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••••••• I•••
Latest filing Jul 27, 2026
First filing on the tape Jan 4, 2012 · 56 filings
SEC status approved since Oct 8, 2014
RAUM
$1.4B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
86%
$1.2B individuals and HNW
Advisors
20
registered through the firm on IAPD
RAUM per advisor
$70.4M
derived; firm RAUM over IAPD count
Employees
37
18 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
1
reported on Schedule D
History
56 filings and snapshots on the tape
RAUM$1.4B as of Jul 27, 2026
Mar 27, 2015$170M then
HNW client RAUM$941M as of Jul 27, 2026
Apr 2, 2018$111M then
State-registered IARs (5.B.3)18 as of Jul 27, 2026
Mar 27, 20155 then
Employees (5.A)37 as of Jul 27, 2026
Mar 27, 20155 then
Private funds1 as of Jul 27, 2026
Mar 30, 20221 then
RAUM +9.6% over the last fiscal year+21% a year over threeIARs 16 to 18
Practice profile
derived from the filing of Jul 27, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $70.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $445,321derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 2.5derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $294M, 384 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$941M67%
- Individuals$271M19%
- Corporations and businesses$154M11%
- Pension and profit-sharing plans$29.2M2.1%
- Charitable organizations$11.8M0.8%
- Individual clients
- 730reported
- HNW clients
- 362reported
- Pension plan clients
- 14reported
- Charitable clients
- 7reported
- Accounts
- 3,161reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $294M for 384 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
20 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• S•••• B•••••••Certified Financial Planner | Boston, Ma | Jan 27, 2012 | 21 y | 1 |
| D••• C•••••••• R•••• | Boston, Ma | Feb 10, 2012 | 22 y | 3 |
| M•••••• J••• K••••••••• | Worcester, Ma | Sep 26, 2012 | 20 y | 1 |
| J••••••• C•••••• S••••• | Boston, Ma | Jul 1, 2014 | 21 y | 2 |
| M•••••• E••••• M•••••Chartered Financial Analyst | Boston, Ma | Nov 23, 2016 | 29 y | 4 |
| J•••• W•••••• A••••• | Boston, Ma | Oct 16, 2017 | 13 y | 1 |
| P••• M• L••••••••• | Southington, Ct | Mar 26, 2018 | 14 y | 2 |
| P•••••• A••••• M•••••••Certified Financial Planner | Boston, Ma | Nov 21, 2019 | 30 y | 3 |
| B•••••• F•••Certified Financial Planner | Boston, Ma | Sep 20, 2021 | 13 y | 1 |
| J•••• J••••• G•••• | Boston, Ma | Nov 17, 2022 | 11 y | 1 |
| M•••••• J••• C••••• | Boston, Ma | Jan 3, 2023 | 41 y | 1 |
| B•••••• T••••• P•••••• | Boston, Ma | Mar 28, 2023 | 12 y | 1 |
| N••••••• M•••••• D•••••• | Narragansett, Ri | Feb 3, 2025 | 21 y | 5 |
| L••• M•••••• H•••••Certified Financial Planner | Boston, Ma | Apr 17, 2025 | 14 y | 0 |
| W•••••• H•••• | Hingham, Ma | Apr 29, 2025 | 24 y | 2 |
| A••• N•••••••Certified Financial Planner | Boston, Ma | Jul 10, 2025 | 21 y | 1 |
| N••••••• E••••• N•••• | Boston, Ma | Jul 29, 2025 | 22 y | 0 |
| B••••• F••••• O••••Certified Financial Planner, Chartered Financial Analyst | Boston, Ma | Jan 7, 2026 | 10 y | 2 |
| J••••• P••••• W••••••••• | Austin, Tx | Jun 4, 2026 | 11 y | 2 |
| B•••• D••••• F••••••• | Boston, Ma | Jun 11, 2026 | 18 y | 6 |
Advisor movement
2 left, 4 joined in 12 months
