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
D••••••••• F•••••••• M•••••••••
Legal name D••••••••• F•••••••• M••••••••• A••••••••• I•••
Latest filing Mar 13, 2026
First filing on the tape Jun 5, 2014 · 19 filings
SEC status approved since Jun 13, 2014
RAUM
$339M
reported, Item 5.F
Discretionary
71%
of RAUM
Private clients
96%
$324M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$84.7M
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
19 filings and snapshots on the tape
RAUM$339M as of Mar 13, 2026
Mar 18, 2015$125M then
HNW client RAUM$290M as of Mar 13, 2026
Mar 29, 2018$136M then
State-registered IARs (5.B.3)3 as of Mar 13, 2026
Mar 18, 20152 then
Employees (5.A)5 as of Mar 13, 2026
Mar 18, 20152 then
Private funds: no history
RAUM +12% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 13, 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
- RAUM per advisor
- $84.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $708,684derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 71%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $60.1M, 31 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$290M86%
- Individuals$34.1M10%
- Pension and profit-sharing plans$14.3M4.2%
- Individual clients
- 74reported
- HNW clients
- 65reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 478reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $60.1M for 31 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H•••• C••••• P••••Chartered Financial Analyst | Norwell, Ma | Jul 28, 2014 | 15 y | 1 |
| M••• J••••• E•••••• | Norwell, Ma | Sep 15, 2015 | 25 y | 2 |
| A••• K•••• D•••••• | Norwell, Ma | Jun 17, 2020 | 15 y | 0 |
| B••••••• C••••••Chartered Financial Analyst | Wellesley Hills, Ma | Mar 25, 2025 | 10 y | 2 |
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
- B••••••• C•••••• from C••••••• M••••••••• I••••••••• A•••••••• L••Mar 25, 2025 · Other
- M••• J••••• E•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 15, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• H••••• C••••• · President And Chief Compliance Officercontrolsince 05/2014 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Norwell, Ma · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 438 to 478Mar 20, 2025 to Mar 13, 2026
- HNW clients · 56 to 65Mar 20, 2025 to Mar 13, 2026
- Individual clients · 70 to 74Mar 20, 2025 to Mar 13, 2026
- Assets in custody · $52.6M to $60.1MMar 20, 2025 to Mar 13, 2026
- Discretionary RAUM · $187M to $242MMar 20, 2025 to Mar 13, 2026
- HNW RAUM · $259M to $290MMar 20, 2025 to Mar 13, 2026
- Individual RAUM · $31.3M to $34.1MMar 20, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $115M to $96.6MMar 20, 2025 to Mar 13, 2026
- Pension RAUM · $12.2M to $14.3MMar 20, 2025 to Mar 13, 2026
- RAUM · $302M to $339MMar 20, 2025 to Mar 13, 2026
- Accounts · 455 to 438Mar 15, 2024 to Mar 20, 2025
- Advisory employees · 2 to 3Mar 15, 2024 to Mar 20, 2025
- HNW clients · 53 to 56Mar 15, 2024 to Mar 20, 2025
- Individual clients · 73 to 70Mar 15, 2024 to Mar 20, 2025
- Assets in custody · $45.3M to $52.6MMar 15, 2024 to Mar 20, 2025
- Employees · 4 to 5Mar 15, 2024 to Mar 20, 2025
- Financial planning clients · 51-100 to 51-100Mar 15, 2024 to Mar 20, 2025
- State-registered IARs · 2 to 3Mar 15, 2024 to Mar 20, 2025
- Other offices · 0 to 1Mar 15, 2024 to Mar 20, 2025
- Discretionary RAUM · $169M to $187MMar 15, 2024 to Mar 20, 2025
- HNW RAUM · $212M to $259MMar 15, 2024 to Mar 20, 2025
- Individual RAUM · $36.1M to $31.3MMar 15, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $89.6M to $115MMar 15, 2024 to Mar 20, 2025
- Pension RAUM · $10.7M to $12.2MMar 15, 2024 to Mar 20, 2025
- RAUM · $259M to $302MMar 15, 2024 to Mar 20, 2025
- Accounts · 423 to 455Mar 6, 2023 to Mar 15, 2024
- HNW clients · 54 to 53Mar 6, 2023 to Mar 15, 2024
- Individual clients · 66 to 73Mar 6, 2023 to Mar 15, 2024
- Assets in custody · $29.7M to $45.3MMar 6, 2023 to Mar 15, 2024
- Discretionary RAUM · $140M to $169MMar 6, 2023 to Mar 15, 2024
- HNW RAUM · $195M to $212MMar 6, 2023 to Mar 15, 2024
- Individual RAUM · $26.2M to $36.1MMar 6, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $87.8M to $89.6MMar 6, 2023 to Mar 15, 2024
- Pension RAUM · $6.3M to $10.7MMar 6, 2023 to Mar 15, 2024
- RAUM · $228M to $259MMar 6, 2023 to Mar 15, 2024
- Accounts · 408 to 423Mar 4, 2022 to Mar 6, 2023
- HNW clients · 56 to 54Mar 4, 2022 to Mar 6, 2023
- Individual clients · 64 to 66Mar 4, 2022 to Mar 6, 2023
- Pension plan clients · unset to 5.0Mar 4, 2022 to Mar 6, 2023
- Assets in custody · $39.1M to $29.7MMar 4, 2022 to Mar 6, 2023
Signals
1 dated events
- D•••• D••••••••• F•••••••• M••••••••• A••••••••• I••• filed its initial SEC registration (Form ADV)Jun 5, 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.
How to reach
public business contact points only, each with its source
- Business email
- d••@d••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-792-0440reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-792-0606reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/diversified-financial-management-inc.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- d••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 781-792-0440reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- d••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- d••••••••.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
- $84.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026