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
T•• D• B•••• G••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Mar 20, 2012 · 25 filings
SEC status approved since Mar 1, 2010
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
16%
$184M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$283M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.1B as of Mar 30, 2026
Mar 20, 2012$489M then
HNW client RAUM$172M as of Mar 30, 2026
Mar 20, 2018$130M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Mar 20, 20120 then
Employees (5.A)6 as of Mar 30, 2026
Mar 22, 201310 then
Private funds: no history
RAUM +10.0% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $283MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $10.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 84%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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
- State and municipal entities$898M79%
- High-net-worth individuals$172M15%
- Charitable organizations$51.3M4.5%
- Individuals$11.9M1.1%
- Individual clients
- 41reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- 17reported
- Accounts
- 113reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.16 fund_share=0.0 institutional_share=0.84 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•••••••• D•••••• | B•••••, Ma | May 10, 2010 | 38 y | 1 |
| C•••••• R•••••• D• B•••• | B•••••, Ma | May 10, 2010 | 38 y | 1 |
| R•••••• B••••••••• V•••••• | B•••••, Ma | May 10, 2010 | 38 y | 1 |
| M•••••• E•••• S••••Chartered Financial Analyst | B•••••, Ma | Mar 24, 2011 | 33 y | 3 |
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
- M•••••• E•••• S•••• from B••••• F•••••••• T•••• A•••••••• L••Mar 24, 2011 · Other
- R•••• W•••••••• D•••••• from T•• D• B•••• G•••••••••May 10, 2010 · Other
- C•••••• R•••••• D• B•••• from T•• D• B•••• G•••••••••May 10, 2010 · Other
- R•••••• B••••••••• V•••••• from T•• D• B•••• G•••••••••May 10, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D• B••••• C••••••• R•••••• · Family Of C. R•••••• De B••••controlsince 02/2024 · owns 50% to 75%
- D••••••• R••••• W•••••••• · Directorcontrolsince 05/2012 · owns less than 5%
- J•••••• M•••••••• P••••• · Account Administratorcontrolsince 02/2015 · owns less than 5%
- K•••• S••••••• F• · Vice President -Portfolio Managercontrolsince 10/2017 · owns less than 5%
- R•••••••• M•••••• C•••• · Associate Portfolio Managercontrolsince 07/2016 · owns less than 5%
- S•••••• A•••••• J••••• · Treasurercontrolsince 04/2003 · owns 5% to 10%
- S••••• M••••••• E•••• · President And Portfolio Managercontrolsince 09/2020 · owns 25% to 50%
- S••••• J•••• A•••••• · Directorcontrolsince 05/2012 · owns less than 5%
- W••••• J••••• L• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| B•••••, Ma · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 104 to 113Mar 28, 2025 to Mar 30, 2026
- HNW clients · 45 to 51Mar 28, 2025 to Mar 30, 2026
- Individual clients · 38 to 41Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.0B to $1.1BMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $154M to $172MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $12.0M to $11.9MMar 28, 2025 to Mar 30, 2026
- RAUM · $1.0B to $1.1BMar 28, 2025 to Mar 30, 2026
- Accounts · 105 to 104Mar 29, 2024 to Mar 28, 2025
- Advisory employees · 4 to 3Mar 29, 2024 to Mar 28, 2025
- Charity clients · 19 to 17Mar 29, 2024 to Mar 28, 2025
- HNW clients · 49 to 45Mar 29, 2024 to Mar 28, 2025
- Individual clients · 32 to 38Mar 29, 2024 to Mar 28, 2025
- Pension plan clients · 1.0 to unsetMar 29, 2024 to Mar 28, 2025
- Assets in custody · $147,910 to $0Mar 29, 2024 to Mar 28, 2025
- Custody of client assets · true to falseMar 29, 2024 to Mar 28, 2025
- Employees · 7 to 6Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- State-registered IARs · 4 to 3Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $943M to $1.0BMar 29, 2024 to Mar 28, 2025
- HNW RAUM · $155M to $154MMar 29, 2024 to Mar 28, 2025
- Individual RAUM · $11.2M to $12.0MMar 29, 2024 to Mar 28, 2025
- Pension RAUM · 9280000.0 to unsetMar 29, 2024 to Mar 28, 2025
- RAUM · $943M to $1.0BMar 29, 2024 to Mar 28, 2025
- Charity clients · 18 to 19Mar 31, 2023 to Mar 29, 2024
- HNW clients · 44 to 49Mar 31, 2023 to Mar 29, 2024
- Individual clients · 38 to 32Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $153,589 to $147,910Mar 31, 2023 to Mar 29, 2024
- Employees · 8 to 7Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $831M to $943MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $126M to $155MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $14.3M to $11.2MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $7.5M to $9.3MMar 31, 2023 to Mar 29, 2024
- RAUM · $831M to $943MMar 31, 2023 to Mar 29, 2024
- Accounts · 106 to 105Mar 24, 2022 to Mar 31, 2023
- Charity clients · 17 to 18Mar 24, 2022 to Mar 31, 2023
- HNW clients · 51 to 44Mar 24, 2022 to Mar 31, 2023
- Individual clients · 33 to 38Mar 24, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.0B to $831MMar 24, 2022 to Mar 31, 2023
- HNW RAUM · $172M to $126MMar 24, 2022 to Mar 31, 2023
- Individual RAUM · $12.8M to $14.3MMar 24, 2022 to Mar 31, 2023
Signals
3 dated events
- Robert Carl Sargent (Chief Compliance Officer) no longer on Schedule A of T•• D• B•••• G••••• I••• (listed 2021-07-23, absent 2022-03-24)Mar 24, 2022 · Control person left · inference
- L. Julie Walsh (Chief Compliance Officer) appeared on Schedule A of T•• D• B•••• G••••• I•••Mar 24, 2022 · Control person joined · fact
- P••••• M••••••• J••••• (Account Administrator) appeared on Schedule A of T•• D• B•••• G••••• I•••Mar 23, 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-482-0275reportedpublic record, Form ADV, Mar 30, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $283Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026