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
C••• F•••••••• M•••••••••
Legal name C••• F•••••••• M••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 27, 2012 · 12 filings
SEC status approved since Aug 26, 2024
RAUM
$151M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$150M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$75.6M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$151M as of Mar 25, 2026
Mar 27, 2012$25.0M then
HNW client RAUM$120M as of Mar 25, 2026
Feb 24, 2025$102M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Apr 1, 20130 then
Employees (5.A)3 as of Mar 25, 2026
Apr 1, 20133 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $75.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $400,080derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -64%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$120M80%
- Individuals$29.4M19%
- Corporations and businesses$1.6M1.1%
- Individual clients
- 104reported
- HNW clients
- 28reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 378reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 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 |
|---|---|---|---|---|
| S•••••• M••• C•••Certified Financial Planner | Wenham, Ma | Nov 4, 2013 | 25 y | 2 |
| G•••••• A•••• B•••••• | Wenham, Ma | Jan 2, 2026 | 11 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• S••••••• M••• · Chief Compliance Officercontrolsince 02/2010 · 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 |
|---|---|---|---|---|---|
| Wenham, Ma | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 25, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $131,566,555 to $151,230,174, advisors 1 to 1, private clients 368 to 132, offices 0 to 0 (2025-04-09 to 2026-03-25)peers: independent wealth managers, $100M to $500M (5,678)
- low discretionary shareStatic outlier · filing Mar 25, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
- client count collapseChange between filings · filing Mar 25, 2026individual and HNW clients (Item 5.D) moved from 368.0 to 132.0 (-64.0%) between the annual amendments of 2025-04-09 and 2026-03-25; the peer median change was +3.0% (3309 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 0.6% percentile
What changed
consecutive filings, newest first
- Accounts · 369 to 378Oct 20, 2025 to Mar 25, 2026
- Corporate clients · 1 to 2Oct 20, 2025 to Mar 25, 2026
- HNW clients · 71 to 28Oct 20, 2025 to Mar 25, 2026
- Individual clients · 297 to 104Oct 20, 2025 to Mar 25, 2026
- Pooled vehicle clients · unset to 0.0Oct 20, 2025 to Mar 25, 2026
- HNW RAUM · $102M to $120MOct 20, 2025 to Mar 25, 2026
- Individual RAUM · $28.8M to $29.4MOct 20, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $132M to $151MOct 20, 2025 to Mar 25, 2026
- RAUM · $132M to $151MOct 20, 2025 to Mar 25, 2026
- Financial planning clients · 251-500 to 251-500Feb 24, 2025 to Apr 9, 2025
- Accounts · 330 to 369Aug 23, 2024 to Feb 24, 2025
- Corporate clients · 0 to 1Aug 23, 2024 to Feb 24, 2025
- HNW clients · 4 to 71Aug 23, 2024 to Feb 24, 2025
- Individual clients · 330 to 297Aug 23, 2024 to Feb 24, 2025
- HQ city · unset to Aug 23, 2024 to Feb 24, 2025
- HQ state · unset to Aug 23, 2024 to Feb 24, 2025
- HNW RAUM · $70.0M to $102MAug 23, 2024 to Feb 24, 2025
- Individual RAUM · $50.0M to $28.8MAug 23, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $120M to $132MAug 23, 2024 to Feb 24, 2025
- RAUM · $120M to $132MAug 23, 2024 to Feb 24, 2025
- Accounts · 300 to 330Nov 1, 2013 to Jun 19, 2024
- Advisory activities · 3 to 2Nov 1, 2013 to Jun 19, 2024
- Charity clients · unset to 0.0Nov 1, 2013 to Jun 19, 2024
- Corporate clients · unset to 0.0Nov 1, 2013 to Jun 19, 2024
- HNW clients · unset to 4.0Nov 1, 2013 to Jun 19, 2024
- Individual clients · unset to 330.0Nov 1, 2013 to Jun 19, 2024
- Pension plan clients · unset to 0.0Nov 1, 2013 to Jun 19, 2024
- Financial planning clients · 101-250 to 251-500Nov 1, 2013 to Jun 19, 2024
- State-registered IARs · 0 to 1Nov 1, 2013 to Jun 19, 2024
- Other offices · unset to 0.0Nov 1, 2013 to Jun 19, 2024
- HNW RAUM · unset to 70000000.0Nov 1, 2013 to Jun 19, 2024
- Individual RAUM · unset to 50000000.0Nov 1, 2013 to Jun 19, 2024
- Non-discretionary RAUM · $25.0M to $120MNov 1, 2013 to Jun 19, 2024
- Pension RAUM · unset to 0.0Nov 1, 2013 to Jun 19, 2024
- Pooled vehicle RAUM · unset to 0.0Nov 1, 2013 to Jun 19, 2024
- RAUM · $25.0M to $120MNov 1, 2013 to Jun 19, 2024
- Related broker-dealer · true to falseNov 1, 2013 to Jun 19, 2024
- Advisory employees · unset to 1.0Jun 25, 2012 to Apr 1, 2013
- Employees · unset to 3.0Jun 25, 2012 to Apr 1, 2013
- State-registered IARs · unset to 0.0Jun 25, 2012 to Apr 1, 2013
Signals
1 dated events
- C••• F•••••••• M••••••••• filed its initial SEC registration (Form ADV)Jun 19, 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 email
- steve@cfm.servicesreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 978-767-9501reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 978-767-9503reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- CFM.SERVICESreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 978-767-9501reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- cfm.services/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $75.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026