net +2 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 10% of current headcount8 left over 36 months
Left, latest
- J••••• M••••••• P••••• to P•••• W••••• M•••••••••Jun 23, 2026 · RIA to RIA
- H•••••• M•••• C•••• to F•••• P••••••• W•••••• L••Oct 17, 2025 · RIA to RIA
- L•••••• R•••• H••••• to I••••••••• W••••• C••••••• L••Jul 1, 2025 · RIA to RIA
- J•••••• K• C•••• to I••••••••• W••••• C••••••• L••Jul 1, 2025 · RIA to RIA
- R•• A••••• B••••• to I••••••••• W••••• C••••••• L••Dec 2, 2024 · RIA to RIA
- S••••• J••••• D••••••••• to I••••••••• W••••• C••••••• L••Dec 2, 2024 · RIA to RIA
- B•••••• T••••• F••••• to I••••••••• W••••• C••••••• L••Dec 2, 2024 · RIA to RIA
- S•••••• N•••••••• T••••• to B•• C••••• A•••••••Sep 19, 2023 · RIA to RIA
- R••••• E••••• D••••••••• to S••••• P•••• P•••••••Dec 31, 2020 · RIA to RIA
Joined, latest
- B•••• D••••• F••••••• from D••• I•••••••••Jun 11, 2026 · RIA to RIA
- J••••• P••••• W••••••••• from C•••••• W••••• P•••••••Jun 4, 2026 · RIA to RIA
- B••••• F••••• O•••• from N•••Jan 7, 2026 · RIA to RIA
- J••••• M••••••• P••••• from N•••Jan 2, 2026 · RIA to RIA
- A••• N••••••• from P•••••• • W••••• M••••••••• A•••••••Jul 10, 2025 · RIA to RIA
- W•••••• H•••• from A••••••••• F•••••••• S•••••••• L••Apr 29, 2025 · Affiliated broker-dealer or bank to independent RIA
- N••••••• M•••••• D•••••• from M••••• A•••••••Feb 3, 2025 · RIA to RIA
- H•••••• M•••• C•••• from T••• F•••• C•••••• P•••••••• L••Oct 9, 2024 · RIA to RIA
- B•••••• T••••• F••••• from M••••• S••••••Aug 2, 2024 · Wirehouse to independent RIA
- R•• A••••• B••••• from F•••• P••••••• W•••••• L••Feb 15, 2023 · RIA to RIA
- M•••••• J••• C••••• from M••••• S••••••Jan 3, 2023 · Wirehouse to independent RIA
- J•••• J••••• G•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 17, 2022 · Wirehouse to independent RIA
- S••••• J••••• D••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 15, 2022 · Wirehouse to independent RIA
- B•••••• F••• from E•••••••• A•••••••• L••Sep 20, 2021 · Affiliated broker-dealer or bank to independent RIA
- P•••••• A••••• M••••••• from M••••• S••••••Nov 21, 2019 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for I••••••••• W••••• C••••••• L••Jul 1, 2025 · Boston, Ma
- 3 left for I••••••••• W••••• C••••••• L••Dec 2, 2024 · Boston, Ma
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••• B••• T••••••••• O••••••••• F••• | Other Private Fund | $3.7M | 17 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• R•••• S•••• · Board Member And Chief Executive Officercontrolsince 01/2012 · owns 50% to 75%
- B••••• B••••••• · Board Membercontrolsince 06/2026 · owns less than 5%
- D••••••••• A••••••• N•• · Board Membercontrolsince 06/2026 · owns less than 5%
- S••••• M••••••• K•••• · Chairman Of The Boardcontrolsince 01/2026 · owns less than 5%
- S•••••• J•••••••• C•••••• · Chief Compliance Officer / Chief Operating Officersince 07/2014 · owns less than 5%
Entity owners
- N••• · Shareholderdirect · 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 |
|---|---|---|---|---|---|
| Boston, Ma · principal | 20 | 4 | 2 | ||
| Boynton Beach, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hingham, MA4 employees
- Dedham, MA1 employees
- Worcester, MA1 employees
