
SEC status approved since Jun 24, 2009
RAUM
$8.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
58%
$4.7B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$812M
derived; firm RAUM over IAPD count
Employees
27
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$8.1B as of Jul 10, 2026
Mar 30, 2012$1.5B then
HNW client RAUM$3.4B as of Jul 10, 2026
Mar 29, 2018$1.4B then
State-registered IARs (5.B.3)10 as of Jul 10, 2026
Mar 27, 20137 then
Employees (5.A)27 as of Jul 10, 2026
Mar 27, 201318 then
Private funds: no history
RAUM +8.3% over the last fiscal year+22% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Jul 10, 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
- $812MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 395derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 25%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.9%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.4B42%
- Investment companies$1.3B16%
- Individuals$1.3B16%
- Sovereign wealth funds$1.2B15%
- Charitable organizations$421M5.2%
- Pension and profit-sharing plans$389M4.8%
- Corporations and businesses$88.3M1.1%
- State and municipal entities$21.6M0.3%
- Individual clients
- 3,089reported
- HNW clients
- 857reported
- Pension plan clients
- 4reported
- Charitable clients
- 37reported
- Accounts
- 5,000reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $3.0B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.58 fund_share=0.16 institutional_share=0.25 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••• J••••• H••••••• | Washington, Dc | Sep 17, 2009 | 30 y | 3 |
| M•••••• V••••• | Washington, Dc | Sep 17, 2009 | 29 y | 4 |
| C••••••••• M••••• N••••••••• | Washington, Dc | Sep 17, 2009 | 33 y | 3 |
| W•••••• G•••••• S•••• | Northboro, Ma | Sep 18, 2009 | 36 y | 3 |
| C••• A••••• G••••••• | Washington, Dc | Nov 30, 2010 | 17 y | 1 |
| R•••••• D•• S••••• | Washington, Dc | Jun 9, 2017 | 30 y | 1 |
| J••••• G••••• B••••• | Washington, Dc | Feb 3, 2020 | 19 y | 0 |
| A••• N•••• P••• | Washington, Dc | May 30, 2024 | 15 y | 0 |
| A••••• D••• C•••• | Washington, Dc | Jun 26, 2024 | 12 y | 1 |
| K•••••• R••• C••••• | Washington, Dc | Jan 23, 2025 | 12 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
- J••• H•••••• B•••••• to S•••• C••••••• L•Apr 24, 2019 · RIA to RIA
Joined, latest
- A••••• D••• C•••• from M••••• S••••••Jun 26, 2024 · Wirehouse to independent RIA
- C••• A••••• G••••••• from M••••••••• A•••••••••Nov 30, 2010 · Other
- W•••••• G•••••• S•••• from M••••••••• A•••••••••Sep 18, 2009 · Other
- E•••• J••••• H••••••• from Y••• A•••••••• L••Sep 17, 2009 · Other
- M•••••• V••••• from Y••• A•••••••• L••Sep 17, 2009 · Other
- C••••••••• M••••• N••••••••• from M••••••••• A•••••••••Sep 17, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Y••• A•••••••• L••Dec 31, 2018 · Washington, Dc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• C•••• A••••• · Principalcontrolsince 07/2012 · owns less than 5%
- H•••••••• E••••• J••••• · Principalcontrolsince 10/1996 · owns less than 5%
- N••••••••• C••••••••• M••••• · Principalcontrolsince 02/1993 · owns less than 5%
- S••••• J•••••• H•••••• · Chief Operating Officercontrolsince 09/2025 · owns less than 5%
- V•••••• M•••••• · Principal Of The Cg R•••••••• Trustcontrolsince 12/1997 · owns 10% to 25%
- W•••••• B••••• E••••• · General Counsel And Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- H•••••••• E••••• J••••• · Trusteecontrolsince 06/2014 · owns 75% or more of E•••• H••••••• R•••••••• T•••• U•• D•• J••• 6• 2•••
- N••••••••• C••••••••• M••••• · Trusteecontrolsince 06/2014 · owns 75% or more of C••••••••• M• N••••••••• R•••••••• T•••• U•• D•• J••• 6• 2•••
- B•••••• J•••••• G••••• · Principalsince 03/2023 · owns less than 5%
- B•••••• M••••••• N••• · Principalsince 03/2025 · owns less than 5%
- M•••••• C••••••• S•• · Principal Of The Eh R•••••••• Trustsince 10/1996 · owns less than 5%
- S••••• W••••••• G•••••• · Principalsince 02/1993 · owns less than 5%
Entity owners
- C••• G••••••• R•••••••• T•••• U•• D•• J•••••• 1•• 2••• · Shareholderdirect · owns 5% to 10%
- C••••••••• M• N••••••••• R•••••••• T•••• U•• D•• J••• 6• 2••• · Shareholderdirect · owns 50% to 75%
