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
W••••••• W••••• M•••••••••
Legal name W••••••• W••••• M••••••••• L••
Latest filing Sep 1, 2026
First filing on the tape Feb 24, 2016 · 23 filings
SEC status approved since Mar 1, 2016
RAUM
$267M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$267M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$133M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$267M as of Mar 18, 2026
Feb 27, 2017$115M then
HNW client RAUM$260M as of Mar 18, 2026
Mar 14, 2018$117M then
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Feb 27, 20172 then
Employees (5.A)4 as of Mar 18, 2026
Feb 27, 20172 then
Private funds: no history
RAUM +18% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 1, 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
- $133MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $664,870derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $89.7M, 64 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$260M97%
- Individuals$6.8M2.5%
- Individual clients
- 22reported
- HNW clients
- 88reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 401reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $89.7M for 64 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= 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•• C••••Certified Financial Planner | Sudbury, Ma | May 13, 2015 | 21 y | 2 |
| M•••••• W•••••• C••••Certified Financial Planner | New York, Ny | Jun 7, 2016 | 10 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
- K•••• H•••••••• to T•• F•••••••• A•••••••• L••May 13, 2022 · RIA to RIA
Joined, latest
- C••••• A•• C•••• from F••••••• W••••• M••••••••• I•••May 13, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• C•••••• A•• · Member/Chief Compliance Officercontrolsince 12/2014 · owns 75% or more
- C••••• M••••••• W•••••• · Senior Financial Advisorcontrolsince 12/2014 · 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 |
|---|---|---|---|---|---|
| Sudbury, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250Mar 18, 2026 to Sep 1, 2026
- HQ city · FRAMINGHAM to SUDBURYMar 18, 2026 to Sep 1, 2026
- Related adviser · false to unsetMar 18, 2026 to Sep 1, 2026
- Related bank · false to unsetMar 18, 2026 to Sep 1, 2026
- Related broker-dealer · false to unsetMar 18, 2026 to Sep 1, 2026
- Related insurance company · false to unsetMar 18, 2026 to Sep 1, 2026
- Succession · false to unsetMar 18, 2026 to Sep 1, 2026
- HNW clients · 77 to 88Oct 15, 2025 to Mar 18, 2026
- Individual clients · 35 to 22Oct 15, 2025 to Mar 18, 2026
- Assets in custody · $86.2M to $89.7MOct 15, 2025 to Mar 18, 2026
- Employees · 2 to 4Oct 15, 2025 to Mar 18, 2026
- Discretionary RAUM · $226M to $266MOct 15, 2025 to Mar 18, 2026
- HNW RAUM · $214M to $260MOct 15, 2025 to Mar 18, 2026
- Individual RAUM · $11.8M to $6.8MOct 15, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $252,970 to $247,965Oct 15, 2025 to Mar 18, 2026
- RAUM · $226M to $267MOct 15, 2025 to Mar 18, 2026
- Accounts · 381 to 401Mar 13, 2024 to Mar 10, 2025
- HNW clients · 70 to 77Mar 13, 2024 to Mar 10, 2025
- Individual clients · 38 to 35Mar 13, 2024 to Mar 10, 2025
- Assets in custody · unset to 86166741.0Mar 13, 2024 to Mar 10, 2025
- Custody of client assets · false to trueMar 13, 2024 to Mar 10, 2025
- Employees · 3 to 2Mar 13, 2024 to Mar 10, 2025
- Financial planning clients · 101-250 to 101-250Mar 13, 2024 to Mar 10, 2025
- Other offices · 1 to 0Mar 13, 2024 to Mar 10, 2025
- Discretionary RAUM · $196M to $226MMar 13, 2024 to Mar 10, 2025
- HNW RAUM · $182M to $214MMar 13, 2024 to Mar 10, 2025
- Individual RAUM · $14.7M to $11.8MMar 13, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $111,631 to $252,970Mar 13, 2024 to Mar 10, 2025
- RAUM · $196M to $226MMar 13, 2024 to Mar 10, 2025
- Accounts · 412 to 381Aug 30, 2023 to Mar 13, 2024
- HNW clients · 68 to 70Aug 30, 2023 to Mar 13, 2024
- Individual clients · 40 to 38Aug 30, 2023 to Mar 13, 2024
- Employees · 2 to 3Aug 30, 2023 to Mar 13, 2024
- Discretionary RAUM · $171M to $196MAug 30, 2023 to Mar 13, 2024
- HNW RAUM · $157M to $182MAug 30, 2023 to Mar 13, 2024
- Individual RAUM · $13.5M to $14.7MAug 30, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $102,436 to $111,631Aug 30, 2023 to Mar 13, 2024
- RAUM · $171M to $196MAug 30, 2023 to Mar 13, 2024
- Accounts · 408 to 412Mar 23, 2022 to Feb 4, 2023
- Advisory employees · 3 to 2Mar 23, 2022 to Feb 4, 2023
Signals
3 dated events
- W•••••• M•••••• C•••• (Senior Financial Advisor) appeared on Schedule A of W••••••• W••••• M•••••••••Feb 4, 2023 · Control person joined · fact
- K•••• H•••••••• left W••••••• W••••• M••••••••• for T•• F•••••••• A•••••••• L•• (registered 2022-08-16)May 13, 2022 · Advisor changed firm · fact
- W••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Feb 24, 2016 · 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
- Website
- W•••••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 508-655-0210reportedpublic record, Form ADV, Sep 1, 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
- $133Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026