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.
Former SEC-registered adviser
Ropes Wealth Advisors
Legal name Ropes Wealth Advisors LLC
Latest filing Jul 28, 2023
First filing on the tape Aug 15, 2014 · 21 filings
RAUM
$6.5B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
86%
$5.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
41
11 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$6.5B as of Mar 30, 2023
Jan 15, 2015$2.7B then
HNW client RAUM$5.4B as of Mar 30, 2023
Mar 29, 2018$3.0B then
State-registered IARs (5.B.3)9 as of Mar 30, 2023
Jan 15, 20156 then
Employees (5.A)41 as of Mar 30, 2023
Jan 15, 201510 then
Private funds: no history
RAUM -14% over the last fiscal year+8.9% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Jul 28, 2023; every figure names its basis
- RAUM per advisor
- $719MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 147derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.9MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.6derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $2.5B, 527 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$5.4B84%
- Charitable organizations$448M6.9%
- Pension and profit-sharing plans$407M6.3%
- Individuals$134M2.1%
- Corporations and businesses$33.8M0.5%
- Individual clients
- 405reported
- HNW clients
- 921reported
- Pension plan clients
- n/areported
- Charitable clients
- 20reported
- Accounts
- 3,632reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.5B for 527 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- Shruti Bansal to Rwa Wealth PartnersNov 29, 2023 · RIA to RIA
- Joseph Edmund Powers to Rwa Wealth PartnersNov 29, 2023 · RIA to RIA
- Sean Clifford Turner to Rwa Wealth PartnersNov 29, 2023 · RIA to RIA
- Blake Mackay Russell to Rwa Wealth PartnersNov 29, 2023 · RIA to RIA
- Michelle Ann Knight to Rwa Wealth PartnersNov 29, 2023 · RIA to RIA
- Jennifer K Loveless to Rwa Wealth PartnersNov 29, 2023 · RIA to RIA
- Winfield Craven Grimm to Rwa Wealth PartnersNov 29, 2023 · RIA to RIA
- Michael James Stevens to Rwa Wealth PartnersNov 29, 2023 · RIA to RIA
- Terrence Callahan Tedeschi to Rwa Wealth PartnersNov 29, 2023 · RIA to RIA
- Francis John Sennott to Rwa Wealth PartnersNov 29, 2023 · RIA to RIA
- Daniel Luiz Almeida to Rwa Wealth PartnersNov 29, 2023 · RIA to RIA
Joined, latest
- Jennifer K Loveless from Svb WealthFeb 25, 2020 · RIA to RIA
- Joseph Edmund Powers from Svb WealthMar 16, 2015 · Other
- Michelle Ann Knight from Banyan Partners, LLCOct 20, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 11 left for Rwa Wealth PartnersNov 29, 2023 · Boston, Ma · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ann Michelle Knight · President And Chief Economistcontrolsince 01/2020 · owns less than 5%
- Guy Matthew Hamilton · Managercontrolsince 12/2020 · owns F of Ai Holdings Gp, LLC
- Lynn Chelsea Jurman · Managercontrolsince 12/2020 · owns F of Ai Holdings Gp, LLC
- Hale James Lowell · Managercontrolsince 12/2020 · owns F of Ai Holdings Gp, LLC
- Philip Daniel Wiener · Managercontrolsince 12/2020 · owns F of Ai Holdings Gp, LLC
- Krishna Vamsi Yadlapati · Managercontrolsince 12/2020 · owns F of Ai Holdings Gp, LLC
- Dibarnaba Kristin Fazio · Chief Compliance Officersince 01/2015 · owns less than 5%
- Edmund Joseph Powers · Chief Investment Officersince 01/2020 · owns less than 5%
Entity owners
- Adviser Investments · Managing Memberdirect · owns 75% or more
- Ai Holdings Gp, LLC · General Partnerindirect · owns F of Sp-Ai Holdings, L.P.
