DFX Intelligence
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SEC-registered adviser
T•••••• W••••• M•••••••••
Legal name T•••••• W••••• M••••••••• L••
Latest filing Apr 20, 2026
First filing on the tape Mar 22, 2024 · 4 filings
SEC status approved since Apr 19, 2024
RAUM
$179M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$179M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$179M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$179M as of Apr 20, 2026
Mar 27, 2025$145M then
HNW client RAUM$138M as of Apr 20, 2026
Mar 27, 2025$101M then
State-registered IARs (5.B.3)1 as of Apr 20, 2026
Mar 27, 20251 then
Employees (5.A)3 as of Apr 20, 2026
Mar 27, 20252 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 20, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $179MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 150derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $297,749derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.9%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$138M77%
- Individuals$41.0M23%
- Individual clients
- 90reported
- HNW clients
- 60reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 602reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••• M• T••••••Certified Financial Planner | Attleboro, Ma | Nov 6, 2012 | 19 y | 1 |
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
- L••• M• T•••••• from F••••• L••Nov 6, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••• L•••• M• · Managing Member, Chief Compliance Officercontrolsince 10/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 553 to 602Mar 27, 2025 to Mar 24, 2026
- Corporate clients · 1 to 0Mar 27, 2025 to Mar 24, 2026
- HNW clients · 46 to 60Mar 27, 2025 to Mar 24, 2026
- Individual clients · 93 to 90Mar 27, 2025 to Mar 24, 2026
- Assets in custody · 0.0 to unsetMar 27, 2025 to Mar 24, 2026
- Employees · 2 to 3Mar 27, 2025 to Mar 24, 2026
- Discretionary RAUM · $145M to $179MMar 27, 2025 to Mar 24, 2026
- HNW RAUM · $101M to $138MMar 27, 2025 to Mar 24, 2026
- Individual RAUM · $41.7M to $41.0MMar 27, 2025 to Mar 24, 2026
- RAUM · $145M to $179MMar 27, 2025 to Mar 24, 2026
- Accounts · 491 to 553Mar 22, 2024 to Mar 27, 2025
- HNW clients · 40 to 46Mar 22, 2024 to Mar 27, 2025
- Individual clients · 92 to 93Mar 22, 2024 to Mar 27, 2025
- Employees · 1 to 2Mar 22, 2024 to Mar 27, 2025
- Financial planning clients · 101-250 to 101-250Mar 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $115M to $145MMar 22, 2024 to Mar 27, 2025
- HNW RAUM · $77.5M to $101MMar 22, 2024 to Mar 27, 2025
- Individual RAUM · $34.7M to $41.7MMar 22, 2024 to Mar 27, 2025
- RAUM · $115M to $145MMar 22, 2024 to Mar 27, 2025
Signals
1 dated events
- T•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 22, 2024 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/T••••••-WEALTH-MANAGEMENTreportedpublic record, Form ADV, Apr 20, 2026
- Principal office phone
- (774) 331-2172reportedpublic record, Form ADV, Apr 20, 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
- $179Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026