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
H••••••• W••••• M•••••••••
Legal name H••••••• W••••• M••••••••• I•••
Latest filing Aug 4, 2026
First filing on the tape Apr 15, 2025 · 4 filings
SEC status approved since May 30, 2025
RAUM
$153M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$152M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$76.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$153M as of Aug 4, 2026
Apr 15, 2025$118M then
HNW client RAUM$114M as of Aug 4, 2026
Apr 15, 2025$87.8M then
State-registered IARs (5.B.3)2 as of Aug 4, 2026
Apr 15, 20252 then
Employees (5.A)2 as of Aug 4, 2026
Apr 15, 20252 then
Private funds: no history
RAUM +30% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Aug 4, 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
- 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
- $76.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 108derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $415,235derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%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 institutions, otherreportedItem 5.G
- Custody
- $66.0M, 89 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$114M74%
- Individuals$37.8M25%
- Charitable organizations$1.2M0.8%
- Corporations and businesses$231,9660.2%
- Individual clients
- 133reported
- HNW clients
- 82reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 369reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $66.0M for 89 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| V•••••• S•••••••• | Woburn, Ma | Nov 10, 2011 | 30 y | 2 |
| K•••••••• S••••• H••••• | Osterville, Ma | Jul 21, 2019 | 21 y | 2 |
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
- J••• J••••• V•••••••• to I••••••••• W••••• C••••••• L••Sep 28, 2017 · Other
Joined, latest
- K•••••••• S••••• H••••• from I•••••••• C•••••• A•••••••Jul 21, 2019 · Other
- J••• J••••• V•••••••• from I•••••••• C•••••• A•••••••Nov 2, 2012 · Other
- V•••••• S•••••••• from I•••••••• C•••••• A•••••••Nov 10, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• V•••••• · Senior Managing Director, Ccocontrolsince 11/2011 · owns 75% or more
- H•••••• K••••••••• S••••• · Senior Managing Principal/Ciosince 01/2025 · 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 |
|---|---|---|---|---|---|
| Woburn, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · MEDFORD to WOBURNMar 20, 2026 to Aug 4, 2026
- Accounts · 354 to 369Jun 25, 2025 to Mar 20, 2026
- Corporate clients · unset to 1.0Jun 25, 2025 to Mar 20, 2026
- HNW clients · 67 to 82Jun 25, 2025 to Mar 20, 2026
- Individual clients · 126 to 133Jun 25, 2025 to Mar 20, 2026
- Assets in custody · $53.6M to $66.0MJun 25, 2025 to Mar 20, 2026
- Discretionary RAUM · $117M to $153MJun 25, 2025 to Mar 20, 2026
- HNW RAUM · $87.8M to $114MJun 25, 2025 to Mar 20, 2026
- Individual RAUM · $28.0M to $37.8MJun 25, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $864,624 to $0Jun 25, 2025 to Mar 20, 2026
- RAUM · $118M to $153MJun 25, 2025 to Mar 20, 2026
- Financial planning clients · unset to Apr 15, 2025 to Jun 25, 2025
Signals
No event on the tape.
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@hwmcorp.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-620-9330reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 781-396-9300reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 781-444-7100reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- HWMCORP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-620-9330reportedpublic record, Form ADV, Aug 4, 2026
- Contact form
- hwmcorp.com/contact-usreportedpublished 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
- $76.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026