DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P••••••••• W••••• C••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Mar 23, 2012 · 13 filings
SEC status approved since May 2, 2022
RAUM
$147M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$136M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$147M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$147M as of Mar 23, 2026
Mar 23, 2012$33.9M then
HNW client RAUM$75.0M as of Mar 23, 2026
Mar 30, 2023$39.8M then
State-registered IARs (5.B.3)1 as of Mar 23, 2026
Mar 23, 20120 then
Employees (5.A)1 as of Mar 23, 2026
Mar 30, 20231 then
Private funds: no history
RAUM +13% over the last fiscal year+16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $147MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 182derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $239,233derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $12.6M, 9 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$75.0M51%
- Individuals$61.0M42%
- Pension and profit-sharing plans$10.9M7.4%
- Individual clients
- 123reported
- HNW clients
- 59reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 614reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.6M for 9 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• L•••••Certified Financial Planner | Norwood, Ma | Jan 26, 2026 | 32 y | 2 |
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
- G••••• L••••• from C••••••••• F•••••••• N••••••Jul 20, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• G••••• · Managing Member And Chief Compliance Officercontrolsince 07/2011 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 557 to 614Jan 21, 2026 to Mar 23, 2026
- HNW clients · 39 to 59Jan 21, 2026 to Mar 23, 2026
- Individual clients · 136 to 123Jan 21, 2026 to Mar 23, 2026
- Pension plan clients · 6 to 7Jan 21, 2026 to Mar 23, 2026
- Assets in custody · $2.4M to $12.6MJan 21, 2026 to Mar 23, 2026
- Discretionary RAUM · $130M to $147MJan 21, 2026 to Mar 23, 2026
- HNW RAUM · $50.9M to $75.0MJan 21, 2026 to Mar 23, 2026
- Individual RAUM · $69.9M to $61.0MJan 21, 2026 to Mar 23, 2026
- Pension RAUM · $8.9M to $10.9MJan 21, 2026 to Mar 23, 2026
- RAUM · $130M to $147MJan 21, 2026 to Mar 23, 2026
- Accounts · 504 to 557May 6, 2024 to Mar 26, 2025
- HNW clients · 40 to 39May 6, 2024 to Mar 26, 2025
- Individual clients · 142 to 136May 6, 2024 to Mar 26, 2025
- Pension plan clients · 7 to 6May 6, 2024 to Mar 26, 2025
- Assets in custody · $2.3M to $2.4MMay 6, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10May 6, 2024 to Mar 26, 2025
- Discretionary RAUM · $106M to $130MMay 6, 2024 to Mar 26, 2025
- HNW RAUM · $44.2M to $50.9MMay 6, 2024 to Mar 26, 2025
- Individual RAUM · $54.0M to $69.9MMay 6, 2024 to Mar 26, 2025
- Pension RAUM · $8.0M to $8.9MMay 6, 2024 to Mar 26, 2025
- RAUM · $106M to $130MMay 6, 2024 to Mar 26, 2025
- Assets in custody · unset to 2327341.0Mar 27, 2024 to May 6, 2024
- Custody of client assets · false to trueMar 27, 2024 to May 6, 2024
- Accounts · 502 to 504Sep 11, 2023 to Mar 27, 2024
- Individual clients · 132 to 142Sep 11, 2023 to Mar 27, 2024
- Assets in custody · 0.0 to unsetSep 11, 2023 to Mar 27, 2024
- Discretionary RAUM · $93.9M to $106MSep 11, 2023 to Mar 27, 2024
- HNW RAUM · $39.8M to $44.2MSep 11, 2023 to Mar 27, 2024
- Individual RAUM · $47.1M to $54.0MSep 11, 2023 to Mar 27, 2024
- Pension RAUM · $7.0M to $8.0MSep 11, 2023 to Mar 27, 2024
- RAUM · $93.9M to $106MSep 11, 2023 to Mar 27, 2024
- Accounts · 453 to 502Mar 31, 2022 to Mar 30, 2023
- HNW clients · 36 to 40Mar 31, 2022 to Mar 30, 2023
- Individual clients · 207 to 132Mar 31, 2022 to Mar 30, 2023
- Pension plan clients · 8 to 7Mar 31, 2022 to Mar 30, 2023
- Assets in custody · $5.0M to $0Mar 31, 2022 to Mar 30, 2023
- Custody of client assets · true to falseMar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $106M to $93.9MMar 31, 2022 to Mar 30, 2023
- HNW RAUM · $45.2M to $39.8MMar 31, 2022 to Mar 30, 2023
- Individual RAUM · $53.8M to $47.1MMar 31, 2022 to Mar 30, 2023
Signals
1 dated events
- P••••••••• W••••• C••••••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 2022 · 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
- Website
- P•••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 781-278-9488reportedpublic record, Form ADV, Mar 23, 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
- $147Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026