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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C•••••• S••••• A•••••••
Legal name C•••••• S••••• A•••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Nov 3, 2014 · 26 filings
SEC status approved since Nov 25, 2014
RAUM
$334M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$331M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$167M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$334M as of Mar 6, 2026
Mar 2, 2015$135M then
HNW client RAUM$300M as of Mar 6, 2026
Mar 2, 2018$177M then
State-registered IARs (5.B.3)2 as of Mar 6, 2026
Mar 2, 20152 then
Employees (5.A)4 as of Mar 6, 2026
Mar 2, 20152 then
Private funds: no history
RAUM +15% over the last fiscal year+21% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 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
- RAUM per advisor
- $167MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.9MderivedHNW RAUM over HNW clients
- Average account
- $824,204derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 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
- +6.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminars, otherreportedItem 5.G
- Custody
- $9.0M, 11 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$300M90%
- Individuals$31.2M9.4%
- Charitable organizations$2.0M0.6%
- Pension and profit-sharing plans$346,3960.1%
- Corporations and businesses$133,8160.0%
- Individual clients
- 84reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 405reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.0M for 11 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| M•••••• K•• D•••• | Sarasota, Fl | Mar 24, 2015 | 31 y | 1 |
| J•••• B••••••• H•••••••Chartered Financial Analyst | Marion, Ma | Oct 24, 2017 | 29 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
- A••••• N••••• M••••• to B•••••• W••••• P•••••••• L••Oct 2, 2017 · Other
Joined, latest
- J•••• B••••••• H••••••• from J• B••••••• I••••••••• M•••••••••Oct 24, 2017 · Other
- M•••••• K•• D•••• from D•••• M•••••• K••Mar 24, 2015 · Other
- A••••• N••••• M••••• from O••••••••• • C•• I•••Dec 8, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• M••••••• K•• · Managing Partnercontrolsince 10/2014 · owns 75% or more
- H•••••••• J••••• B••••••• · Senior Partner And Chief Compliance Officercontrolsince 10/2017 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Marion, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 363 to 405Feb 6, 2026 to Mar 6, 2026
- Advisory activities · 5 to 6Feb 6, 2026 to Mar 6, 2026
- HNW clients · 49 to 51Feb 6, 2026 to Mar 6, 2026
- Individual clients · 78 to 84Feb 6, 2026 to Mar 6, 2026
- Assets in custody · $50.4M to $9.0MFeb 6, 2026 to Mar 6, 2026
- Employees · 3 to 4Feb 6, 2026 to Mar 6, 2026
- Discretionary RAUM · $290M to $334MFeb 6, 2026 to Mar 6, 2026
- HNW RAUM · $261M to $300MFeb 6, 2026 to Mar 6, 2026
- Individual RAUM · $26.9M to $31.2MFeb 6, 2026 to Mar 6, 2026
- Pension RAUM · $175,921 to $346,396Feb 6, 2026 to Mar 6, 2026
- RAUM · $290M to $334MFeb 6, 2026 to Mar 6, 2026
- Accounts · 127 to 363Mar 4, 2024 to Mar 6, 2025
- Charity clients · 8.0 to unsetMar 4, 2024 to Mar 6, 2025
- HNW clients · 56 to 49Mar 4, 2024 to Mar 6, 2025
- Individual clients · 63 to 78Mar 4, 2024 to Mar 6, 2025
- Assets in custody · $23.2M to $50.4MMar 4, 2024 to Mar 6, 2025
- Financial planning clients · 11-25 to 11-25Mar 4, 2024 to Mar 6, 2025
- Other offices · 1 to 2Mar 4, 2024 to Mar 6, 2025
- Discretionary RAUM · $238M to $290MMar 4, 2024 to Mar 6, 2025
- HNW RAUM · $214M to $261MMar 4, 2024 to Mar 6, 2025
- Individual RAUM · $14.9M to $26.9MMar 4, 2024 to Mar 6, 2025
- Pension RAUM · unset to 175921.0Mar 4, 2024 to Mar 6, 2025
- RAUM · $238M to $290MMar 4, 2024 to Mar 6, 2025
- Accounts · 114 to 127Oct 19, 2023 to Mar 4, 2024
- Charity clients · 7 to 8Oct 19, 2023 to Mar 4, 2024
- HNW clients · 46 to 56Oct 19, 2023 to Mar 4, 2024
- Individual clients · 61 to 63Oct 19, 2023 to Mar 4, 2024
- Assets in custody · $3.9M to $23.2MOct 19, 2023 to Mar 4, 2024
- Other offices · 2 to 1Oct 19, 2023 to Mar 4, 2024
- Discretionary RAUM · $191M to $238MOct 19, 2023 to Mar 4, 2024
- HNW RAUM · $169M to $214MOct 19, 2023 to Mar 4, 2024
- Individual RAUM · $13.5M to $14.9MOct 19, 2023 to Mar 4, 2024
- RAUM · $191M to $238MOct 19, 2023 to Mar 4, 2024
- Accounts · 100 to 114Mar 1, 2022 to Mar 30, 2023
- Charity clients · 6 to 7Mar 1, 2022 to Mar 30, 2023
- HNW clients · 48 to 46Mar 1, 2022 to Mar 30, 2023
- Individual clients · 46 to 61Mar 1, 2022 to Mar 30, 2023
- Assets in custody · $6.2M to $3.9MMar 1, 2022 to Mar 30, 2023
- Financial planning clients · 26-50 to 11-25Mar 1, 2022 to Mar 30, 2023
- State-registered IARs · 0 to 2Mar 1, 2022 to Mar 30, 2023
Signals
1 dated events
- C•••••• S••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 3, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• S••••• A••••••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 508-748-0709reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 603-438-1874reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/10515216reportedpublic record, Form ADV, Sep 18, 2026
- Website
- cottagestreetadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (508) 748-0709reportedpublic record, Form ADV, Mar 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
- $167Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026