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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S•• G•••••• I••••••••• M•••••••••
Legal name S•• G•••••• I••••••••• M••••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Dec 15, 2011 · 71 filings
SEC status approved since Dec 30, 1976
RAUM
$3.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$3.5B individuals and HNW
Advisors
29
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
42
30 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
71 filings and snapshots on the tape
RAUM$3.8B as of Mar 27, 2026
Dec 15, 2011$800M then
HNW client RAUM$2.3B as of Mar 27, 2026
Mar 20, 2018$632M then
State-registered IARs (5.B.3)30 as of Mar 27, 2026
Jan 14, 20138 then
Employees (5.A)42 as of Mar 27, 2026
Jan 14, 201319 then
Private funds: no history
RAUM +22% over the last fiscal year+18% a year over threeIARs 29 to 30
Practice profile
derived from the filing of Mar 27, 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
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 223derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $564,090derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 4.8derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +3.4%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
- Custody
- $3.8B, 6,722 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.3B60%
- Individuals$1.3B33%
- Charitable organizations$142M3.7%
- Corporations and businesses$104M2.7%
- Pension and profit-sharing plans$14.8M0.4%
- State and municipal entities$3.2M0.1%
- Individual clients
- 4,552reported
- HNW clients
- 1,909reported
- Pension plan clients
- 108reported
- Charitable clients
- 113reported
- Accounts
- 6,722reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.8B for 6,722 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
29 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• J••••• M••••••• | Springfield, Ma | Jan 13, 2011 | 25 y | 2 |
| T•••••• W•••••• S••••••Chartered Financial Analyst | Springfield, Ma | Jan 18, 2011 | 28 y | 2 |
| M•••••• R••••• M••••Certified Financial Planner, Chartered Financial Consultant | Stratham, Nh | Jan 18, 2011 | 27 y | 2 |
| P••••••• M•• M•••• | Springfield, Ma | May 28, 2013 | 23 y | 0 |
| M•••••• R••••• F•••••Chartered Financial Analyst | Springfield, Ma | Apr 28, 2014 | 16 y | 1 |
| C•••••••• M• A••••••••• | Springfield, Ma | Sep 22, 2014 | 16 y | 0 |
| T••••••• S•••••• W••••Chartered Financial Analyst | Springfield, Ma | Nov 9, 2015 | 11 y | 0 |
| R•••••• R•••••• B••••• | Springfield, Ma | Nov 24, 2015 | 21 y | 0 |
| S•••••• G• M•••• | Springfield, Ma | Mar 7, 2016 | 10 y | 0 |
| K•••• P• S••••••Certified Financial Planner | Springfield, Ma | Jan 23, 2019 | 12 y | 0 |
| T•••••• S••• | Springfield, Ma | Aug 27, 2019 | 10 y | 0 |
| S••••• M•••••• C•••••Chartered Financial Analyst | Northampton, Ma | Feb 11, 2020 | 27 y | 2 |
| J••••• D•••• B••••• | Springfield, Ma | Feb 11, 2020 | 16 y | 2 |
| D••••• C• M•••• | Northampton, Ma | Feb 11, 2020 | 10 y | 4 |
| C••••••••• B•••• M•••• | Springfield, Ma | Mar 16, 2020 | 44 y | 2 |
| M•••••• R••• F•••••• | Springfield, Ma | Sep 22, 2021 | 10 y | 1 |
| M••• K••• F••••••Certified Financial Planner | Northampton, Ma | May 10, 2022 | 15 y | 2 |
| P•••• W•••• C••••• | Springfield, Ma | May 17, 2022 | 23 y | 5 |
| L•••• A•• D••••••••Certified Financial Planner | Springfield, Ma | Jul 7, 2022 | 20 y | 0 |
| L•••• M•••• B••••• | Springfield, Ma | Jul 7, 2022 | 16 y | 1 |
| D•••• F•••••• M••••••••• | Springfield, Ma | May 2, 2023 | 10 y | 0 |
| M••••••• S••• F•••••Certified Financial Planner | Lee, Ma | May 30, 2024 | 10 y | 0 |
| B•••••• R•••••• | Springfield, Ma | Jun 18, 2024 | 16 y | 0 |
| A••••• S••••• F•••• | Springfield, Ma | Jul 17, 2024 | 11 y | 0 |
| S••••• J•••• T•••• | Springfield, Ma | Jan 2, 2025 | 9 y | 2 |
| M•••••• S••••• B••••••• | Springfield, Ma | Feb 5, 2025 | 33 y | 1 |