- , 1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 27, 2026B••••• B••••••• (BOARD MEMBER) appeared on Schedule A between the filings of 2014-09-17 and 2026-07-27peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 27, 2026D••••••••• A••••••• N•• (BOARD MEMBER) appeared on Schedule A between the filings of 2014-09-17 and 2026-07-27peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 27, 2026S••••• M••••••• K•••• (CHAIRMAN OF THE BOARD) appeared on Schedule A between the filings of 2014-09-17 and 2026-07-27peers: independent wealth managers, $1B to $5B (1,362)
- employee count surgeChange between filings · filing Apr 30, 2026employees (Item 5.A) moved from 22.0 to 37.0 (+68.0%) between the annual amendments of 2025-03-31 and 2026-04-30; the peer median change was +4.0% (1050 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,050) · 97% percentile
What changed
consecutive filings, newest first
- Other offices · 6 to 7Apr 30, 2026 to Jun 11, 2026
- Accounts · 3,371 to 3,161Jan 22, 2026 to Mar 31, 2026
- Advisory employees · 16 to 18Jan 22, 2026 to Mar 31, 2026
- Charity clients · unset to 7.0Jan 22, 2026 to Mar 31, 2026
- HNW clients · 242 to 362Jan 22, 2026 to Mar 31, 2026
- Individual clients · 729 to 730Jan 22, 2026 to Mar 31, 2026
- Pension plan clients · 18 to 14Jan 22, 2026 to Mar 31, 2026
- Pooled vehicle clients · 0.0 to unsetJan 22, 2026 to Mar 31, 2026
- Assets in custody · $259M to $294MJan 22, 2026 to Mar 31, 2026
- Employees · 22 to 37Jan 22, 2026 to Mar 31, 2026
- Insurance-licensed employees · 2 to 0Jan 22, 2026 to Mar 31, 2026
- State-registered IARs · 16 to 18Jan 22, 2026 to Mar 31, 2026
- Other offices · 7 to 6Jan 22, 2026 to Mar 31, 2026
- Discretionary RAUM · $1.3B to $1.4BJan 22, 2026 to Mar 31, 2026
- HNW RAUM · $818M to $941MJan 22, 2026 to Mar 31, 2026
- Individual RAUM · $299M to $271MJan 22, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $25.4M to $30.9MJan 22, 2026 to Mar 31, 2026
- Pension RAUM · $23.8M to $29.2MJan 22, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · 0.0 to unsetJan 22, 2026 to Mar 31, 2026
- RAUM · $1.3B to $1.4BJan 22, 2026 to Mar 31, 2026
- Business name · C•••• A•••••••• L•• to C•••• A••••••• I•••Jul 1, 2025 to Nov 17, 2025
- Legal name · C•••• ADVISORS LLC to C•••• A••••••• I•••Jul 1, 2025 to Nov 17, 2025
- Organization form · Limited Liability Company to CorporationJul 1, 2025 to Nov 17, 2025
- Financial planning clients · 51-100 to 51-100May 28, 2025 to Jul 1, 2025
- Accounts · 3,282 to 3,371Nov 13, 2024 to Mar 31, 2025
- Advisory employees · 17 to 16Nov 13, 2024 to Mar 31, 2025
- Charity clients · 5.0 to unsetNov 13, 2024 to Mar 31, 2025
- Corporate clients · 13 to 10Nov 13, 2024 to Mar 31, 2025
- HNW clients · 254 to 242Nov 13, 2024 to Mar 31, 2025
- Individual clients · 728 to 729Nov 13, 2024 to Mar 31, 2025
- Pooled vehicle clients · 1 to 0Nov 13, 2024 to Mar 31, 2025
- Assets in custody · $300M to $259MNov 13, 2024 to Mar 31, 2025
- Insurance-licensed employees · 0 to 2Nov 13, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 51-100Nov 13, 2024 to Mar 31, 2025
- State-registered IARs · 17 to 16Nov 13, 2024 to Mar 31, 2025
- Legal name · C•••• A•••••••• L•• to C•••• ADVISORS LLCNov 13, 2024 to Mar 31, 2025
- Other offices · 6 to 7Nov 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $1000M to $1.3BNov 13, 2024 to Mar 31, 2025
