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
M• A••••••• G••••• L••
Latest filing Apr 15, 2026
First filing on the tape Oct 4, 2012 · 26 filings
SEC status approved since Apr 23, 2021
RAUM
$342M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
89%
$306M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$85.5M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$342M as of Apr 15, 2026
Mar 26, 2013$80.4M then
HNW client RAUM$296M as of Apr 15, 2026
Mar 8, 2022$92.0M then
State-registered IARs (5.B.3)4 as of Apr 15, 2026
Mar 26, 20133 then
Employees (5.A)6 as of Apr 15, 2026
Mar 26, 20135 then
Private funds: no history
RAUM +10% over the last fiscal year+17% a year over threeIARs 3 to 4offices 1 to 2
Practice profile
derived from the filing of Apr 15, 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
- $85.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $964,169derivedHNW RAUM over HNW clients
- Average account
- $509,687derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +25%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $91.0M, 61 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$296M87%
- Pension and profit-sharing plans$35.0M10%
- Individuals$10.0M2.9%
- Corporations and businesses$1.0M0.3%
- Individual clients
- 34reported
- HNW clients
- 307reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 671reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $91.0M for 61 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.1 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 |
|---|---|---|---|---|
| J••• D••••• J••••••• | Needham Heights, Ma | Mar 11, 2011 | 20 y | 1 |
| M••• W•••••• S•••••• | Needham Heights, Ma | Feb 20, 2020 | 17 y | 4 |
| A••••• M•••••• | Needham Heights, Ma | Feb 24, 2026 | 11 y | 1 |
| J••• A•••••• G•••••••• | Boston, Ma | Mar 26, 2026 | 12 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- J••• B•• to S•••• W••••• M••••••••• L••Mar 10, 2025 · RIA to affiliated broker-dealer or bank
- P•••••• R••••• D•••• to I••••••••• W••••• C••••••• L••Apr 1, 2019 · Other
- M••• W•••••• S•••••• to I••••••••• W••••• C••••••• L••Nov 12, 2018 · Other
- M••• W•••••• S•••••• to M• W••••• A•••••••• L••Jul 16, 2014 · Other
- W•••••• H•••••• D•••• to E•••••••• A•••• M••••••••• L••Jul 16, 2014 · Other
- G•••••• L••• F•••••• to C••••••••• C•••••• P•••••••• L••Apr 7, 2011 · Other
Joined, latest
- J••• A•••••• G•••••••• from M•• I•••••••• S•••••••• L••Mar 26, 2026 · Affiliated broker-dealer or bank to independent RIA
- A••••• M•••••• from W•••• F•••• A•••••••Feb 24, 2026 · Wirehouse to independent RIA
- J••• B•• from N•••••• A•••••••Feb 15, 2024 · Affiliated broker-dealer or bank to independent RIA
- M••• W•••••• S•••••• from I••••••••• W••••• C••••••• L••Feb 20, 2020 · Other
- M••• W•••••• S•••••• from M• W••••• A•••••••• L••Feb 24, 2015 · Other
- G•••••• L••• F•••••• from B•••• P••• C•••••• M••••••••• L••Mar 11, 2011 · Other
- J••• D••••• J••••••• from L•• F•••••••• L••Mar 11, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••••• J•••• D••••• · Founder, Managing Directorcontrolsince 02/2011 · owns 75% or more
- J•••••••• N•••••••• P••• · Chief Compliance Officercontrolsince 02/2023 · 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 |
|---|---|---|---|---|---|
| Needham Heights, Ma · principal | 4 | 2 | 0 | ||
| Boston, Ma | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Apr 15, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $310,000,000 to $342,000,000, advisors 3 to 4, private clients 272 to 341, offices 1 to 2 (2025-01-30 to 2026-04-15)peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Apr 15, 2026HNW share of RAUM moved from 60.0% to 87.0% between the annual amendments of 2025-01-30 and 2026-04-15peers: independent wealth managers, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Apr 15, 2026private-client share of RAUM moved from 74.0% to 89.0% between the annual amendments of 2025-01-30 and 2026-04-15peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Apr 15, 2026institutional share of RAUM moved from 26.0% to 11.0% between the annual amendments of 2025-01-30 and 2026-04-15peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Feb 5, 2026 to Apr 15, 2026