| A•• C••••• C•••••• | Springfield, Ma | May 15, 2025 | 11 y | 0 |
| J•••• I•••• | Springfield, Ma | May 28, 2025 | 11 y | 0 |
| T•••• L•••• H••• | Springfield, Ma | Jul 21, 2025 | 15 y | 1 |
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 headcount1 left over 36 months
Left, latest
- B•••• A••••••• G•••••••• to M•• I•••••••• S•••••••• L••Mar 28, 2024 · RIA to affiliated broker-dealer or bank
- B•••• B••••• to H••••• C••••••Oct 31, 2022 · RIA to a state-registered adviser
- W•••••• F•••••• W•••••••• to C••••••• S••••••••• I•••Aug 30, 2022 · RIA to affiliated broker-dealer or bank
- A•• E•••••••• S••••••••• to U•• F•••••••• S••••••• I•••Jul 24, 2014 · Other
- B•••••• C••••• H••••••• to U•• F•••••••• S••••••• I•••Nov 29, 2013 · Other
Joined, latest
- T•••• L•••• H••• from W•••••Jul 21, 2025 · Other
- M•••••• S••••• B••••••• from L•• F•••••••• L••Feb 5, 2025 · Other
- S••••• J•••• T•••• from C••••••• S••••••••• I•••Jan 2, 2025 · Affiliated broker-dealer or bank to independent RIA
- L•••• M•••• B••••• from A••••••••• F•••••••• S•••••••• L••Jul 7, 2022 · Affiliated broker-dealer or bank to independent RIA
- P•••• W•••• C••••• from R•••••••• A•••••••May 17, 2022 · RIA to RIA
- M••• K••• F•••••• from H••• • P•••••••• F•••••••• G••••May 10, 2022 · RIA to RIA
- B•••• A••••••• G•••••••• from M•• I•••••••• S•••••••• L••Sep 22, 2021 · Affiliated broker-dealer or bank to independent RIA
- M•••••• R••• F•••••• from R•••• C••••••• L••Sep 22, 2021 · RIA to RIA
- C••••••••• B•••• M•••• from N•• E•••••• C••••••Mar 16, 2020 · RIA to RIA
- J••••• D•••• B••••• from N•• E•••••• C••••••Feb 11, 2020 · RIA to RIA
- D••••• C• M•••• from N•• E•••••• C••••••Feb 11, 2020 · RIA to RIA
- S••••• M•••••• C••••• from N•• E•••••• C••••••Feb 11, 2020 · RIA to RIA
- W•••••• F•••••• W•••••••• from K•• I••••••••• S••••••• L••Feb 27, 2017 · Other
- M•••••• R••••• F••••• from W•••••Apr 28, 2014 · Other
- A•• E•••••••• S••••••••• from S•• G•••••• S••••••••• I•••Oct 26, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from N•• E•••••• C••••••Jan 4, 2021 · Northampton, Ma · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• P••••• W•••• · Chief Compliance Officercontrolsince 11/2020 · owns less than 5%
- F••••••• J•••• F•••••• · Treasurercontrolsince 10/2022 · owns less than 5%
- M••••• M••••••• R••••• · President, Director, Secretarycontrolsince 08/2010 · owns less than 5%
- S••••••• T••••••• W•••••• · Directorcontrolsince 08/2010 · owns less than 5%
- M••••• M••••••• R••••• · President, Director, Secretarycontrolsince 11/2008 · owns 50% to 75% of Dj St. G•••••• Co., Inc.
Entity owners
- D• S• G•••••• C••• I••• · Corporate Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•• G•••••• S••••••••• I•••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Springfield, Ma · principal | 26 | 0 | 0 | ||
| Northampton, Ma | 7 | 0 | 0 | ||
| Lee, Ma | 4 | 0 | 0 | ||
| Stratham, Nh | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Northampton, MA5 employees
- Lee, MA3 employees
- Plymouth, MA1 employees
- Jackson, MS1 employees
What changed
consecutive filings, newest first
- Accounts · 6,159 to 6,722Sep 30, 2025 to Mar 27, 2026
- Advisory employees · 26 to 30Sep 30, 2025 to Mar 27, 2026
- Charity clients · 97 to 113Sep 30, 2025 to Mar 27, 2026
- Corporate clients · 35 to 37Sep 30, 2025 to Mar 27, 2026
- HNW clients · 1,776 to 1,909Sep 30, 2025 to Mar 27, 2026
- Individual clients · 4,203 to 4,552Sep 30, 2025 to Mar 27, 2026
- Pension plan clients · 45 to 108Sep 30, 2025 to Mar 27, 2026
- Assets in custody · $3.1B to $3.8BSep 30, 2025 to Mar 27, 2026
- State-registered IARs · 29 to 30Sep 30, 2025 to Mar 27, 2026
- Discretionary RAUM · $3.1B to $3.8BSep 30, 2025 to Mar 27, 2026
- HNW RAUM · $1.9B to $2.3BSep 30, 2025 to Mar 27, 2026
- Individual RAUM · $980M to $1.3BSep 30, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $1.6M to $14.7MSep 30, 2025 to Mar 27, 2026
- Pension RAUM · $4.4M to $14.8MSep 30, 2025 to Mar 27, 2026
