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••••••••• W••••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Oct 27, 2017 · 17 filings
SEC status approved since Nov 29, 2017
RAUM
$301M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$287M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$151M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$301M as of Mar 24, 2026
Mar 29, 2018$103M then
HNW client RAUM$205M as of Mar 24, 2026
Mar 29, 2018$100M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Mar 29, 20181 then
Employees (5.A)3 as of Mar 24, 2026
Mar 29, 20182 then
Private funds: no history
RAUM +20% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 24, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $151MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 162derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $557,276derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- 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 securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$205M68%
- Individuals$82.3M27%
- Charitable organizations$10.5M3.5%
- Pension and profit-sharing plans$3.9M1.3%
- Individual clients
- 230reported
- HNW clients
- 94reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 541reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| S••••• J•••• C•••• | North A••••••, Ma | Jan 17, 2012 | 33 y | 3 |
| K•••••• A•• O•••••• | North A••••••, Ma | Nov 7, 2022 | 12 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
none on the tape
Joined, latest
- S••••• J•••• C•••• from A•••••• E••••• A•••••••••Jan 17, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• S•••••• J•••• · Cco/President/Managing Membercontrolsince 12/2011 · 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 |
|---|---|---|---|---|---|
| North A••••••, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 499 to 541Feb 27, 2025 to Mar 24, 2026
- HNW clients · 77 to 94Feb 27, 2025 to Mar 24, 2026
- Individual clients · 228 to 230Feb 27, 2025 to Mar 24, 2026
- Assets in custody · $107M to $137MFeb 27, 2025 to Mar 24, 2026
- Discretionary RAUM · $252M to $301MFeb 27, 2025 to Mar 24, 2026
- HNW RAUM · $160M to $205MFeb 27, 2025 to Mar 24, 2026
- Individual RAUM · $79.1M to $82.3MFeb 27, 2025 to Mar 24, 2026
- Pension RAUM · $3.4M to $3.9MFeb 27, 2025 to Mar 24, 2026
- RAUM · $252M to $301MFeb 27, 2025 to Mar 24, 2026
- Accounts · 447 to 499Mar 28, 2024 to Feb 27, 2025
- HNW clients · 69 to 77Mar 28, 2024 to Feb 27, 2025
- Individual clients · 199 to 228Mar 28, 2024 to Feb 27, 2025
- Assets in custody · $82.9M to $107MMar 28, 2024 to Feb 27, 2025
- Financial planning clients · unset to Mar 28, 2024 to Feb 27, 2025
- Discretionary RAUM · $227M to $252MMar 28, 2024 to Feb 27, 2025
- HNW RAUM · $148M to $160MMar 28, 2024 to Feb 27, 2025
- Individual RAUM · $71.9M to $79.1MMar 28, 2024 to Feb 27, 2025
- Pension RAUM · $2.5M to $3.4MMar 28, 2024 to Feb 27, 2025
- RAUM · $227M to $252MMar 28, 2024 to Feb 27, 2025
- Accounts · 427 to 447Apr 19, 2023 to Mar 28, 2024
- HNW clients · 142 to 69Apr 19, 2023 to Mar 28, 2024
- Individual clients · 27 to 199Apr 19, 2023 to Mar 28, 2024
- Assets in custody · $22.5M to $82.9MApr 19, 2023 to Mar 28, 2024
- Discretionary RAUM · $201M to $227MApr 19, 2023 to Mar 28, 2024
- HNW RAUM · $189M to $148MApr 19, 2023 to Mar 28, 2024
- Individual RAUM · $4.6M to $71.9MApr 19, 2023 to Mar 28, 2024
- Pension RAUM · $2.2M to $2.5MApr 19, 2023 to Mar 28, 2024
- RAUM · $201M to $227MApr 19, 2023 to Mar 28, 2024
- Accounts · 378 to 427Oct 3, 2022 to Mar 31, 2023
- Advisory employees · 1 to 2Oct 3, 2022 to Mar 31, 2023
- HNW clients · 118 to 142Oct 3, 2022 to Mar 31, 2023
- Individual clients · 22 to 27Oct 3, 2022 to Mar 31, 2023
- Assets in custody · $3.6M to $22.5MOct 3, 2022 to Mar 31, 2023
- State-registered IARs · 1 to 2Oct 3, 2022 to Mar 31, 2023
- Discretionary RAUM · $175M to $201MOct 3, 2022 to Mar 31, 2023
- HNW RAUM · $164M to $189MOct 3, 2022 to Mar 31, 2023
- Individual RAUM · $4.4M to $4.6MOct 3, 2022 to Mar 31, 2023
- Pension RAUM · $2.1M to $2.2MOct 3, 2022 to Mar 31, 2023
- RAUM · $175M to $201MOct 3, 2022 to Mar 31, 2023
- Employees · 2 to 3Mar 10, 2022 to Oct 3, 2022
Signals
1 dated events
- A•••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 27, 2017 · 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
- Website
- w••.m•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 978-685-1050reportedpublic record, Form ADV, Mar 24, 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
- $151Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026