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
A••• W••••• P•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jan 14, 2021 · 13 filings
SEC status approved since Feb 12, 2021
RAUM
$377M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$377M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$53.9M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$377M as of Mar 26, 2026
Mar 17, 2021$123M then
HNW client RAUM$173M as of Mar 26, 2026
Mar 17, 2021$96.9M then
State-registered IARs (5.B.3)6 as of Mar 26, 2026
Mar 17, 20216 then
Employees (5.A)9 as of Mar 26, 2026
Mar 17, 20216 then
Private funds: no history
RAUM +30% over the last fiscal year+30% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- RAUM per advisor
- $53.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 112derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $223,832derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%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
- $16.2M, 43 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$205M54%
- High-net-worth individuals$173M46%
- Individual clients
- 683reported
- HNW clients
- 98reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,686reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $16.2M for 43 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• D• P•••• | East Providence, Ri | Mar 27, 2013 | 27 y | 2 |
| J••• E•••••••• M•••••••• | East Providence, Ri | Jun 8, 2017 | 28 y | 3 |
| M•••••• G• L••••••• | East Providence, Ri | Nov 20, 2020 | 27 y | 1 |
| E•••••• J•••• P••••••• | East Providence, Ri | Feb 25, 2021 | 17 y | 0 |
| S••• P• D••••• | East Providence, Ri | Jan 6, 2023 | 25 y | 1 |
| M••• R••••• B••••••Certified Financial Planner | East Providence, Ri | Dec 23, 2024 | 10 y | 1 |
| M•••••• W•••••• S••••Certified Financial Planner | Sterling, Ct | Jan 17, 2025 | 18 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount1 left over 36 months
Left, latest
- J••••• S•••• P•••••• to I• F•••••••• A••••••• S••••••• L••Jun 18, 2026 · RIA to RIA
Joined, latest
- M•••••• W•••••• S•••• from N•• I••••••••• S••••••••Jan 17, 2025 · RIA to RIA
- M••• R••••• B•••••• from N•• I••••••••• S••••••••Dec 23, 2024 · RIA to RIA
- S••• P• D••••• from A••••••••• F•••••••• S•••••••• L••Jan 6, 2023 · Affiliated broker-dealer or bank to independent RIA
- M•••••• G• L••••••• from A••••••••• F•••••••• S•••••••• L••Nov 20, 2020 · Affiliated broker-dealer or bank to independent RIA
- J••• E•••••••• M•••••••• from F••••• F•••••••• P•••••••• I•••Jun 8, 2017 · RIA to RIA
- J••••• S•••• P•••••• from C•••••• A•••••••Sep 12, 2014 · Other
- D••••• D• P•••• from C••••••••• F•••••••• N••••••Mar 27, 2013 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D• P••••• D••••• · Managing Principal & Chief Compliance Officercontrolsince 03/2013 · owns 75% or more
- D• P••••• M•••••• S•••• · Chief Financial Officersince 10/2021 · owns less than 5%
Related persons
Schedule D 7.A
- A••• R••• M••••••••• L••real estaten
- H•••••• B•••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| East Providence, Ri · principal | 7 | 0 | 0 | ||
| Whitinsville, Ma | 2 | 0 | 0 | ||
| Westport, Ma | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- East Greenwich, RI1 employees
- Westport, MA1 employees
What changed
consecutive filings, newest first
- Accounts · 1,585 to 1,686Mar 31, 2025 to Mar 26, 2026
- HNW clients · 56 to 98Mar 31, 2025 to Mar 26, 2026
- Individual clients · 648 to 683Mar 31, 2025 to Mar 26, 2026
- Discretionary RAUM · $290M to $377MMar 31, 2025 to Mar 26, 2026
- HNW RAUM · $94.7M to $173MMar 31, 2025 to Mar 26, 2026
- Individual RAUM · $195M to $205MMar 31, 2025 to Mar 26, 2026
- RAUM · $290M to $377MMar 31, 2025 to Mar 26, 2026
- Accounts · 1,479 to 1,585Feb 22, 2024 to Mar 31, 2025
- HNW clients · 54 to 56Feb 22, 2024 to Mar 31, 2025
- Individual clients · 600 to 648Feb 22, 2024 to Mar 31, 2025
- Assets in custody · $15.0M to $16.2MFeb 22, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 101-250Feb 22, 2024 to Mar 31, 2025
- Other offices · 2 to 3Feb 22, 2024 to Mar 31, 2025
- Discretionary RAUM · $241M to $290MFeb 22, 2024 to Mar 31, 2025
- HNW RAUM · $82.9M to $94.7MFeb 22, 2024 to Mar 31, 2025
- Individual RAUM · $159M to $195MFeb 22, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.1M to $0Feb 22, 2024 to Mar 31, 2025
- RAUM · $242M to $290MFeb 22, 2024 to Mar 31, 2025
- Related insurance company · false to trueFeb 22, 2024 to Mar 31, 2025
- Accounts · 1,209 to 1,479Sep 25, 2023 to Feb 22, 2024
- Advisory employees · 7 to 6Sep 25, 2023 to Feb 22, 2024
- HNW clients · 73 to 54Sep 25, 2023 to Feb 22, 2024
- Individual clients · 460 to 600Sep 25, 2023 to Feb 22, 2024
- Assets in custody · $6.8M to $15.0MSep 25, 2023 to Feb 22, 2024
- Employees · 10 to 9Sep 25, 2023 to Feb 22, 2024
- Financial planning clients · 101-250 to 51-100Sep 25, 2023 to Feb 22, 2024
- State-registered IARs · 7 to 6Sep 25, 2023 to Feb 22, 2024
- Discretionary RAUM · $172M to $241MSep 25, 2023 to Feb 22, 2024
- HNW RAUM · $45.4M to $82.9MSep 25, 2023 to Feb 22, 2024
- Individual RAUM · $127M to $159MSep 25, 2023 to Feb 22, 2024
- Non-discretionary RAUM · $1.1M to $1.1MSep 25, 2023 to Feb 22, 2024
- RAUM · $173M to $242MSep 25, 2023 to Feb 22, 2024
- Related insurance company · true to falseSep 25, 2023 to Feb 22, 2024
- Accounts · 1,187 to 1,209Oct 3, 2022 to Mar 2, 2023
- Advisory employees · 6 to 7Oct 3, 2022 to Mar 2, 2023
- Business name · A••• A•••••••• L•• to A••• W••••• P•••••••• L••Oct 3, 2022 to Mar 2, 2023
- HNW clients · 72 to 73Oct 3, 2022 to Mar 2, 2023
- Individual clients · 449 to 460Oct 3, 2022 to Mar 2, 2023
- Employees · 9 to 10Oct 3, 2022 to Mar 2, 2023
- Financial planning clients · 51-100 to 101-250Oct 3, 2022 to Mar 2, 2023
Signals
2 dated events
- J••••• S•••• P•••••• left A••• W••••• P•••••••• L•• for I• F•••••••• A••••••• S••••••• L•• (registered 2026-01-27)Jun 18, 2026 · Advisor changed firm · fact
- A••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jan 14, 2021 · 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
- Business phone
- 401-388-0911reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 401-441-5111reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 508-278-7600reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/axiswealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- a•••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 401-441-5111reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- a•••••.comreportedpublished 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
- $53.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026