- Ai Intermediate, LLC · Managing Memberindirect · owns 75% or more of Adviser Investments
- Ai Parent, LLC · Managing Memberindirect · owns F of Ai Intermediate, LLC
- Sp-Ai Holdings, L.P. · Managing Memberindirect · owns F of Ai Parent, LLC
- Summit Master Company, LLC · General Partnerindirect · owns F of Summit Partners, L.P.
- Summit Partners Ge X, LP · General Partnerindirect · owns F of Summit Partners Growth Equity Fund X-A, L.P.
- Summit Partners Growth Equity Fund X-A, L.P. · Limited Partnerindirect · owns 25% to 50% of Sp-Ai Holdings, L.P.
- Summit Partners, L.P. · General Partnerindirect · owns F of Summit Partners Ge X, LP
Related persons
Schedule D 7.A
- Rwa Wealth Partnersinvestment adviseryRAUM $20B
- Brenda Dianay
- Martin Hally
- Polaris Wealth Advisory Groupinvestment advisernRAUM $1.5B
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related adviser · false to trueMar 30, 2023 to Jul 28, 2023
- Accounts · 3,332 to 3,632Mar 29, 2022 to Mar 30, 2023
- Advisory employees · 10 to 11Mar 29, 2022 to Mar 30, 2023
- Charity clients · 16 to 20Mar 29, 2022 to Mar 30, 2023
- HNW clients · 873 to 921Mar 29, 2022 to Mar 30, 2023
- Individual clients · 402 to 405Mar 29, 2022 to Mar 30, 2023
- Assets in custody · $2.0B to $2.5BMar 29, 2022 to Mar 30, 2023
- Employees · 37 to 41Mar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $7.3B to $6.2BMar 29, 2022 to Mar 30, 2023
- HNW RAUM · $6.4B to $5.4BMar 29, 2022 to Mar 30, 2023
- Individual RAUM · $168M to $134MMar 29, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $181M to $248MMar 29, 2022 to Mar 30, 2023
- Pension RAUM · $516M to $407MMar 29, 2022 to Mar 30, 2023
- RAUM · $7.5B to $6.5BMar 29, 2022 to Mar 30, 2023
- Accounts · 2,986 to 3,332Mar 29, 2021 to Mar 29, 2022
- Charity clients · 17 to 16Mar 29, 2021 to Mar 29, 2022
- HNW clients · 769 to 873Mar 29, 2021 to Mar 29, 2022
- Individual clients · 427 to 402Mar 29, 2021 to Mar 29, 2022
- Assets in custody · $1.3B to $2.0BMar 29, 2021 to Mar 29, 2022
- Employees · 33 to 37Mar 29, 2021 to Mar 29, 2022
- Financial planning clients · 51-100 to 101-250Mar 29, 2021 to Mar 29, 2022
- State-registered IARs · 10 to 9Mar 29, 2021 to Mar 29, 2022
- Discretionary RAUM · $6.2B to $7.3BMar 29, 2021 to Mar 29, 2022
- HNW RAUM · $5.2B to $6.4BMar 29, 2021 to Mar 29, 2022
- Individual RAUM · $183M to $168MMar 29, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $139M to $181MMar 29, 2021 to Mar 29, 2022
- Pension RAUM · $474M to $516MMar 29, 2021 to Mar 29, 2022
- RAUM · $6.3B to $7.5BMar 29, 2021 to Mar 29, 2022
- Accounts · 2,693 to 2,986Dec 23, 2020 to Mar 29, 2021
- Charity clients · 19 to 17Dec 23, 2020 to Mar 29, 2021
- Corporate clients · 4.0 to unsetDec 23, 2020 to Mar 29, 2021
- HNW clients · 694 to 769Dec 23, 2020 to Mar 29, 2021
- Individual clients · 436 to 427Dec 23, 2020 to Mar 29, 2021
- Pension plan clients · 3.0 to unsetDec 23, 2020 to Mar 29, 2021
- Assets in custody · $1.2B to $1.3BDec 23, 2020 to Mar 29, 2021
- Employees · 36 to 33Dec 23, 2020 to Mar 29, 2021
- Discretionary RAUM · $4.9B to $6.2BDec 23, 2020 to Mar 29, 2021
