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.

Former SEC-registered adviser

Boston Harbor Wealth Advisors, LLC

Former SEC-registered adviserActon, MassachusettsCRD 282486SEC 801-108986IAPD
Latest filing Jun 14, 2018
First filing on the tape Jan 13, 2017 · 8 filings
RAUM
$380M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$371M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
32
23 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$380M as of Mar 23, 2018
Feb 16, 2017$128M then
HNW client RAUM: $149M
State-registered IARs (5.B.3)20 as of Mar 23, 2018
Feb 16, 20178 then
Employees (5.A)32 as of Mar 23, 2018
Feb 16, 201712 then
Private funds: no history
RAUM +196% over the last fiscal yearIARs 8 to 20
Practice profile
derived from the filing of Jun 14, 2018; every figure names its basis
RAUM per advisor
$19.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
51derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$189,485derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
2.5derived8 offices incl. principal (1.F.5)
RAUM growth, one year
+196%derivedbetween the last two annual amendments
Advisor growth, one year
+150%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$16.3MreportedItem 5.I
Custody
$1.8M, 5 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
  • Individuals$222M58%
  • High-net-worth individuals$149M39%
  • Pension and profit-sharing plans$4.9M1.3%
  • Corporations and businesses$1.6M0.4%
  • Charitable organizations$1.6M0.4%
  • State and municipal entities$530,3840.1%
Individual clients
937reported
HNW clients
77reported
Pension plan clients
2reported
Charitable clients
3reported
Accounts
2,005reported
Financial planning clients
1-10reported
Wrap fee programs
$16.3M sponsored, $0 managedreported
Custody of client assets
$1.8M for 5 clientsreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Alton Matthew Davis · Member, Principalcontrol
    since 12/2015 · owns 50% to 75%
  • David Ryan Hendrickson · Member, Principal And Chief Compliance Officercontrol
    since 12/2015 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Plainville, MA3 employees
  • Beverly, MA3 employees
  • Northborough, MA2 employees
  • Rockland, MA2 employees
  • Needham, MA1 employees
  • Mansfield, MA1 employees
  • Merrimack, NH1 employees
What changed
consecutive filings, newest first
  • Wrap assets (manager) · unset to 0.0
    Apr 13, 2018 to Jun 14, 2018
  • Wrap assets (sponsor) · unset to 16286904.0
    Apr 13, 2018 to Jun 14, 2018
  • Accounts · 520 to 2,005
    Sep 6, 2017 to Mar 23, 2018
  • Advisory employees · 16 to 23
    Sep 6, 2017 to Mar 23, 2018
  • Advisory activities · 4 to 5
    Sep 6, 2017 to Mar 23, 2018
  • BD registered reps · 12 to 23
    Sep 6, 2017 to Mar 23, 2018
  • Charity clients · unset to 3.0
    Sep 6, 2017 to Mar 23, 2018
  • Corporate clients · unset to 4.0
    Sep 6, 2017 to Mar 23, 2018
  • HNW clients · unset to 77.0
    Sep 6, 2017 to Mar 23, 2018
  • Individual clients · unset to 937.0
    Sep 6, 2017 to Mar 23, 2018
  • Pension plan clients · unset to 2.0
    Sep 6, 2017 to Mar 23, 2018
  • Pooled vehicle clients · unset to 0.0
    Sep 6, 2017 to Mar 23, 2018
  • Assets in custody · $0 to $1.8M
    Sep 6, 2017 to Mar 23, 2018
  • Employees · 22 to 32
    Sep 6, 2017 to Mar 23, 2018
  • Insurance-licensed employees · 16 to 13
    Sep 6, 2017 to Mar 23, 2018
  • Financial planning clients · 11-25 to 1-10
    Sep 6, 2017 to Mar 23, 2018
  • State-registered IARs · 16 to 20
    Sep 6, 2017 to Mar 23, 2018
  • Other offices · unset to 7.0
    Sep 6, 2017 to Mar 23, 2018
  • Discretionary RAUM · $128M to $374M
    Sep 6, 2017 to Mar 23, 2018
  • HNW RAUM · unset to 149140408.0
    Sep 6, 2017 to Mar 23, 2018
  • Individual RAUM · unset to 222051571.0
    Sep 6, 2017 to Mar 23, 2018
  • Non-discretionary RAUM · $0 to $5.5M
    Sep 6, 2017 to Mar 23, 2018
  • Pension RAUM · unset to 4943016.0
    Sep 6, 2017 to Mar 23, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Sep 6, 2017 to Mar 23, 2018
  • RAUM · $128M to $380M
    Sep 6, 2017 to Mar 23, 2018
  • Related adviser · true to false
    Sep 6, 2017 to Mar 23, 2018
  • Related broker-dealer · true to false
    Sep 6, 2017 to Mar 23, 2018
  • Advisory employees · 14 to 16
    May 15, 2017 to Sep 6, 2017
  • BD registered reps · 14 to 12
    May 15, 2017 to Sep 6, 2017
  • Employees · 19 to 22
    May 15, 2017 to Sep 6, 2017
  • Insurance-licensed employees · 6 to 16
    May 15, 2017 to Sep 6, 2017
  • State-registered IARs · 14 to 16
    May 15, 2017 to Sep 6, 2017
  • Advisory employees · 12 to 14
    Feb 24, 2017 to May 15, 2017
  • BD registered reps · 12 to 14
    Feb 24, 2017 to May 15, 2017
  • Employees · 17 to 19
    Feb 24, 2017 to May 15, 2017
  • State-registered IARs · 12 to 14
    Feb 24, 2017 to May 15, 2017
  • Advisory employees · 8 to 12
    Feb 16, 2017 to Feb 24, 2017
  • BD registered reps · 8 to 12
    Feb 16, 2017 to Feb 24, 2017
  • Employees · 12 to 17
    Feb 16, 2017 to Feb 24, 2017
  • Insurance-licensed employees · 8 to 6
    Feb 16, 2017 to Feb 24, 2017
Signals
3 dated events
  • 2 advisors left Raymond James Financial Services Advisors, Inc (Boston, MA) for Boston Harbor Wealth Advisors, LLC on the same day
    Jun 28, 2024 · Team lift-out · derived
  • Boston Harbor Wealth Advisors, Llc reported RAUM $379.9M, up 196% from $128.3M (2017-09-06 to 2018-03-23)
    Mar 23, 2018 · RAUM change · derived
  • Boston Harbor Wealth Advisors, Llc filed its initial SEC registration (Form ADV)
    Jan 13, 2017 · 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