DFX Intelligence
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F•••••• F•••••••• L••
Independent wealth manager, based in Needham, Massachusetts, reporting $203M of regulatory assets across 3 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $203M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +15%
- Private clients
- 100% of RAUM, $203M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $176MRAUM now $203M
- Contact points 3
Every filed figure, and the identifiersCRD 172473 · SEC 801-112637 · 12 filingsShowHide
CRD 172473SEC 801-112637First filing on the tape Feb 15, 2018, latest Feb 6, 2026SEC status approved since Mar 16, 2018IAPD
RAUM
$203M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$203M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$67.6M
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
12 filings and snapshots on the tape
RAUM$203M as of Feb 6, 2026
Feb 25, 2019$107M then
HNW client RAUM$139M as of Feb 6, 2026
Feb 25, 2019$43.0M then
State-registered IARs (5.B.3)3 as of Feb 6, 2026
Feb 25, 20193 then
Employees (5.A)3 as of Feb 6, 2026
Feb 25, 20193 then
Private funds: no history
RAUM +15% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 6, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $67.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $298,172derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $203MreportedItem 5.I
- 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$139M68%
- Individuals$63.9M32%
- Individual clients
- 150reported
- HNW clients
- 77reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 680reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••• A•••••• F•••••• | Needham, Ma | Oct 21, 2014 | 28 y | 1 |
| R••• C•••••• F•••••• | Needham, Ma | Oct 21, 2014 | 27 y | 1 |
| K••••••• S••••• F••••••Certified Financial Planner | Needham, Ma | Jun 26, 2017 | 26 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
- N••••• A•••••• F•••••• from A••••••••• F•••••••• S•••••••• L••Oct 21, 2014 · Affiliated broker-dealer or bank to independent RIA
- R••• C•••••• F•••••• from A••••••••• F•••••••• S•••••••• L••Oct 21, 2014 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• N•••••• A•••••• · Managing Principalcontrolsince 09/2014 · owns 50% to 75%
- F••••••• R•••• C•••••• · Managing Principal And Chief Compliance Officercontrolsince 09/2014 · 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 |
|---|---|---|---|---|---|
| Needham, Ma · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 681 to 680Jan 21, 2025 to Feb 6, 2026
- HNW clients · 67 to 77Jan 21, 2025 to Feb 6, 2026
- Individual clients · 160 to 150Jan 21, 2025 to Feb 6, 2026
- Discretionary RAUM · $176M to $203MJan 21, 2025 to Feb 6, 2026
- HNW RAUM · $106M to $139MJan 21, 2025 to Feb 6, 2026
- Individual RAUM · $70.6M to $63.9MJan 21, 2025 to Feb 6, 2026
- RAUM · $176M to $203MJan 21, 2025 to Feb 6, 2026
- Accounts · 673 to 681Jan 22, 2024 to Jan 21, 2025
- HNW clients · 56 to 67Jan 22, 2024 to Jan 21, 2025
- Individual clients · 173 to 160Jan 22, 2024 to Jan 21, 2025
- Financial planning clients · 0 to 0Jan 22, 2024 to Jan 21, 2025
- Discretionary RAUM · $158M to $176MJan 22, 2024 to Jan 21, 2025
- HNW RAUM · $87.5M to $106MJan 22, 2024 to Jan 21, 2025
- Individual RAUM · $70.2M to $70.6MJan 22, 2024 to Jan 21, 2025
- RAUM · $158M to $176MJan 22, 2024 to Jan 21, 2025
- Accounts · 713 to 673Jul 27, 2023 to Jan 22, 2024
- HNW clients · 49 to 56Jul 27, 2023 to Jan 22, 2024
- Individual clients · 175 to 173Jul 27, 2023 to Jan 22, 2024
- Discretionary RAUM · $151M to $158MJul 27, 2023 to Jan 22, 2024
- HNW RAUM · $78.3M to $87.5MJul 27, 2023 to Jan 22, 2024
- Individual RAUM · $72.4M to $70.2MJul 27, 2023 to Jan 22, 2024
- RAUM · $151M to $158MJul 27, 2023 to Jan 22, 2024
- Accounts · 701 to 713Feb 21, 2022 to Mar 6, 2023
- HNW clients · 58 to 49Feb 21, 2022 to Mar 6, 2023
- Individual clients · 174 to 175Feb 21, 2022 to Mar 6, 2023
- Discretionary RAUM · $167M to $151MFeb 21, 2022 to Mar 6, 2023
- HNW RAUM · $97.0M to $78.3MFeb 21, 2022 to Mar 6, 2023
- Individual RAUM · $70.0M to $72.4MFeb 21, 2022 to Mar 6, 2023
- RAUM · $167M to $151MFeb 21, 2022 to Mar 6, 2023
- Accounts · 713 to 701Feb 10, 2021 to Feb 21, 2022
- HNW clients · 51 to 58Feb 10, 2021 to Feb 21, 2022
- Individual clients · 150 to 174Feb 10, 2021 to Feb 21, 2022
- Discretionary RAUM · $150M to $167MFeb 10, 2021 to Feb 21, 2022
- HNW RAUM · $82.0M to $97.0MFeb 10, 2021 to Feb 21, 2022
- Individual RAUM · $68.0M to $70.0MFeb 10, 2021 to Feb 21, 2022
- RAUM · $150M to $167MFeb 10, 2021 to Feb 21, 2022
- Accounts · 669 to 713Jun 23, 2020 to Feb 10, 2021
- HNW clients · 46 to 51Jun 23, 2020 to Feb 10, 2021
- Individual clients · 127 to 150Jun 23, 2020 to Feb 10, 2021
- Discretionary RAUM · $130M to $150MJun 23, 2020 to Feb 10, 2021
Signals
1 dated events
- ••• LockedFeb 15, 2018 · 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 phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Feb 6, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 6, 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
- $67.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026