- E•••• H••••••• R•••••••• T•••• U•• D•• J••• 6• 2••• · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Washington, Dc · principal | 10 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 10, 2026S••••• J•••••• H•••••• (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2024-07-18 and 2026-07-10peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 10, 2026N••••••••• C••••••••• M••••• (TRUSTEE) left Schedule A between the filings of 2024-07-18 and 2026-07-10peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 10, 2026H•••••••• E••••• J••••• (TRUSTEE) left Schedule A between the filings of 2024-07-18 and 2026-07-10peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 10, 2026G•••••••• C•••• A••••• (PRINCIPAL) left Schedule A between the filings of 2024-07-18 and 2026-07-10peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 5,466 to 5,000Aug 14, 2025 to Mar 27, 2026
- Charity clients · 39 to 37Aug 14, 2025 to Mar 27, 2026
- HNW clients · 849 to 857Aug 14, 2025 to Mar 27, 2026
- Individual clients · 3,484 to 3,089Aug 14, 2025 to Mar 27, 2026
- Pension plan clients · 3 to 4Aug 14, 2025 to Mar 27, 2026
- Employees · 26 to 27Aug 14, 2025 to Mar 27, 2026
- State-registered IARs · 9 to 10Aug 14, 2025 to Mar 27, 2026
- Discretionary RAUM · $7.5B to $8.1BAug 14, 2025 to Mar 27, 2026
- HNW RAUM · $3.4B to $3.4BAug 14, 2025 to Mar 27, 2026
- Individual RAUM · $1.4B to $1.3BAug 14, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $26.1M to $9.0MAug 14, 2025 to Mar 27, 2026
- Pension RAUM · $36.9M to $389MAug 14, 2025 to Mar 27, 2026
- RAUM · $7.5B to $8.1BAug 14, 2025 to Mar 27, 2026
- Wrap assets (manager) · $3.0B to $3.0BAug 14, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0May 27, 2025 to Aug 14, 2025
- Accounts · 5,288 to 5,466Jul 18, 2024 to Mar 27, 2025
- Advisory employees · 12 to 13Jul 18, 2024 to Mar 27, 2025
- Charity clients · 43 to 39Jul 18, 2024 to Mar 27, 2025
- Corporate clients · 5 to 6Jul 18, 2024 to Mar 27, 2025
- HNW clients · 753 to 849Jul 18, 2024 to Mar 27, 2025
- Individual clients · 3,409 to 3,484Jul 18, 2024 to Mar 27, 2025
- Pension plan clients · 4 to 3Jul 18, 2024 to Mar 27, 2025
- Employees · 24 to 26Jul 18, 2024 to Mar 27, 2025
- Discretionary RAUM · $6.4B to $7.5BJul 18, 2024 to Mar 27, 2025
- HNW RAUM · $3.0B to $3.4BJul 18, 2024 to Mar 27, 2025
- Individual RAUM · $1.2B to $1.4BJul 18, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $39.0M to $26.1MJul 18, 2024 to Mar 27, 2025
- Pension RAUM · $43.4M to $36.9MJul 18, 2024 to Mar 27, 2025
- RAUM · $6.4B to $7.5BJul 18, 2024 to Mar 27, 2025
- Wrap assets (manager) · $2.6B to $3.0BJul 18, 2024 to Mar 27, 2025
- Accounts · 4,640 to 5,288May 4, 2023 to Mar 29, 2024
- BD registered reps · 1 to 0May 4, 2023 to Mar 29, 2024
- Charity clients · 44 to 43May 4, 2023 to Mar 29, 2024
- HNW clients · 633 to 753May 4, 2023 to Mar 29, 2024
- Individual clients · 3,591 to 3,409May 4, 2023 to Mar 29, 2024
- Employees · 23 to 24May 4, 2023 to Mar 29, 2024
- Discretionary RAUM · $4.4B to $6.4BMay 4, 2023 to Mar 29, 2024
- HNW RAUM · $2.4B to $3.0BMay 4, 2023 to Mar 29, 2024
- Individual RAUM · $1.0B to $1.2BMay 4, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $57.3M to $39.0MMay 4, 2023 to Mar 29, 2024
Signals
6 dated events
- M••••••••• A••••••••• reported RAUM $6.4B, up 44% from $4.4B (2023-05-04 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Kimberly Vinick (Principal) no longer on Schedule A of M••••••••• A••••••••• (listed 2023-05-04, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Lynne Carmen Johnston (Chief Compliance Officer) no longer on Schedule A of M••••••••• A••••••••• (listed 2021-03-31, absent 2022-01-11)Jan 11, 2022 · Control person left · inference
- Edward Brian Walker (General Counsel And Chief Compliance Officer) appeared on Schedule A of M••••••••• A•••••••••Jan 11, 2022 · Control person joined · fact
- M••••••••• A••••••••• reported RAUM $3.1B, up 35% from $2.3B (2019-04-01 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- Nmn Kimberly Vinick (Principal) appeared on Schedule A of M••••••••• A•••••••••Mar 31, 2020 · Control person joined · 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
- 202-828-6200reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 202-828-6208reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- M•••••••••INC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 202-828-6200reportedpublic record, Form ADV, Jul 10, 2026
- Team page
- marshfieldinc.com/peoplereportedpublished 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
- $812Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026