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
A•••• I••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Oct 28, 2014 · 29 filings
SEC status approved since Nov 25, 2014
RAUM
$378M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
95%
$359M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$94.5M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$378M as of Mar 25, 2026
Jan 15, 2015$0 then
HNW client RAUM$236M as of Mar 25, 2026
Mar 27, 2018$159M then
State-registered IARs (5.B.3)4 as of Mar 25, 2026
Jan 15, 20153 then
Employees (5.A)7 as of Mar 25, 2026
Jan 15, 20153 then
Private funds: no history
RAUM +11% over the last fiscal year+9.5% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 25, 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
- $94.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $453,790derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $14.3M, 13 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$236M63%
- Individuals$123M32%
- Charitable organizations$10.1M2.7%
- Corporations and businesses$5.7M1.5%
- Pension and profit-sharing plans$3.0M0.8%
- Individual clients
- 296reported
- HNW clients
- 67reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 833reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $14.3M for 13 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| R••••• Z••••• K••••••• | Woburn, Ma | Jan 14, 2015 | 33 y | 1 |
| J••••• B•••• H•••••Chartered Financial Analyst | Woburn, Ma | Jan 22, 2015 | 13 y | 1 |
| K•••••• J•••• D•••• | Woburn, Ma | Jan 22, 2015 | 13 y | 1 |
| M••• P•••••• N••••• | Woburn, Ma | Dec 8, 2017 | 33 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
- J••••• B•••• H••••• from K••••••• C•••••• C•••••••••Jan 22, 2015 · Other
- K•••••• J•••• D•••• from K••••••• C•••••• C•••••••••Jan 22, 2015 · Other
- R••••• Z••••• K••••••• from K••••••• C•••••• C•••••••••Jan 14, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• K••••••• J•••• · Managing Membercontrolsince 05/2014 · owns 10% to 25%
- H•••••• J•••••• B•••• · Managing Member - Ccocontrolsince 03/2013 · owns 25% to 50%
- K•••••••• R•••••• Z••••• · Managing Membercontrolsince 05/2013 · owns 25% to 50%
Related persons
Schedule D 7.A
- I•••••••• F•••••••• A•••••••• L••investment adviseryRAUM $135M
Advisers that list A•••• I••••••••• L•• as a related person
- 313369 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Woburn, Ma · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 802 to 833Dec 2, 2025 to Mar 25, 2026
- Charity clients · 2 to 3Dec 2, 2025 to Mar 25, 2026
- Corporate clients · 6 to 8Dec 2, 2025 to Mar 25, 2026
- HNW clients · 68 to 67Dec 2, 2025 to Mar 25, 2026
- Individual clients · 292 to 296Dec 2, 2025 to Mar 25, 2026
- Assets in custody · $9.1M to $14.3MDec 2, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 1-10Dec 2, 2025 to Mar 25, 2026
- Discretionary RAUM · $307M to $354MDec 2, 2025 to Mar 25, 2026
- HNW RAUM · $216M to $236MDec 2, 2025 to Mar 25, 2026
- Individual RAUM · $108M to $123MDec 2, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $33.6M to $23.7MDec 2, 2025 to Mar 25, 2026
- Pension RAUM · $2.4M to $3.0MDec 2, 2025 to Mar 25, 2026
- RAUM · $341M to $378MDec 2, 2025 to Mar 25, 2026
- Advisory activities · 1 to 2Mar 25, 2025 to Dec 2, 2025
- Accounts · 775 to 802Sep 30, 2024 to Mar 25, 2025
- Charity clients · 3 to 2Sep 30, 2024 to Mar 25, 2025
- Assets in custody · $11.5M to $9.1MSep 30, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Sep 30, 2024 to Mar 25, 2025
- Discretionary RAUM · $289M to $307MSep 30, 2024 to Mar 25, 2025
- HNW RAUM · $208M to $216MSep 30, 2024 to Mar 25, 2025
- Individual RAUM · $94.0M to $108MSep 30, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $28.1M to $33.6MSep 30, 2024 to Mar 25, 2025
- Pension RAUM · $2.4M to $2.4MSep 30, 2024 to Mar 25, 2025
- RAUM · $317M to $341MSep 30, 2024 to Mar 25, 2025
- HQ city · WENHAM to WOBURNMar 25, 2024 to Sep 30, 2024
- Accounts · 695 to 775Mar 28, 2023 to Mar 25, 2024
- Charity clients · 2 to 3Mar 28, 2023 to Mar 25, 2024
- Corporate clients · 3 to 6Mar 28, 2023 to Mar 25, 2024
- Individual clients · 269 to 292Mar 28, 2023 to Mar 25, 2024
- Pension plan clients · 2 to 1Mar 28, 2023 to Mar 25, 2024
- Assets in custody · unset to 11460246.0Mar 28, 2023 to Mar 25, 2024
- Custody of client assets · false to trueMar 28, 2023 to Mar 25, 2024
- Employees · 6 to 7Mar 28, 2023 to Mar 25, 2024
- Insurance-licensed employees · 0 to 1Mar 28, 2023 to Mar 25, 2024
- Discretionary RAUM · $261M to $289MMar 28, 2023 to Mar 25, 2024
- HNW RAUM · $198M to $208MMar 28, 2023 to Mar 25, 2024
- Individual RAUM · $76.2M to $94.0MMar 28, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $27.4M to $28.1MMar 28, 2023 to Mar 25, 2024
- Pension RAUM · $2.8M to $2.4MMar 28, 2023 to Mar 25, 2024
- RAUM · $288M to $317MMar 28, 2023 to Mar 25, 2024
Signals
1 dated events
- A•••• A••••••• filed its initial SEC registration (Form ADV)Oct 28, 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 phone
- 978-338-4830reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/auour-advisory-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- auouradvisor.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 978-338-4830reportedpublic record, Form ADV, Mar 25, 2026
- Team page
- auouradvisor.com/team-frame-stylereportedpublished 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
- $94.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026