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
F••••••• P•••••• W•••••
Legal name F••••••• P•••••• W•••••• L••
Latest filing Aug 25, 2026
First filing on the tape Aug 17, 2016 · 36 filings
SEC status approved since Aug 24, 2016
RAUM
$447M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$435M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$447M as of Aug 25, 2026
Feb 22, 2017$111M then
HNW client RAUM$350M as of Aug 25, 2026
Jan 31, 2018$60.0M then
State-registered IARs (5.B.3)4 as of Aug 25, 2026
Feb 22, 20174 then
Employees (5.A)4 as of Aug 25, 2026
Feb 22, 20174 then
Private funds: no history
RAUM +17% over the last fiscal year+21% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Aug 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 149derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $425,935derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $446MreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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$350M78%
- Individuals$84.5M19%
- Corporations and businesses$11.7M2.6%
- Charitable organizations$642,1970.1%
- Individual clients
- 328reported
- HNW clients
- 269reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 1,050reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••• C• H••••• | Woburn, Ma | Apr 21, 2015 | 15 y | 0 |
| K••• J•• W•••••Certified Financial Planner | Woburn, Ma | Apr 21, 2015 | 34 y | 0 |
| E•••••••• A•••• J••••••Certified Financial Planner | Woburn, Ma | Apr 21, 2015 | 30 y | 1 |
| R••••• J••• G•••••Certified Financial Planner | Woburn, Ma | Apr 21, 2015 | 30 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
- E•••••••• A•••• J•••••• from A••••••••• F•••••••• S•••••••• L••Apr 21, 2015 · Other
- R••••• J••• G••••• from A••••••••• F•••••••• S•••••••• L••Apr 21, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• R•••••• J••• · Managing Membercontrolsince 06/2012 · owns 25% to 50%
- J••••••• E••••••••• A•••• · Managing Member / Chief Compliance Officercontrolsince 06/2012 · owns 25% to 50%
- W•••••• K•••• J•• · Managing Membercontrolsince 06/2012 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| 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 · 1,033 to 1,050Oct 3, 2025 to Jan 23, 2026
- Charity clients · 2 to 3Oct 3, 2025 to Jan 23, 2026
- Corporate clients · 2 to 1Oct 3, 2025 to Jan 23, 2026
- HNW clients · 246 to 269Oct 3, 2025 to Jan 23, 2026
- Individual clients · 355 to 328Oct 3, 2025 to Jan 23, 2026
- Discretionary RAUM · $381M to $446MOct 3, 2025 to Jan 23, 2026
- HNW RAUM · $289M to $350MOct 3, 2025 to Jan 23, 2026
- Individual RAUM · $85.9M to $84.5MOct 3, 2025 to Jan 23, 2026
- Non-discretionary RAUM · $2.0M to $1.0MOct 3, 2025 to Jan 23, 2026
- RAUM · $383M to $447MOct 3, 2025 to Jan 23, 2026
- Financial planning clients · 1-10 to 1-10Feb 3, 2025 to Mar 21, 2025
- Accounts · 951 to 1,033Jun 5, 2024 to Feb 3, 2025
- Corporate clients · 3 to 2Jun 5, 2024 to Feb 3, 2025
- HNW clients · 213 to 246Jun 5, 2024 to Feb 3, 2025
- Individual clients · 344 to 355Jun 5, 2024 to Feb 3, 2025
- Discretionary RAUM · $314M to $381MJun 5, 2024 to Feb 3, 2025
- HNW RAUM · $225M to $289MJun 5, 2024 to Feb 3, 2025
- Individual RAUM · $81.3M to $85.9MJun 5, 2024 to Feb 3, 2025
- Non-discretionary RAUM · $0 to $2.0MJun 5, 2024 to Feb 3, 2025
- RAUM · $314M to $383MJun 5, 2024 to Feb 3, 2025
- Accounts · 910 to 951Jul 20, 2023 to Jan 22, 2024
- Charity clients · 1 to 2Jul 20, 2023 to Jan 22, 2024
- Corporate clients · 1 to 3Jul 20, 2023 to Jan 22, 2024
- HNW clients · 337 to 213Jul 20, 2023 to Jan 22, 2024
- Individual clients · 202 to 344Jul 20, 2023 to Jan 22, 2024
- Financial planning clients · 11-25 to 1-10Jul 20, 2023 to Jan 22, 2024
- Discretionary RAUM · $252M to $314MJul 20, 2023 to Jan 22, 2024
- HNW RAUM · $179M to $225MJul 20, 2023 to Jan 22, 2024
- Individual RAUM · $70.7M to $81.3MJul 20, 2023 to Jan 22, 2024
- RAUM · $252M to $314MJul 20, 2023 to Jan 22, 2024
- Wrap assets (manager) · $255M to $0Jan 12, 2023 to Jul 18, 2023
- Accounts · 866 to 910Jan 25, 2022 to Jan 12, 2023
- HNW clients · 195 to 337Jan 25, 2022 to Jan 12, 2023
- Individual clients · 330 to 202Jan 25, 2022 to Jan 12, 2023
- Financial planning clients · 1-10 to 11-25Jan 25, 2022 to Jan 12, 2023
- Discretionary RAUM · $270M to $252MJan 25, 2022 to Jan 12, 2023
- HNW RAUM · $191M to $179MJan 25, 2022 to Jan 12, 2023
- Individual RAUM · $75.8M to $70.7MJan 25, 2022 to Jan 12, 2023
- RAUM · $270M to $252MJan 25, 2022 to Jan 12, 2023
- Wrap assets (manager) · $270M to $255MJan 25, 2022 to Jan 12, 2023
Signals
1 dated events
- F••••••• P•••••• W••••• filed its initial SEC registration (Form ADV)Aug 17, 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
- Business phone
- 781-756-0035reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-756-0070reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-756-0080reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- F•••••••P••••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (781) 756-0090reportedpublic record, Form ADV, Aug 25, 2026
- Contact form
- flagshipprivatewealth.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- flagshipprivatewealth.com/our-teamreportedpublished 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
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026