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
P•••••• F••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jan 13, 2016 · 26 filings
SEC status approved since Jan 27, 2016
RAUM
$70.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$68.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$35.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$70.2M as of Mar 31, 2026
Mar 25, 2017$50,000 then
HNW client RAUM$0 as of Mar 31, 2026
Mar 27, 2018$0 then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 25, 20171 then
Employees (5.A)2 as of Mar 31, 2026
Mar 25, 20173 then
Private funds: no history
RAUM +41% over the last fiscal year+43% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $35.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 426derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $82,229derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +30%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 5.G
- 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
- Individuals$68.8M98%
- Pension and profit-sharing plans$1.4M2.0%
- Individual clients
- 852reported
- HNW clients
- 0reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 854reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| E••• A•••••••• K•••• | Wellesley, Ma | Aug 29, 2016 | 11 y | 1 |
| M•••••• J•••• M•••••••• | Wellesley, Ma | Oct 2, 2017 | 11 y | 2 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• E•••• A•••••••• · Principal, Financial Advisorcontrolsince 09/2015 · owns 50% to 75%
- M••••••••• M••••••• J•••• · Principal, Chief Compliance Officercontrolsince 09/2015 · owns 25% to 50%
- W••••• G••••• J••••• · Principalcontrolsince 09/2015 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Wellesley, Ma | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 658 to 854Apr 10, 2025 to Mar 31, 2026
- Individual clients · 655 to 852Apr 10, 2025 to Mar 31, 2026
- Pension plan clients · 0 to 2Apr 10, 2025 to Mar 31, 2026
- Discretionary RAUM · $49.6M to $70.2MApr 10, 2025 to Mar 31, 2026
- Individual RAUM · $46.9M to $68.8MApr 10, 2025 to Mar 31, 2026
- Pension RAUM · $2.7M to $1.4MApr 10, 2025 to Mar 31, 2026
- RAUM · $49.6M to $70.2MApr 10, 2025 to Mar 31, 2026
- Accounts · 510 to 658Dec 19, 2024 to Apr 10, 2025
- Individual clients · 507 to 655Dec 19, 2024 to Apr 10, 2025
- Financial planning clients · 0 to 0Dec 19, 2024 to Apr 10, 2025
- HQ city · unset to Dec 19, 2024 to Apr 10, 2025
- HQ state · unset to Dec 19, 2024 to Apr 10, 2025
- Discretionary RAUM · $34.4M to $49.6MDec 19, 2024 to Apr 10, 2025
- Individual RAUM · $31.9M to $46.9MDec 19, 2024 to Apr 10, 2025
- Pension RAUM · $2.5M to $2.7MDec 19, 2024 to Apr 10, 2025
- RAUM · $34.4M to $49.6MDec 19, 2024 to Apr 10, 2025
- Accounts · 327 to 510Mar 30, 2023 to Mar 30, 2024
- Individual clients · 324 to 507Mar 30, 2023 to Mar 30, 2024
- Discretionary RAUM · $24.0M to $34.4MMar 30, 2023 to Mar 30, 2024
- Individual RAUM · $22.2M to $31.9MMar 30, 2023 to Mar 30, 2024
- Pension RAUM · $1.8M to $2.5MMar 30, 2023 to Mar 30, 2024
- RAUM · $24.0M to $34.4MMar 30, 2023 to Mar 30, 2024
- Wrap assets (manager) · 0.0 to unsetMar 30, 2023 to Mar 30, 2024
- Wrap assets (sponsor) · 0.0 to unsetMar 30, 2023 to Mar 30, 2024
- Accounts · 278 to 327Oct 27, 2022 to Mar 30, 2023
- Individual clients · 276 to 324Oct 27, 2022 to Mar 30, 2023
- Pension plan clients · unset to 0.0Oct 27, 2022 to Mar 30, 2023
- Discretionary RAUM · $17.0M to $24.0MOct 27, 2022 to Mar 30, 2023
- Individual RAUM · $15.9M to $22.2MOct 27, 2022 to Mar 30, 2023
- Pension RAUM · $976,892 to $1.8MOct 27, 2022 to Mar 30, 2023
- RAUM · $17.0M to $24.0MOct 27, 2022 to Mar 30, 2023
- Business name · P•••••• P••••••••• L•• to P•••••• F••••••••• L••Mar 30, 2022 to Oct 27, 2022
- Accounts · 100 to 278Apr 15, 2021 to Mar 30, 2022
- Individual clients · 100 to 276Apr 15, 2021 to Mar 30, 2022
- Legal name · P•••••• P••••••••• L•• to P•••••• F••••••••• L••Apr 15, 2021 to Mar 30, 2022
- Discretionary RAUM · $5.0M to $17.0MApr 15, 2021 to Mar 30, 2022
- Individual RAUM · $4.1M to $15.9MApr 15, 2021 to Mar 30, 2022
- Pension RAUM · $885,923 to $976,892Apr 15, 2021 to Mar 30, 2022
- RAUM · $5.0M to $17.0MApr 15, 2021 to Mar 30, 2022
- Accounts · 55 to 100Nov 25, 2020 to Feb 17, 2021
Signals
1 dated events
- P•••••• F••••• filed its initial SEC registration (Form ADV)Jan 13, 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
- 708-880-7098reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/polaris-portfoliosreportedpublic record, Form ADV, Sep 18, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 7089960213reportedpublic record, Form ADV, Mar 31, 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
- $35.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026