DFX Intelligence
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A•••••• W••••• M••••••••• I•••
Independent wealth manager, based in Boston, Massachusetts, reporting $248M of regulatory assets across 2 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
- $248M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +12%
- Private clients
- 100% of RAUM, $248M
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
- Contact points 3
Every filed figure, and the identifiersCRD 172749 · SEC 801-113808 · 18 filingsShowHide
CRD 172749SEC 801-113808First filing on the tape Jul 11, 2018, latest Mar 12, 2026SEC status approved since Aug 10, 2018IAPD
RAUM
$248M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$248M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$124M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$248M as of Mar 12, 2026
Mar 1, 2019$96.4M then
HNW client RAUM$235M as of Mar 12, 2026
Mar 1, 2019$71.6M then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
Mar 1, 20192 then
Employees (5.A)3 as of Mar 12, 2026
Mar 1, 20193 then
Private funds: no history
RAUM +12% over the last fiscal year+17% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 12, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $124MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $770,889derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 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
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $248MreportedItem 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$235M95%
- Individuals$13.4M5.4%
- Individual clients
- 36reported
- HNW clients
- 62reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 322reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••• A••• G••••••Certified Financial Planner, Chartered Financial Analyst | Boston, Ma | Dec 23, 2014 | 22 y | 2 |
| J••••••••• A•• W•••• | Boston, Ma | Dec 2, 2024 | 25 y | 1 |
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
- J••••••••• A•• W•••• from L•• F•••••••• L••Dec 2, 2024 · Affiliated broker-dealer or bank to independent RIA
- C••••••• A••• G•••••• from P•••••••Dec 23, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• C•••••••• A••• · Chief Executive Officer/Chief Compliance Officercontrolsince 08/2014 · owns 75% or more
- G••••• K•••••••• A•• · Chief Operating Officersince 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 329 to 322Mar 13, 2025 to Mar 12, 2026
- Advisory employees · 3 to 2Mar 13, 2025 to Mar 12, 2026
- Individual clients · 38 to 36Mar 13, 2025 to Mar 12, 2026
- Employees · 4 to 3Mar 13, 2025 to Mar 12, 2026
- State-registered IARs · 3 to 2Mar 13, 2025 to Mar 12, 2026
- Discretionary RAUM · $222M to $248MMar 13, 2025 to Mar 12, 2026
- HNW RAUM · $207M to $235MMar 13, 2025 to Mar 12, 2026
- Individual RAUM · $15.0M to $13.4MMar 13, 2025 to Mar 12, 2026
- RAUM · $222M to $248MMar 13, 2025 to Mar 12, 2026
- Financial planning clients · 51-100 to 51-100Feb 26, 2025 to Mar 13, 2025
- Accounts · 320 to 329Mar 25, 2024 to Feb 26, 2025
- Advisory employees · 2 to 3Mar 25, 2024 to Feb 26, 2025
- Business name · A•••••• W••••• M••••••••• to A•••••• W••••• M••••••••• I•••Mar 25, 2024 to Feb 26, 2025
- HNW clients · 55 to 62Mar 25, 2024 to Feb 26, 2025
- Individual clients · 44 to 38Mar 25, 2024 to Feb 26, 2025
- Employees · 3 to 4Mar 25, 2024 to Feb 26, 2025
- State-registered IARs · 2 to 3Mar 25, 2024 to Feb 26, 2025
- Discretionary RAUM · $190M to $222MMar 25, 2024 to Feb 26, 2025
- HNW RAUM · $173M to $207MMar 25, 2024 to Feb 26, 2025
- Individual RAUM · $19.3M to $15.0MMar 25, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $2.6M to $0Mar 25, 2024 to Feb 26, 2025
- RAUM · $193M to $222MMar 25, 2024 to Feb 26, 2025
- Accounts · 311 to 320Mar 6, 2023 to Mar 25, 2024
- HNW clients · 48 to 55Mar 6, 2023 to Mar 25, 2024
- Individual clients · 52 to 44Mar 6, 2023 to Mar 25, 2024
- Discretionary RAUM · $150M to $190MMar 6, 2023 to Mar 25, 2024
- HNW RAUM · $133M to $173MMar 6, 2023 to Mar 25, 2024
- Individual RAUM · $20.2M to $19.3MMar 6, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $3.3M to $2.6MMar 6, 2023 to Mar 25, 2024
- RAUM · $154M to $193MMar 6, 2023 to Mar 25, 2024
- Accounts · 284 to 311Mar 17, 2022 to Mar 6, 2023
- HNW clients · 49 to 48Mar 17, 2022 to Mar 6, 2023
- Individual clients · 39 to 52Mar 17, 2022 to Mar 6, 2023
- Discretionary RAUM · $172M to $150MMar 17, 2022 to Mar 6, 2023
- HNW RAUM · $158M to $133MMar 17, 2022 to Mar 6, 2023
- Individual RAUM · $18.6M to $20.2MMar 17, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $4.0M to $3.3MMar 17, 2022 to Mar 6, 2023
- RAUM · $176M to $154MMar 17, 2022 to Mar 6, 2023
- Accounts · 266 to 284Dec 23, 2021 to Mar 17, 2022
- HNW clients · 43 to 49Dec 23, 2021 to Mar 17, 2022
Signals
1 dated events
- ••• LockedJul 11, 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, Mar 12, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 12, 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
- $124Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026