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
S••••• R•••• C•••••• P•••••••• L••
Latest filing Sep 1, 2026
First filing on the tape Dec 4, 2025 · 3 filings
SEC status approved since Dec 4, 2025
RAUM
$114M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$106M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$37.9M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$114M as of Mar 26, 2026
Dec 4, 2025$111M then
HNW client RAUM$85.2M as of Mar 26, 2026
Dec 4, 2025$83.3M then
State-registered IARs (5.B.3)4 as of Mar 26, 2026
Dec 4, 20254 then
Employees (5.A)4 as of Mar 26, 2026
Dec 4, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 1, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $37.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $86.1MreportedItem 5.I
- Custody
- $565,263, 9 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$85.2M75%
- Individuals$21.0M18%
- Charitable organizations$7.4M6.5%
- Individual clients
- 56reported
- HNW clients
- 38reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 95reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $565,263 for 9 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• D•••••• W•••••• | Framingham, Ma | Jun 11, 2013 | 26 y | 1 |
| J••••• M••••••• S•••••Certified Financial Planner | Framingham, Ma | Aug 6, 2014 | 13 y | 0 |
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
- S••••• D•••••• W•••••• from P• G••••• A•••••••Jun 11, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• J•••• F•••••• · Chief Compliance Officercontrolsince 03/2013 · owns less than 5%
- S•••••• J•••••• M••••••• · Partnercontrolsince 01/2020 · owns 10% to 25%
- W••••••• S•••••• D•••••• · Managing Partnercontrolsince 03/2013 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Framingham, Ma · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Mar 26, 2026 to Sep 1, 2026
- Employees · 4 to 3Mar 26, 2026 to Sep 1, 2026
- Financial planning clients · 51-100 to 51-100Mar 26, 2026 to Sep 1, 2026
- State-registered IARs · 4 to 3Mar 26, 2026 to Sep 1, 2026
- Succession · false to unsetMar 26, 2026 to Sep 1, 2026
- Accounts · 94 to 95Dec 4, 2025 to Mar 26, 2026
- Individual clients · 55 to 56Dec 4, 2025 to Mar 26, 2026
- Assets in custody · $356,383 to $565,263Dec 4, 2025 to Mar 26, 2026
- Discretionary RAUM · $111M to $114MDec 4, 2025 to Mar 26, 2026
- HNW RAUM · $83.3M to $85.2MDec 4, 2025 to Mar 26, 2026
- Individual RAUM · $19.8M to $21.0MDec 4, 2025 to Mar 26, 2026
- RAUM · $111M to $114MDec 4, 2025 to Mar 26, 2026
Signals
No event on the tape.
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 email
- info@signalridgecp.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 617-607-3222reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 617-607-3223reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 617-607-3224reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/S•••••-R••••-CAPITAL-PARTNERS/ABOUTreportedpublic record, Form ADV, Sep 19, 2026
- Website
- S•••••R••••CP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-607-3222reportedpublic record, Form ADV, Sep 1, 2026
- Contact form
- SIGNALRIDGECP.COM/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- SIGNALRIDGECP.COM/teamreportedpublished by the firm, firm site, Sep 16, 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
- $37.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026