- RAUM · $3.1B to $3.8BSep 30, 2025 to Mar 27, 2026
- Accounts · 5,541 to 6,159Nov 18, 2024 to Apr 30, 2025
- Advisory employees · 23 to 26Nov 18, 2024 to Apr 30, 2025
- BD registered reps · 16 to 0Nov 18, 2024 to Apr 30, 2025
- Charity clients · 78 to 97Nov 18, 2024 to Apr 30, 2025
- Corporate clients · 27 to 35Nov 18, 2024 to Apr 30, 2025
- HNW clients · 1,572 to 1,776Nov 18, 2024 to Apr 30, 2025
- Individual clients · 3,860 to 4,203Nov 18, 2024 to Apr 30, 2025
- Pension plan clients · 2 to 45Nov 18, 2024 to Apr 30, 2025
- Assets in custody · $2.6B to $3.1BNov 18, 2024 to Apr 30, 2025
- Employees · 40 to 42Nov 18, 2024 to Apr 30, 2025
- Financial planning clients · 1-10 to 1-10Nov 18, 2024 to Apr 30, 2025
- State-registered IARs · 13 to 29Nov 18, 2024 to Apr 30, 2025
- Other offices · 4 to 5Nov 18, 2024 to Apr 30, 2025
- Discretionary RAUM · $2.6B to $3.1BNov 18, 2024 to Apr 30, 2025
- HNW RAUM · $1.7B to $1.9BNov 18, 2024 to Apr 30, 2025
- Individual RAUM · $866M to $980MNov 18, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $49.1M to $1.6MNov 18, 2024 to Apr 30, 2025
- Pension RAUM · $968,582 to $4.4MNov 18, 2024 to Apr 30, 2025
- RAUM · $2.7B to $3.1BNov 18, 2024 to Apr 30, 2025
- Related broker-dealer · true to falseNov 18, 2024 to Apr 30, 2025
- Assets in custody · $2.2B to $2.6BMar 29, 2024 to Apr 1, 2024
- Accounts · 5,243 to 5,541Aug 16, 2023 to Mar 29, 2024
- Charity clients · 61 to 78Aug 16, 2023 to Mar 29, 2024
- Corporate clients · 59 to 27Aug 16, 2023 to Mar 29, 2024
- HNW clients · 265 to 1,572Aug 16, 2023 to Mar 29, 2024
Signals
11 dated events
- S•• G•••••• I••••••••• M••••••••• reported 29 state-registered advisory representatives, up from 13 (2024-11-18 to 2025-04-30)Apr 30, 2025 · Advisor headcount change · derived
- B•••• A••••••• G•••••••• left S•• G•••••• I••••••••• M••••••••• for M•• I•••••••• S•••••••• L•• (registered 2024-03-19)Mar 28, 2024 · Advisor changed firm · fact
- S•• G•••••• I••••••••• M••••••••• reported 13 state-registered advisory representatives, down from 24 (2023-03-02 to 2023-03-24)Mar 24, 2023 · Advisor headcount change · derived
- F•••••• J••• F•••••• (Treasurer) appeared on Schedule A of S•• G•••••• I••••••••• M•••••••••Dec 15, 2022 · Control person joined · fact
- Maxwell J•••• Schuck (Treasurer) no longer on Schedule A of S•• G•••••• I••••••••• M••••••••• (listed 2022-06-22, absent 2022-12-15)Dec 15, 2022 · Control person left · inference
- B•••• B••••• left S•• G•••••• I••••••••• M••••••••• for H••••• C•••••• (registered 2024-04-15)Oct 31, 2022 · Advisor changed firm · fact
- W•••••• F•••••• W•••••••• left S•• G•••••• I••••••••• M••••••••• for C••••••• S••••••••• I••• (registered 2022-10-19)Aug 30, 2022 · Advisor changed firm · fact
- S•• G•••••• I••••••••• M••••••••• reported RAUM $2.6B, up 32% from $2.0B (2021-11-17 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- White Polly Cordle (Chief Compliance Officer) appeared on Schedule A of S•• G•••••• I••••••••• M•••••••••Dec 17, 2020 · Control person joined · fact
- S•• G•••••• I••••••••• M••••••••• reported RAUM $1.9B, up 36% from $1.4B (2020-01-13 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- S•• G•••••• I••••••••• M••••••••• reported 21 state-registered advisory representatives, up from 11 (2020-01-13 to 2020-03-30)Mar 30, 2020 · Advisor headcount change · derived
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
- info@gagewiley.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-242-0263reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-332-9558reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 413-584-9121reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- gagewiley.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 413-733-5111reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- gagewiley.com/contactreportedpublished 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
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026