- HNW RAUM · $4.1B to $5.2BDec 23, 2020 to Mar 29, 2021
- Individual RAUM · $188M to $183MDec 23, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $131M to $139MDec 23, 2020 to Mar 29, 2021
Signals
21 dated events
- Michelle Ann Knight left Ropes Wealth Advisors for Rwa Wealth Partners (registered 2023-12-14)Nov 29, 2023 · Advisor changed firm · fact
- Winfield Craven Grimm left Ropes Wealth Advisors for Rwa Wealth Partners (registered 2023-12-06)Nov 29, 2023 · Advisor changed firm · fact
- Michael James Stevens left Ropes Wealth Advisors for Rwa Wealth Partners (registered 2023-12-06)Nov 29, 2023 · Advisor changed firm · fact
- Joseph Edmund Powers left Ropes Wealth Advisors for Rwa Wealth Partners (registered 2023-12-06)Nov 29, 2023 · Advisor changed firm · fact
- Blake Mackay Russell left Ropes Wealth Advisors for Rwa Wealth Partners (registered 2023-12-06)Nov 29, 2023 · Advisor changed firm · fact
- Shruti Bansal left Ropes Wealth Advisors for Rwa Wealth Partners (registered 2023-12-06)Nov 29, 2023 · Advisor changed firm · fact
- Sean Clifford Turner left Ropes Wealth Advisors for Rwa Wealth Partners (registered 2023-12-06)Nov 29, 2023 · Advisor changed firm · fact
- Daniel Luiz Almeida left Ropes Wealth Advisors for Rwa Wealth Partners (registered 2023-12-13)Nov 29, 2023 · Advisor changed firm · fact
- Jennifer K Loveless left Ropes Wealth Advisors for Rwa Wealth Partners (registered 2023-12-06)Nov 29, 2023 · Advisor changed firm · fact
- Francis John Sennott left Ropes Wealth Advisors for Rwa Wealth Partners (registered 2023-12-06)Nov 29, 2023 · Advisor changed firm · fact
- Terrence Callahan Tedeschi left Ropes Wealth Advisors for Rwa Wealth Partners (registered 2023-12-06)Nov 29, 2023 · Advisor changed firm · fact
- Ropes Wealth Advisors's advisors moved to Rwa Wealth Partners (Boston, MA): 11 of 11 registered, on the same dayNov 29, 2023 · Firm absorbed (people side) · derived
- Hale James Lowell (Manager) appeared on Schedule A of Ropes Wealth AdvisorsJul 28, 2023 · Control person joined · fact
- Philip Daniel Wiener (Manager) appeared on Schedule A of Ropes Wealth AdvisorsJul 28, 2023 · Control person joined · fact
- Lynn Chelsea Jurman (Manager) appeared on Schedule A of Ropes Wealth AdvisorsJul 28, 2023 · Control person joined · fact
- Guy Matthew Hamilton (Manager) appeared on Schedule A of Ropes Wealth AdvisorsJul 28, 2023 · Control person joined · fact
- Krishna Vamsi Yadlapati (Manager) appeared on Schedule A of Ropes Wealth AdvisorsJul 28, 2023 · Control person joined · fact
- Ropes Wealth Advisors reported RAUM $6.3B, up 26% from $5.0B (2020-12-23 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Newman Robert Shapiro (Chief Executive Officer) no longer on Schedule A of Ropes Wealth Advisors (listed 2019-03-28, absent 2020-02-13)Feb 13, 2020 · Control person left · inference
- Ropes Wealth Advisors reported RAUM $3.8B, up 26% from $3.1B (2017-09-19 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- Ropes Wealth Advisors filed its initial SEC registration (Form ADV)Aug 15, 2014 · 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