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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Former SEC-registered adviser
A••••• W••••• M••••••••• C•••••••••
Latest filing Mar 28, 2024
First filing on the tape Aug 1, 2013 · 21 filings
SEC status approved since Aug 7, 2013
RAUM
$379M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$376M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$379M as of Mar 28, 2024
Mar 22, 2014$105M then
HNW client RAUM$132M as of Mar 28, 2024
Mar 29, 2018$71.5M then
State-registered IARs (5.B.3)3 as of Mar 28, 2024
Mar 22, 20143 then
Employees (5.A)4 as of Mar 28, 2024
Mar 22, 20143 then
Private funds: no history
RAUM +19% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
- RAUM per advisor
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 391derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $322,956derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +160%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $340MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$244M64%
- High-net-worth individuals$132M35%
- Pension and profit-sharing plans$3.6M0.9%
- Individual clients
- 1,103reported
- HNW clients
- 71reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 1,175reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- M••• K•••••••• to C• A•••••••• L••Jan 16, 2025 · RIA to RIA
- J••••••• M••• A•••• to C• A•••••••• L••Jan 16, 2025 · RIA to RIA
- W•••••• J••••• D••••••••• to C• A•••••••• L••Jan 16, 2025 · RIA to RIA
Joined, latest
- J••••••• M••• A•••• from A••••••••• F•••••••• S•••••••• L••Dec 19, 2012 · Other
- W•••••• J••••• D••••••••• from A••••••••• F•••••••• S•••••••• L••Jul 30, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for C• A•••••••• L••Jan 16, 2025 · Waltham, Ma · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• W••••••• J••••• · President And Chief Compliance Officercontrolsince 07/2012 · owns less than 5%
- K••••••••• M••• · Founder And Chief Executive Officercontrolsince 07/2012 · owns 75% or more
Related persons
Schedule D 7.A
- J••••••• A••••real estaten
- M••• K••••••••real estaten
- W•••••• D•••••••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Waltham, Ma · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 453 to 1,175Mar 16, 2023 to Mar 28, 2024
- HNW clients · 73 to 71Mar 16, 2023 to Mar 28, 2024
- Individual clients · 379 to 1,103Mar 16, 2023 to Mar 28, 2024
- Discretionary RAUM · $317M to $376MMar 16, 2023 to Mar 28, 2024
- HNW RAUM · $157M to $132MMar 16, 2023 to Mar 28, 2024
- Individual RAUM · $160M to $244MMar 16, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $3.0M to $3.6MMar 16, 2023 to Mar 28, 2024
- Pension RAUM · $3.0M to $3.6MMar 16, 2023 to Mar 28, 2024
- RAUM · $320M to $379MMar 16, 2023 to Mar 28, 2024
- Accounts · 1,145 to 453Mar 30, 2022 to Mar 16, 2023
- HNW clients · 97 to 73Mar 30, 2022 to Mar 16, 2023
- Individual clients · 350 to 379Mar 30, 2022 to Mar 16, 2023
- Discretionary RAUM · $353M to $317MMar 30, 2022 to Mar 16, 2023
- HNW RAUM · $209M to $157MMar 30, 2022 to Mar 16, 2023
- Individual RAUM · $144M to $160MMar 30, 2022 to Mar 16, 2023
- Non-discretionary RAUM · $3.5M to $3.0MMar 30, 2022 to Mar 16, 2023
- Pension RAUM · $3.0M to $3.0MMar 30, 2022 to Mar 16, 2023
- RAUM · $357M to $320MMar 30, 2022 to Mar 16, 2023
- Accounts · 1,077 to 1,145Mar 19, 2021 to Mar 30, 2022
- Advisory activities · 3 to 4Mar 19, 2021 to Mar 30, 2022
- HNW clients · 78 to 97Mar 19, 2021 to Mar 30, 2022
- Individual clients · 354 to 350Mar 19, 2021 to Mar 30, 2022
- Financial planning clients · 26-50 to 51-100Mar 19, 2021 to Mar 30, 2022
- Discretionary RAUM · $278M to $353MMar 19, 2021 to Mar 30, 2022
- HNW RAUM · $149M to $209MMar 19, 2021 to Mar 30, 2022
- Individual RAUM · $131M to $144MMar 19, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $5.4M to $3.5MMar 19, 2021 to Mar 30, 2022
- Pension RAUM · $3.3M to $3.0MMar 19, 2021 to Mar 30, 2022
- RAUM · $283M to $357MMar 19, 2021 to Mar 30, 2022
- Accounts · 1,074 to 1,077Jun 4, 2020 to Mar 19, 2021
- HNW clients · 60 to 78Jun 4, 2020 to Mar 19, 2021
- Individual clients · 379 to 354Jun 4, 2020 to Mar 19, 2021
- Financial planning clients · 11-25 to 26-50Jun 4, 2020 to Mar 19, 2021
- Discretionary RAUM · $240M to $278MJun 4, 2020 to Mar 19, 2021
- HNW RAUM · $108M to $149MJun 4, 2020 to Mar 19, 2021
- Individual RAUM · $129M to $131MJun 4, 2020 to Mar 19, 2021
- Non-discretionary RAUM · $0 to $5.4MJun 4, 2020 to Mar 19, 2021
- Pension RAUM · $2.8M to $3.3MJun 4, 2020 to Mar 19, 2021
- RAUM · $240M to $283MJun 4, 2020 to Mar 19, 2021
- Accounts · 1,057 to 1,074Oct 25, 2019 to Mar 26, 2020
Signals
6 dated events
- A••••• W••••• M••••••••• C••••••••• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $379.5M)Feb 3, 2025 · Left the SEC roster · derived
- W•••••• J••••• D••••••••• left A••••• W••••• M••••••••• C••••••••• for C• A•••••••• L•• (registered 2025-01-02)Jan 16, 2025 · Advisor changed firm · fact
- J••••••• M••• A•••• left A••••• W••••• M••••••••• C••••••••• for C• A•••••••• L•• (registered 2025-01-02)Jan 16, 2025 · Advisor changed firm · fact
- M••• K•••••••• left A••••• W••••• M••••••••• C••••••••• for C• A•••••••• L•• (registered 2025-01-02)Jan 16, 2025 · Advisor changed firm · fact
- A••••• W••••• M••••••••• C•••••••••'s advisors moved to C• A•••••••• L•• (Waltham, MA): 3 of 3 registered, on the same dayJan 16, 2025 · Firm absorbed (people side) · derived
- A••••• W••••• M••••••••• C••••••••• filed its initial SEC registration (Form ADV)Aug 1, 2013 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026