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
S••••••• C•••••• A•••••••
Legal name S••••••• C•••••• A••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 28, 2012 · 24 filings
SEC status approved since Oct 4, 2010
RAUM
$175M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
79%
$138M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$87.5M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$175M as of Mar 27, 2026
Mar 28, 2012$90.0M then
HNW client RAUM$138M as of Mar 27, 2026
Mar 29, 2018$103M then
State-registered IARs (5.B.3)4 as of Mar 27, 2026
Mar 28, 20120 then
Employees (5.A)5 as of Mar 27, 2026
Mar 25, 20135 then
Private funds: no history
RAUM +9.4% over the last fiscal year+10% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 27, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $87.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $916,667derivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $175M, 150 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)
- 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$138M79%
- Charitable organizations$37.5M21%
- Individual clients
- 0reported
- HNW clients
- 150reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 150reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $175M for 150 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.79 fund_share=0.0 institutional_share=0.21 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 |
|---|---|---|---|---|
| G••••• C•••••• B•••••• | Boston, Ma | Dec 1, 2010 | 39 y | 1 |
| C••••• P••••• M•••••Chartered Financial Analyst | Boston, Ma | Apr 2, 2012 | 18 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C••••• P••••• M••••• from N•••••••• I••••••••• M••••••••• I••Apr 2, 2012 · Other
- G••••• C•••••• B•••••• from N•••••••• I••••••••• M••••••••• I••Dec 1, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• G•••••• C•••••• · Managing Membercontrolsince 09/2010 · 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 |
|---|---|---|---|---|---|
| Boston, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $160M to $175MMar 12, 2025 to Mar 27, 2026
- Discretionary RAUM · $160M to $175MMar 12, 2025 to Mar 27, 2026
- HNW RAUM · $127M to $138MMar 12, 2025 to Mar 27, 2026
- RAUM · $160M to $175MMar 12, 2025 to Mar 27, 2026
- Assets in custody · $144M to $160MMar 21, 2024 to Mar 12, 2025
- Financial planning clients · 0 to 0Mar 21, 2024 to Mar 12, 2025
- Discretionary RAUM · $144M to $160MMar 21, 2024 to Mar 12, 2025
- HNW RAUM · $114M to $127MMar 21, 2024 to Mar 12, 2025
- RAUM · $144M to $160MMar 21, 2024 to Mar 12, 2025
- Assets in custody · $130M to $144MMar 24, 2023 to Mar 21, 2024
- Employees · 4 to 5Mar 24, 2023 to Mar 21, 2024
- Discretionary RAUM · $130M to $144MMar 24, 2023 to Mar 21, 2024
- HNW RAUM · $103M to $114MMar 24, 2023 to Mar 21, 2024
- RAUM · $130M to $144MMar 24, 2023 to Mar 21, 2024
- Accounts · 151 to 150Oct 14, 2022 to Mar 24, 2023
- Assets in custody · $145M to $130MOct 14, 2022 to Mar 24, 2023
- Discretionary RAUM · $145M to $130MOct 14, 2022 to Mar 24, 2023
- HNW RAUM · $113M to $103MOct 14, 2022 to Mar 24, 2023
- RAUM · $145M to $130MOct 14, 2022 to Mar 24, 2023
- Accounts · 157 to 151Mar 7, 2022 to Oct 14, 2022
- Advisory activities · 2 to 1Mar 7, 2022 to Oct 14, 2022
- Charity clients · 5.0 to unsetMar 7, 2022 to Oct 14, 2022
- HNW clients · 151 to 150Mar 7, 2022 to Oct 14, 2022
- Assets in custody · unset to 145000000.0Mar 7, 2022 to Oct 14, 2022
- Custody of client assets · false to trueMar 7, 2022 to Oct 14, 2022
- Accounts · 155 to 157Mar 22, 2021 to Mar 7, 2022
- Charity clients · 4 to 5Mar 22, 2021 to Mar 7, 2022
- Discretionary RAUM · $117M to $145MMar 22, 2021 to Mar 7, 2022
- HNW RAUM · $96.0M to $113MMar 22, 2021 to Mar 7, 2022
- RAUM · $117M to $145MMar 22, 2021 to Mar 7, 2022
- Accounts · 148 to 155Oct 20, 2020 to Mar 22, 2021
- Charity clients · 3 to 4Oct 20, 2020 to Mar 22, 2021
- HNW clients · 144 to 151Oct 20, 2020 to Mar 22, 2021
- Financial planning clients · 101-250 to 0Oct 20, 2020 to Mar 22, 2021
- HQ city · unset to BOSTONOct 20, 2020 to Mar 22, 2021
- HQ state · unset to MAOct 20, 2020 to Mar 22, 2021
- State-registered IARs · 3 to 4Oct 20, 2020 to Mar 22, 2021
- Discretionary RAUM · $119M to $117MOct 20, 2020 to Mar 22, 2021
- HNW RAUM · $99.0M to $96.0MOct 20, 2020 to Mar 22, 2021
- RAUM · $119M to $117MOct 20, 2020 to Mar 22, 2021
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- S••••••• C•••••• A••••••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 857-263-8101reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 857-263-8101reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- s•••••••••.comreportedpublished 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
- $87.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026