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
D•••••••• F•••••••• A•••••••• L••
Latest filing Jan 26, 2026
First filing on the tape Feb 6, 2024 · 8 filings
SEC status approved since Mar 8, 2024
RAUM
$157M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$157M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$78.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$157M as of Jan 26, 2026
Feb 18, 2025$133M then
HNW client RAUM$145M as of Jan 26, 2026
Feb 18, 2025$119M then
State-registered IARs (5.B.3)2 as of Jan 26, 2026
Feb 18, 20252 then
Employees (5.A)2 as of Jan 26, 2026
Feb 18, 20252 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 26, 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
- $78.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $441,269derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.1%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $47.3M, 50 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$145M92%
- Individuals$12.0M7.6%
- Individual clients
- 26reported
- HNW clients
- 64reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 356reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $47.3M for 50 clientsreported
- Compensation
- fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• A• S••••••Certified Financial Planner | Mansfield, Ma | Mar 19, 2010 | 16 y | 0 |
| A••••• S•••• B••••••Certified Financial Planner | Cardiff, Ca | Feb 15, 2024 | 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
- C••• M•••••• W••••• to N•••••••• I••••••••• A••••••• L••Nov 15, 2021 · RIA to a newly registered adviser
- M•••••• R•••••• H••••• to N••••••••• M••••• I••••••••• S•••••••••Jan 11, 2014 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• A••••••• A• · Member & Manager & Ccocontrolsince 01/2010 · owns 75% or more
- B••••••• A•••••• S•••• · Membersince 07/2024 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Mansfield, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 336 to 356Nov 18, 2025 to Jan 26, 2026
- HNW clients · 58 to 64Nov 18, 2025 to Jan 26, 2026
- Individual clients · 33 to 26Nov 18, 2025 to Jan 26, 2026
- Assets in custody · $39.4M to $47.3MNov 18, 2025 to Jan 26, 2026
- Discretionary RAUM · $133M to $157MNov 18, 2025 to Jan 26, 2026
- HNW RAUM · $119M to $145MNov 18, 2025 to Jan 26, 2026
- Individual RAUM · $13.2M to $12.0MNov 18, 2025 to Jan 26, 2026
- RAUM · $133M to $157MNov 18, 2025 to Jan 26, 2026
- Accounts · 330 to 336Nov 20, 2024 to Feb 18, 2025
- HNW clients · 56 to 58Nov 20, 2024 to Feb 18, 2025
- Individual clients · 32 to 33Nov 20, 2024 to Feb 18, 2025
- Assets in custody · $36.2M to $39.4MNov 20, 2024 to Feb 18, 2025
- Employees · 3 to 2Nov 20, 2024 to Feb 18, 2025
- Financial planning clients · 51-100 to 51-100Nov 20, 2024 to Feb 18, 2025
- Other offices · 1 to 2Nov 20, 2024 to Feb 18, 2025
- Discretionary RAUM · $111M to $133MNov 20, 2024 to Feb 18, 2025
- HNW RAUM · $97.1M to $119MNov 20, 2024 to Feb 18, 2025
- Individual RAUM · $13.8M to $13.2MNov 20, 2024 to Feb 18, 2025
- RAUM · $111M to $133MNov 20, 2024 to Feb 18, 2025
Signals
1 dated events
- D•••••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 6, 2024 · 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 phone
- 781-780-2455reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 781-780-2439reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 781-780-2439reportedpublic record, Form ADV, Jan 26, 2026
- Team page
- DELPHINUSFA.COM/teamreportedpublished by the firm, firm site, Sep 16, 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
- $78.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026