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T•• S••• W••••• M••••••••• G••••

Independent wealth managerSEC-registered· Needham, Massachusettswebsite

Independent wealth manager, based in Needham, Massachusetts, reporting $146M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$146M
Form ADV
Advisors
2
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
+12%
Form ADV, consecutive annual filings
Private clients
86% of RAUM, $125M
Form ADV
Advisors (2)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 172369 · SEC 801-131993 · 2 filingsShow
CRD 172369SEC 801-131993Legal name T•• S••• W••••• M••••••••• G••••• I•••First filing on the tape Feb 28, 2025, latest Jan 15, 2026SEC status approved since Feb 18, 2025IAPD
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$125M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$72.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$146M as of Jan 15, 2026
Feb 28, 2025$130M then
HNW client RAUM$120M as of Jan 15, 2026
Feb 28, 2025$108M then
State-registered IARs (5.B.3)2 as of Jan 15, 2026
Feb 28, 20252 then
Employees (5.A)2 as of Jan 15, 2026
Feb 28, 20252 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 15, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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
$72.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
24derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$997,366derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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
+4.4%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$120M96%
  • Individuals$4.9M3.9%
  • Corporations and businesses$110,4950.1%
  • Charitable organizations$103,3480.1%
Individual clients
13reported
HNW clients
34reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
146reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.86 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
P••••• J••••••• S•••Certified Financial PlannerNeedham, MaJan 2, 201528 y0
S••••••• R••••• W•••Certified Financial PlannerNeedham, MaJul 18, 201623 y1
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••• P•••••• J••••••• · Managing Directorcontrol
        since 01/1999 · owns 75% or more
      • W•••• S•••••••• R••••• · Chief Compliance Officercontrol
        since 09/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Needham, Ma · principal200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 140 to 146
        Feb 28, 2025 to Jan 15, 2026
      • HNW clients · 35 to 34
        Feb 28, 2025 to Jan 15, 2026
      • Individual clients · 10 to 13
        Feb 28, 2025 to Jan 15, 2026
      • Discretionary RAUM · $130M to $146M
        Feb 28, 2025 to Jan 15, 2026
      • HNW RAUM · $108M to $120M
        Feb 28, 2025 to Jan 15, 2026
      • Individual RAUM · $3.7M to $4.9M
        Feb 28, 2025 to Jan 15, 2026
      • RAUM · $130M to $146M
        Feb 28, 2025 to Jan 15, 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 phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Jan 15, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jan 15, 2026
      Team page
      ••• Lockedreportedpublished 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
      $72.8Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026