- HNW RAUM · $701M to $818MNov 13, 2024 to Mar 31, 2025
- Individual RAUM · $197M to $299MNov 13, 2024 to Mar 31, 2025
Signals
18 dated events
- J••••• M••••••• P••••• left C•••• A••••••• I••• for P•••• W••••• M••••••••• (registered 2026-06-08)Jun 23, 2026 · Advisor changed firm · fact
- 2 advisors left N••• (Winchester, MA) for C•••• A••••••• I••• on the same dayMar 20, 2026 · Team lift-out · derived
- H•••••• M•••• C•••• left C•••• A••••••• I••• for F•••• P••••••• W•••••• L•• (registered 2026-01-27)Oct 17, 2025 · Advisor changed firm · fact
- J•••••• K• C•••• left C•••• A••••••• I••• for I••••••••• W••••• C••••••• L•• (registered 2025-03-31)Jul 1, 2025 · Advisor changed firm · fact
- L•••••• R•••• H••••• left C•••• A••••••• I••• for I••••••••• W••••• C••••••• L•• (registered 2025-04-03)Jul 1, 2025 · Advisor changed firm · fact
- 2 advisors left C•••• A••••••• I••• (Boston, MA) for I••••••••• W••••• C••••••• L•• on the same dayJul 1, 2025 · Team lift-out · derived
- C•••• A••••••• I••• reported RAUM $1.3B, up 26% from $1.0B (2024-11-13 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- B•••••• T••••• F••••• left C•••• A••••••• I••• for I••••••••• W••••• C••••••• L•• (registered 2024-10-08)Dec 2, 2024 · Advisor changed firm · fact
- R•• A••••• B••••• left C•••• A••••••• I••• for I••••••••• W••••• C••••••• L•• (registered 2024-10-08)Dec 2, 2024 · Advisor changed firm · fact
- S••••• J••••• D••••••••• left C•••• A••••••• I••• for I••••••••• W••••• C••••••• L•• (registered 2024-10-08)Dec 2, 2024 · Advisor changed firm · fact
- 3 advisors left C•••• A••••••• I••• (Boston, MA) for I••••••••• W••••• C••••••• L•• on the same dayDec 2, 2024 · Team lift-out · derived
- C•••• A••••••• I••• reported RAUM $1.0B, down 49% from $2.0B (2024-03-22 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- C•••• A••••••• I••• reported RAUM $2.0B, up 154% from $787.3M (2023-09-14 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- S•••••• N•••••••• T••••• left C•••• A••••••• I••• for B•• C••••• A••••••• (registered 2023-09-26)Sep 19, 2023 · Advisor changed firm · fact
- C•••• A••••••• I••• reported RAUM $763.0M, up 30% from $588.3M (2021-09-17 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- C•••• A••••••• I••• reported RAUM $588.3M, up 33% from $443.6M (2020-11-13 to 2021-03-18)Mar 18, 2021 · RAUM change · derived
- C•••• A••••••• I••• reported RAUM $443.6M, up 31% from $339.7M (2020-01-22 to 2020-03-19)Mar 19, 2020 · RAUM change · derived
- C•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Sep 17, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••• A••••••• I••• · Independent Sponsorsshared crd · capital_provider
- C•••• A•••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 617-507-1404reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/ndvr-increportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/ndvr-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- jimabbottclaroadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (800) 604-2838reportedpublic record, Form ADV, Jul 27, 2026
- Contact form
- jimabbottclaroadvisors.com/connectreportedpublished by the firm, firm site, Sep 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
- $70.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026