- Employees · 5 to 6Feb 5, 2026 to Apr 15, 2026
- State-registered IARs · 3 to 4Feb 5, 2026 to Apr 15, 2026
- Accounts · 655 to 671Dec 9, 2025 to Feb 5, 2026
- Corporate clients · 68.0 to unsetDec 9, 2025 to Feb 5, 2026
- HNW clients · 222 to 307Dec 9, 2025 to Feb 5, 2026
- Individual clients · 50 to 34Dec 9, 2025 to Feb 5, 2026
- Assets in custody · $80.0M to $91.0MDec 9, 2025 to Feb 5, 2026
- Discretionary RAUM · $280M to $307MDec 9, 2025 to Feb 5, 2026
- HNW RAUM · $185M to $296MDec 9, 2025 to Feb 5, 2026
- Individual RAUM · $45.0M to $10.0MDec 9, 2025 to Feb 5, 2026
- Non-discretionary RAUM · $30.0M to $35.0MDec 9, 2025 to Feb 5, 2026
- Pension RAUM · unset to 35000000.0Dec 9, 2025 to Feb 5, 2026
- RAUM · $310M to $342MDec 9, 2025 to Feb 5, 2026
- Other offices · 1 to 2Nov 10, 2025 to Dec 9, 2025
- Advisory activities · 3 to 4Jan 30, 2025 to Nov 10, 2025
- Employees · 6 to 5Jan 30, 2025 to Nov 10, 2025
- Accounts · 563 to 655Sep 11, 2024 to Jan 30, 2025
- Corporate clients · 50 to 68Sep 11, 2024 to Jan 30, 2025
- HNW clients · 220 to 222Sep 11, 2024 to Jan 30, 2025
- Individual clients · 30 to 50Sep 11, 2024 to Jan 30, 2025
- Assets in custody · $38.0M to $80.0MSep 11, 2024 to Jan 30, 2025
- Employees · 8 to 6Sep 11, 2024 to Jan 30, 2025
- Financial planning clients · 11-25 to 11-25Sep 11, 2024 to Jan 30, 2025
- Discretionary RAUM · $235M to $280MSep 11, 2024 to Jan 30, 2025
- HNW RAUM · $145M to $185MSep 11, 2024 to Jan 30, 2025
- Individual RAUM · $40.0M to $45.0MSep 11, 2024 to Jan 30, 2025
- Non-discretionary RAUM · $44.0M to $30.0MSep 11, 2024 to Jan 30, 2025
- RAUM · $279M to $310MSep 11, 2024 to Jan 30, 2025
- Accounts · 518 to 563Aug 24, 2023 to Feb 7, 2024
- Advisory employees · 2 to 3Aug 24, 2023 to Feb 7, 2024
- Corporate clients · 23 to 50Aug 24, 2023 to Feb 7, 2024
- HNW clients · 250 to 220Aug 24, 2023 to Feb 7, 2024
- Individual clients · 19 to 30Aug 24, 2023 to Feb 7, 2024
- Assets in custody · $100M to $38.0MAug 24, 2023 to Feb 7, 2024
- Employees · 5 to 8Aug 24, 2023 to Feb 7, 2024
- State-registered IARs · 2 to 3Aug 24, 2023 to Feb 7, 2024
- Discretionary RAUM · $171M to $235MAug 24, 2023 to Feb 7, 2024
- HNW RAUM · $100M to $145MAug 24, 2023 to Feb 7, 2024
- Individual RAUM · $20.0M to $40.0MAug 24, 2023 to Feb 7, 2024
Signals
4 dated events
- J••• B•• left M• A••••••• G••••• L•• for S•••• W••••• M••••••••• L•• (registered 2025-03-13)Mar 10, 2025 · Advisor changed firm · fact
- P••• N••••••• J••••••• (Chief Compliance Officer) appeared on Schedule A of M• A••••••• G••••• L••Feb 27, 2023 · Control person joined · fact
- W•••••• M••• S•••••• (Managing Director And Chief Compliance Officer) no longer on Schedule A of M• A••••••• G••••• L•• (listed 2013-09-19, absent 2021-03-23)Mar 23, 2021 · Control person left · inference
- M• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)Oct 4, 2012 · 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
- tylerr@m3familyoffice.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-371-2672reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/m3-advisory-services/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- M3FamilyOffice.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (781) 371-2670reportedpublic record, Form ADV, Apr 15, 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
- $85.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026