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••••••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 21, 2012 · 31 filings
SEC status approved since Jul 26, 2011
RAUM
$732M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$729M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$81.3M
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$732M as of Mar 31, 2026
Feb 21, 2012$150M then
HNW client RAUM$663M as of Mar 31, 2026
Mar 21, 2018$138M then
State-registered IARs (5.B.3)9 as of Mar 31, 2026
Feb 21, 20120 then
Employees (5.A)12 as of Mar 31, 2026
Jan 23, 20137 then
Private funds: no history
RAUM +6.4% over the last fiscal year+12% a year over threeIARs 10 to 9
Practice profile
derived from the filing of Mar 31, 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
- $81.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $693,748derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- -10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $324M, 121 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$663M91%
- Individuals$65.5M8.9%
- Charitable organizations$2.9M0.4%
- Pension and profit-sharing plans$158,9150.0%
- Individual clients
- 297reported
- HNW clients
- 201reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 1,055reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $324M for 121 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• E••••• W•••••••• | Needham, Ma | Aug 2, 2011 | 31 y | 2 |
| O••• P••••••••• O•••• | Needham, Ma | Aug 2, 2011 | 20 y | 1 |
| J••••••• M••••••• W•••••••• | Needham, Ma | Aug 2, 2011 | 29 y | 2 |
| L••• D• P•••••••• | Needham, Ma | Jun 22, 2012 | 25 y | 7 |
| M••• J•••••• B•••• | Needham, Ma | Apr 8, 2013 | 14 y | 0 |
| J••• D•••• W•••••••• | Needham, Ma | Feb 12, 2018 | 10 y | 0 |
| C••••••• C••••• S•••• | Needham, Ma | Jun 13, 2018 | 11 y | 0 |
| R••••• A•••••• N••••• | Needham, Ma | May 23, 2019 | 10 y | 0 |
| K•••• F••••••••• D•••••• | Needham, Ma | Sep 9, 2020 | 13 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
- A••••• F•••••••• B•••••• to C••••••• M••••••••• I••••••••• A•••••••• L••Jun 11, 2012 · Other
Joined, latest
- L••• D• P•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 22, 2012 · Other
- J••• E••••• W•••••••• from B• R•••• W••••• A•••••••• I•••Aug 2, 2011 · Other
- O••• P••••••••• O•••• from B• R•••• W••••• A•••••••• I•••Aug 2, 2011 · Other
- J••••••• M••••••• W•••••••• from B• R•••• W••••• A•••••••• I•••Aug 2, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••••• J•••••••• M••••••• · Managing Member / Chief Compliance Officercontrolsince 03/2011 · owns 50% to 75%
- W••••••••• J•••• E••••• · Managing Member And Director Of Fixed Incomecontrolsince 07/2011 · owns 25% to 50%
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, Ma · principal | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $249M to $324MMar 26, 2025 to Mar 31, 2026
- Employees · 13 to 12Mar 26, 2025 to Mar 31, 2026
- State-registered IARs · 10 to 9Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $669M to $732MMar 26, 2025 to Mar 31, 2026
- HNW RAUM · $621M to $663MMar 26, 2025 to Mar 31, 2026
- Individual RAUM · $63.2M to $65.5MMar 26, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $18.8M to $0Mar 26, 2025 to Mar 31, 2026
- Pension RAUM · $134,757 to $158,915Mar 26, 2025 to Mar 31, 2026
- RAUM · $688M to $732MMar 26, 2025 to Mar 31, 2026
- Accounts · 1,020 to 1,055Mar 26, 2025 to Mar 31, 2026
- Advisory employees · 8 to 7Mar 26, 2025 to Mar 31, 2026
- HNW clients · 199 to 201Mar 26, 2025 to Mar 31, 2026
- Individual clients · 290 to 297Mar 26, 2025 to Mar 31, 2026
- Pension plan clients · 1 to 3Mar 26, 2025 to Mar 31, 2026
- Accounts · 990 to 1,020Mar 26, 2024 to Mar 26, 2025
- Advisory employees · 6 to 8Mar 26, 2024 to Mar 26, 2025
- HNW clients · 187 to 199Mar 26, 2024 to Mar 26, 2025
- Individual clients · 280 to 290Mar 26, 2024 to Mar 26, 2025
- Assets in custody · $198M to $249MMar 26, 2024 to Mar 26, 2025
- Financial planning clients · 26-50 to 26-50Mar 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $589M to $669MMar 26, 2024 to Mar 26, 2025
- HNW RAUM · $545M to $621MMar 26, 2024 to Mar 26, 2025
- Individual RAUM · $58.0M to $63.2MMar 26, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $15.8M to $18.8MMar 26, 2024 to Mar 26, 2025
- Pension RAUM · $115,069 to $134,757Mar 26, 2024 to Mar 26, 2025
- RAUM · $605M to $688MMar 26, 2024 to Mar 26, 2025
- Employees · 12 to 13Mar 27, 2023 to Mar 26, 2024
- Accounts · 949 to 990Mar 27, 2023 to Mar 26, 2024
- BD registered reps · 1 to 0Mar 27, 2023 to Mar 26, 2024
- HNW clients · 61 to 187Mar 27, 2023 to Mar 26, 2024
- Individual clients · 400 to 280Mar 27, 2023 to Mar 26, 2024
- Pension plan clients · 3 to 1Mar 27, 2023 to Mar 26, 2024
- Assets in custody · $189M to $198MMar 27, 2023 to Mar 26, 2024
- Discretionary RAUM · $509M to $589MMar 27, 2023 to Mar 26, 2024
- HNW RAUM · $292M to $545MMar 27, 2023 to Mar 26, 2024
- Individual RAUM · $224M to $58.0MMar 27, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $11.4M to $15.8MMar 27, 2023 to Mar 26, 2024
- Pension RAUM · $2.5M to $115,069Mar 27, 2023 to Mar 26, 2024
- RAUM · $520M to $605MMar 27, 2023 to Mar 26, 2024
- Accounts · 879 to 949Mar 30, 2022 to Mar 27, 2023
Signals
1 dated events
- C••••••••• A•••••••• L•• reported RAUM $560.5M, up 32% from $425.8M (2021-09-27 to 2022-03-30)Mar 30, 2022 · RAUM 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
- Website
- C•••••••••ADVISORS.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (781) 400-1748reportedpublic record, Form ADV, Mar 31, 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
- $81.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026