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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Former SEC-registered adviser

T••••• W••••• M••••••••• P•••••••

Former SEC-registered adviserBoston, MassachusettsCRD 170457SEC 801-79185IAPD
Legal name T••••• W••••• M••••••••• P••••••• L••
Latest filing Feb 4, 2022
First filing on the tape Feb 3, 2014 · 20 filings
RAUM
$347M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
69%
$239M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$347M as of Jan 31, 2022
Jan 23, 2015$319M then
HNW client RAUM$227M as of Jan 31, 2022
Mar 29, 2018$147M then
State-registered IARs (5.B.3)3 as of Jan 31, 2022
Jan 23, 20152 then
Employees (5.A)5 as of Jan 31, 2022
Jan 23, 20157 then
Private funds: no history
RAUM +13% over the last fiscal year+15% a year over threeIARs 3 to 3offices 0 to 1
Practice profile
derived from the filing of Feb 4, 2022; every figure names its basis
RAUM per advisor
$116MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$761,582derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+13%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$238M, 118 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)
  • 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$227M65%
  • Other investment advisers$83.5M24%
  • Charitable organizations$12.6M3.6%
  • Individuals$11.5M3.3%
  • Corporations and businesses$9.8M2.8%
  • Pension and profit-sharing plans$2.6M0.7%
Individual clients
64reported
HNW clients
64reported
Pension plan clients
2reported
Charitable clients
3reported
Accounts
456reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$238M for 118 clientsreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••••• J•••••• D••••• · Partnercontrol
      since 06/2014 · owns 25% to 50%
    • N••••••••• K•••• J•••• · Partnercontrol
      since 01/2019 · owns 10% to 25%
    • T•••••• H•••• R•••••• · Managing Partner And Ccocontrol
      since 01/2014 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 387 to 456
      Jan 4, 2022 to Jan 31, 2022
    • Advisory activities · 2 to 3
      Jan 4, 2022 to Jan 31, 2022
    • HNW clients · 40 to 64
      Jan 4, 2022 to Jan 31, 2022
    • Individual clients · 75 to 64
      Jan 4, 2022 to Jan 31, 2022
    • Assets in custody · $303M to $238M
      Jan 4, 2022 to Jan 31, 2022
    • Financial planning clients · 0 to unset
      Jan 4, 2022 to Jan 31, 2022
    • Other offices · 0 to 1
      Jan 4, 2022 to Jan 31, 2022
    • Discretionary RAUM · $306M to $347M
      Jan 4, 2022 to Jan 31, 2022
    • HNW RAUM · $163M to $227M
      Jan 4, 2022 to Jan 31, 2022
    • Individual RAUM · $29.6M to $11.5M
      Jan 4, 2022 to Jan 31, 2022
    • Pension RAUM · $11.9M to $2.6M
      Jan 4, 2022 to Jan 31, 2022
    • RAUM · $306M to $347M
      Jan 4, 2022 to Jan 31, 2022
    • Accounts · 363 to 387
      Jun 18, 2020 to Mar 31, 2021
    • HNW clients · 41 to 40
      Jun 18, 2020 to Mar 31, 2021
    • Individual clients · 69 to 75
      Jun 18, 2020 to Mar 31, 2021
    • Pension plan clients · 3 to 2
      Jun 18, 2020 to Mar 31, 2021
    • Assets in custody · $279M to $303M
      Jun 18, 2020 to Mar 31, 2021
    • Financial planning clients · 11-25 to 0
      Jun 18, 2020 to Mar 31, 2021
    • Discretionary RAUM · $282M to $306M
      Jun 18, 2020 to Mar 31, 2021
    • HNW RAUM · $155M to $163M
      Jun 18, 2020 to Mar 31, 2021
    • Individual RAUM · $90.9M to $29.6M
      Jun 18, 2020 to Mar 31, 2021
    • Pension RAUM · $18.9M to $11.9M
      Jun 18, 2020 to Mar 31, 2021
    • RAUM · $282M to $306M
      Jun 18, 2020 to Mar 31, 2021
    • Accounts · 83 to 363
      Jul 23, 2019 to Apr 1, 2020
    • Advisory activities · 3 to 2
      Jul 23, 2019 to Apr 1, 2020
    • Corporate clients · 3 to 4
      Jul 23, 2019 to Apr 1, 2020
    • HNW clients · 36 to 41
      Jul 23, 2019 to Apr 1, 2020
    • Individual clients · 39 to 69
      Jul 23, 2019 to Apr 1, 2020
    • Assets in custody · $227M to $279M
      Jul 23, 2019 to Apr 1, 2020
    • Employees · 6 to 5
      Jul 23, 2019 to Apr 1, 2020
    • State-registered IARs · 4 to 3
      Jul 23, 2019 to Apr 1, 2020
    • Discretionary RAUM · $231M to $282M
      Jul 23, 2019 to Apr 1, 2020
    • HNW RAUM · $128M to $155M
      Jul 23, 2019 to Apr 1, 2020
    • Individual RAUM · $72.5M to $90.9M
      Jul 23, 2019 to Apr 1, 2020
    • Pension RAUM · $16.4M to $18.9M
      Jul 23, 2019 to Apr 1, 2020
    • RAUM · $231M to $282M
      Jul 23, 2019 to Apr 1, 2020
    • State-registered IARs · 3 to 4
      Mar 28, 2019 to Jul 23, 2019
    • Accounts · 87 to 83
      Apr 30, 2018 to Mar 28, 2019
    • Charity clients · unset to 3.0
      Apr 30, 2018 to Mar 28, 2019
    • Corporate clients · unset to 3.0
      Apr 30, 2018 to Mar 28, 2019
    Signals
    5 dated events
    • K••• J•••• N•••••••• left T••••• W••••• M••••••••• P••••••• for M•••••• (registered 2022-07-01)
      Oct 3, 2022 · Advisor changed firm · fact
    • H••• R•••••• T••••• left T••••• W••••• M••••••••• P••••••• for M•••••• (registered 2022-07-01)
      Oct 3, 2022 · Advisor changed firm · fact
    • 2 advisors left T••••• W••••• M••••••••• P••••••• (Cambridge, MA) for M•••••• on the same day
      Oct 3, 2022 · Team lift-out · derived
    • J Kyle Neidhardt (Partner) appeared on Schedule A of T••••• W••••• M••••••••• P•••••••
      Jul 23, 2019 · Control person joined · fact
    • T••••• W••••• M••••••••• P••••••• filed its initial SEC registration (Form ADV)
      Feb 3, 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