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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A•• W••••• M••••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Jun 29, 2012 · 47 filings
SEC status approved since Jul 24, 2012
RAUM
$728M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
77%
$558M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$728M as of Mar 5, 2026
Mar 5, 2013$110M then
HNW client RAUM$491M as of Mar 5, 2026
Mar 7, 2018$123M then
State-registered IARs (5.B.3)6 as of Mar 5, 2026
Mar 5, 20133 then
Employees (5.A)10 as of Mar 5, 2026
Mar 5, 20135 then
Private funds: no history
RAUM +20% over the last fiscal year+24% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 5, 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
- RAUM per advisor
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $811,198derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 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
- +8.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $123M, 113 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)
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$491M68%
- Pension and profit-sharing plans$106M15%
- Individuals$66.5M9.1%
- Charitable organizations$62.3M8.6%
- Corporations and businesses$1.2M0.2%
- Individual clients
- 131reported
- HNW clients
- 140reported
- Pension plan clients
- 8reported
- Charitable clients
- 12reported
- Accounts
- 897reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $123M for 113 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• M•••• G••••••Certified Financial Planner | Westborough, Ma | Feb 23, 2016 | 16 y | 1 |
| J••••••• S••• B••••Certified Financial Planner | Westborough, Ma | Oct 26, 2016 | 19 y | 3 |
| A••••• E••••• H••••••Certified Financial Planner | Westborough, Ma | May 3, 2017 | 25 y | 1 |
| K•••• P•••••• H••••• | Westborough, Ma | Feb 22, 2019 | 20 y | 2 |
| E•••• B••• L••••• | Westborough, Ma | Feb 7, 2020 | 13 y | 1 |
| R•••••• C•••••••• A••••••• | Westborough, Ma | Jul 15, 2025 | 11 y | 1 |
| J•••• A••• D•••••••••Certified Financial Planner, Chartered Financial Consultant | Westborough, Ma | Sep 6, 2026 | 10 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- K••• B••••• to O•••••••••Feb 25, 2025 · Other
- K•••• M•••• G••• to B••••• F•••••••• P•••••••• I••Mar 21, 2019 · RIA to RIA
- B•••• A••••• J•••• to I••••••••• I••••••••Apr 11, 2017 · Other
Joined, latest
- J•••• A••• D••••••••• from K••••• W•••••• L••Sep 6, 2026 · RIA to RIA
- R•••••• C•••••••• A••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 15, 2025 · Wirehouse to independent RIA
- E•••• B••• L••••• from C••••••••• F•••••••• N••••••Feb 7, 2020 · Affiliated broker-dealer or bank to independent RIA
- K•••• P•••••• H••••• from F••••• C••••••• L••Feb 22, 2019 · RIA to RIA
- A••••• E••••• H•••••• from S•••••••• A••••••• L••May 3, 2017 · Other
- J••••••• S••• B•••• from S•••••••• S•••••••••Oct 26, 2016 · Other
- C••••• M•••• G•••••• from U••• F•••••••• A•••••••Feb 23, 2016 · Other
- B•••• A••••• J•••• from T•••••• E••••••••• • P••••••••• I•••Jul 24, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• A•••••• E••••• · Chief Compliance Officercontrolsince 11/2018 · owns less than 5%
Entity owners
- A••••••• I••• · Managing Memeberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•••••• I••••••••• L••real estatey
- A••••••• I•••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westborough, Ma · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 5, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-31, yes on the filing of 2026-03-05peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 806 to 897Mar 31, 2025 to Mar 5, 2026
- Charity clients · 10 to 12Mar 31, 2025 to Mar 5, 2026
- Corporate clients · unset to 2.0Mar 31, 2025 to Mar 5, 2026
- HNW clients · 153 to 140Mar 31, 2025 to Mar 5, 2026
- Individual clients · 97 to 131Mar 31, 2025 to Mar 5, 2026
- Pension plan clients · 7 to 8Mar 31, 2025 to Mar 5, 2026
- Assets in custody · unset to 122984241.0Mar 31, 2025 to Mar 5, 2026
- Custody of client assets · false to trueMar 31, 2025 to Mar 5, 2026
- Employees · 9 to 10Mar 31, 2025 to Mar 5, 2026
- Financial planning clients · 0 to 1-10Mar 31, 2025 to Mar 5, 2026
- Discretionary RAUM · $462M to $580MMar 31, 2025 to Mar 5, 2026
- HNW RAUM · $408M to $491MMar 31, 2025 to Mar 5, 2026
- Individual RAUM · $31.6M to $66.5MMar 31, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $146M to $147MMar 31, 2025 to Mar 5, 2026
- Pension RAUM · $93.5M to $106MMar 31, 2025 to Mar 5, 2026
- RAUM · $607M to $728MMar 31, 2025 to Mar 5, 2026
- Accounts · 725 to 806Mar 18, 2024 to Mar 31, 2025
- Advisory activities · 5 to 4Mar 18, 2024 to Mar 31, 2025
- Charity clients · 11 to 10Mar 18, 2024 to Mar 31, 2025
- Corporate clients · 2.0 to unsetMar 18, 2024 to Mar 31, 2025
- HNW clients · 124 to 153Mar 18, 2024 to Mar 31, 2025
- Individual clients · 98 to 97Mar 18, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 0Mar 18, 2024 to Mar 31, 2025
- Discretionary RAUM · $391M to $462MMar 18, 2024 to Mar 31, 2025
- HNW RAUM · $332M to $408MMar 18, 2024 to Mar 31, 2025
- Individual RAUM · $34.6M to $31.6MMar 18, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $116M to $146MMar 18, 2024 to Mar 31, 2025
- Pension RAUM · $78.9M to $93.5MMar 18, 2024 to Mar 31, 2025
- RAUM · $507M to $607MMar 18, 2024 to Mar 31, 2025
- Accounts · 673 to 725May 31, 2023 to Mar 18, 2024
- Charity clients · 9 to 11May 31, 2023 to Mar 18, 2024
- Corporate clients · 4 to 2May 31, 2023 to Mar 18, 2024
- HNW clients · 101 to 124May 31, 2023 to Mar 18, 2024
- Individual clients · 117 to 98May 31, 2023 to Mar 18, 2024
- Pension plan clients · 10 to 7May 31, 2023 to Mar 18, 2024
- Discretionary RAUM · $342M to $391MMay 31, 2023 to Mar 18, 2024
- HNW RAUM · $223M to $332MMay 31, 2023 to Mar 18, 2024
- Individual RAUM · $68.0M to $34.6MMay 31, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $43.4M to $116MMay 31, 2023 to Mar 18, 2024
- Pension RAUM · $65.5M to $78.9MMay 31, 2023 to Mar 18, 2024
Signals
3 dated events
- K••• B••••• left A•• W••••• M••••••••• L•• for Onedigital (registered 2025-03-11)Feb 25, 2025 · Advisor changed firm · fact
- A•• W••••• M••••••••• L•• reported RAUM $507.1M, up 32% from $385.3M (2023-05-31 to 2024-03-18)Mar 18, 2024 · RAUM change · derived
- H••••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2012 · 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
- Principal office phone
- 508-366-9100reportedpublic record, Form ADV, Mar 5, 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
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026