DFX Intelligence

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B••••••••• F••••••••• L••

Independent wealth managerSEC-registered· Needham, Massachusettswebsite

Independent wealth manager, based in Needham, Massachusetts, reporting $128M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-07-13 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $128M
Advisors: 1
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +16%
Private clients: 100% of RAUM, $128M

Advisors (1)Advisor movement Where the RAUM sits

As of 2026-07-13 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +16% over the last fiscal year, to $128M.
2026-07-13
RAUM a year earlier $110MRAUM now $128M
4 published business contact points are on record, each with its source.
Contact points 4

Every filed figure, and the identifiersCRD 282401 · SEC 801-131321 · 14 filingsShow

CRD 282401SEC 801-131321First filing on the tape Dec 23, 2015, latest Jul 13, 2026SEC status approved since Oct 21, 2024IAPD

RAUM

$128M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$128M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$128M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM$128M as of Jul 13, 2026

Feb 25, 2025$110M then

HNW client RAUM$116M as of Jul 13, 2026

Feb 25, 2025$93.4M then

State-registered IARs (5.B.3)1 as of Jul 13, 2026

Feb 25, 20251 then

Employees (5.A)1 as of Jul 13, 2026

Feb 25, 20251 then

Private funds: no history

RAUM +16% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Jul 13, 2026; every figure names its basis

Archetypes, each a printed rule

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $128MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 62derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.0MderivedHNW RAUM over HNW clients
Average account: $454,995derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +16%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +0.0%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody: $88.8M, 45 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$116M91%
Individuals$12.0M9.4%

Individual clients: 23reported
HNW clients: 39reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 281reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: $88.8M for 45 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
D••••• A•••••• R•••••Certified Financial Planner	Needham, Ma	Apr 27, 2016	19 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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

R•••••• D•••••• A•••••• · Member, Founder, Principal And Chief Compliance Officercontrol
since 02/2016 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Accounts · 62 to 281
May 20, 2025 to Feb 2, 2026
HNW clients · 32 to 39
May 20, 2025 to Feb 2, 2026
Individual clients · 30 to 23
May 20, 2025 to Feb 2, 2026
Assets in custody · $74.0M to $88.8M
May 20, 2025 to Feb 2, 2026
Discretionary RAUM · $110M to $128M
May 20, 2025 to Feb 2, 2026
HNW RAUM · $93.4M to $116M
May 20, 2025 to Feb 2, 2026
Individual RAUM · $16.4M to $12.0M
May 20, 2025 to Feb 2, 2026
RAUM · $110M to $128M
May 20, 2025 to Feb 2, 2026
Financial planning clients · 51-100 to 51-100
Feb 25, 2025 to May 20, 2025
Accounts · 64 to 62
Oct 11, 2024 to Feb 25, 2025
HNW clients · 30 to 32
Oct 11, 2024 to Feb 25, 2025
Individual clients · 34 to 30
Oct 11, 2024 to Feb 25, 2025
Assets in custody · $45.8M to $74.0M
Oct 11, 2024 to Feb 25, 2025
Discretionary RAUM · $106M to $110M
Oct 11, 2024 to Feb 25, 2025
HNW RAUM · $89.1M to $93.4M
Oct 11, 2024 to Feb 25, 2025
Individual RAUM · $17.3M to $16.4M
Oct 11, 2024 to Feb 25, 2025
RAUM · $106M to $110M
Oct 11, 2024 to Feb 25, 2025
HQ city · unset to NEEDHAM
Sep 19, 2024 to Oct 11, 2024
HQ state · unset to MA
Sep 19, 2024 to Oct 11, 2024
Accounts · 0 to 64
May 9, 2016 to Sep 19, 2024
Advisory activities · 2 to 3
May 9, 2016 to Sep 19, 2024
HNW clients · unset to 30.0
May 9, 2016 to Sep 19, 2024
Individual clients · unset to 34.0
May 9, 2016 to Sep 19, 2024
Assets in custody · unset to 45793015.0
May 9, 2016 to Sep 19, 2024
Custody of client assets · false to true
May 9, 2016 to Sep 19, 2024
Financial planning clients · 0 to 51-100
May 9, 2016 to Sep 19, 2024
HQ city · BOSTON to unset
May 9, 2016 to Sep 19, 2024
HQ state · MA to unset
May 9, 2016 to Sep 19, 2024
Other offices · unset to 1.0
May 9, 2016 to Sep 19, 2024
Discretionary RAUM · $0 to $106M
May 9, 2016 to Sep 19, 2024
HNW RAUM · unset to 89147444.0
May 9, 2016 to Sep 19, 2024
Individual RAUM · unset to 17309565.0
May 9, 2016 to Sep 19, 2024
RAUM · $0 to $106M
May 9, 2016 to Sep 19, 2024
Business name · B••••••••• F•••••••• L•• to B••••••••• F••••••••• L••
Mar 3, 2016 to Apr 27, 2016
Legal name · B••••••••• F•••••••• L•• to B••••••••• F••••••••• L••
Mar 3, 2016 to Apr 27, 2016
HQ city · PEMBROKE to BOSTON
Dec 23, 2015 to Feb 26, 2016

Signals

1 dated events

••• Locked
Sep 19, 2024 · 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: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jul 13, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 13, 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: $128Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026