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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Former SEC-registered adviser
P••• F•••••••• S•••••••• I•••
Latest filing Feb 13, 2024
First filing on the tape Mar 25, 2021 · 9 filings
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$151M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$151M as of Feb 13, 2024
Feb 11, 2022$124M then
HNW client RAUM$112M as of Feb 13, 2024
Feb 11, 2022$93.2M then
State-registered IARs (5.B.3)1 as of Feb 13, 2024
Feb 11, 20221 then
Employees (5.A)2 as of Feb 13, 2024
Feb 11, 20222 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 13, 2024; every figure names its basis
- RAUM per advisor
- $151MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 183derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $289,517derivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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
- 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$112M74%
- Individuals$38.8M26%
- Individual clients
- 120reported
- HNW clients
- 63reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 520reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- K•••• M• O•••••• to W••••• E••••••••• A••••••• S•••••••• L••Oct 17, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- K•••• M• O•••••• from P••• F•••••••• S•••••••• I•••Feb 2, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O•••••• K••••• M•••••• · President & Chief Compliance Officercontrolsince 10/2010 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Northborough, Ma · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 523 to 520Feb 23, 2023 to Feb 13, 2024
- HNW clients · 49 to 63Feb 23, 2023 to Feb 13, 2024
- Discretionary RAUM · $126M to $151MFeb 23, 2023 to Feb 13, 2024
- HNW RAUM · $97.8M to $112MFeb 23, 2023 to Feb 13, 2024
- Individual RAUM · $28.0M to $38.8MFeb 23, 2023 to Feb 13, 2024
- RAUM · $126M to $151MFeb 23, 2023 to Feb 13, 2024
- HNW clients · 45 to 49Jan 5, 2023 to Feb 23, 2023
- Individual clients · 128 to 120Jan 5, 2023 to Feb 23, 2023
- Financial planning clients · 51-100 to 101-250Jan 5, 2023 to Feb 23, 2023
- Discretionary RAUM · $124M to $126MJan 5, 2023 to Feb 23, 2023
- HNW RAUM · $93.2M to $97.8MJan 5, 2023 to Feb 23, 2023
- Individual RAUM · $31.3M to $28.0MJan 5, 2023 to Feb 23, 2023
- RAUM · $124M to $126MJan 5, 2023 to Feb 23, 2023
- BD registered reps · 1 to 0Feb 11, 2022 to Jan 5, 2023
- Accounts · 483 to 523Feb 4, 2022 to Feb 11, 2022
- HNW clients · 44 to 45Feb 4, 2022 to Feb 11, 2022
- Individual clients · 127 to 128Feb 4, 2022 to Feb 11, 2022
- Financial planning clients · 101-250 to 51-100Feb 4, 2022 to Feb 11, 2022
- Discretionary RAUM · $119M to $124MFeb 4, 2022 to Feb 11, 2022
- HNW RAUM · $87.5M to $93.2MFeb 4, 2022 to Feb 11, 2022
- Individual RAUM · $31.4M to $31.3MFeb 4, 2022 to Feb 11, 2022
- RAUM · $119M to $124MFeb 4, 2022 to Feb 11, 2022
Signals
2 dated events
- K•••• M• O•••••• left P••• F•••••••• S•••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-07-09)Oct 17, 2024 · Advisor changed firm · fact
- P••• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Mar 25, 2021 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026