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
N•••••• I••••••••• M••••••••• L••
Latest filing Jan 23, 2026
First filing on the tape Aug 21, 2024 · 6 filings
SEC status approved since Sep 20, 2024
RAUM
$164M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$158M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$164M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$164M as of Jan 23, 2026
Feb 3, 2025$144M then
HNW client RAUM$155M as of Jan 23, 2026
Feb 3, 2025$132M then
State-registered IARs (5.B.3)1 as of Jan 23, 2026
Feb 3, 20251 then
Employees (5.A)1 as of Jan 23, 2026
Feb 3, 20251 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 23, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $15.5MderivedHNW RAUM over HNW clients
- Average account
- $4.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $117M, 6 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$155M94%
- Charitable organizations$5.8M3.5%
- Individuals$3.7M2.3%
- Individual clients
- n/areported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 38reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $117M for 6 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| C•••••••• A••• S••••Chartered Financial Analyst | Wellesley, Ma | Apr 27, 2016 | 10 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• C••••••••• A••• · Managing Member/Chief Compliance Officercontrolsince 03/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW clients · 11 to 10Feb 3, 2025 to Jan 23, 2026
- Assets in custody · $94.9M to $117MFeb 3, 2025 to Jan 23, 2026
- Discretionary RAUM · $144M to $164MFeb 3, 2025 to Jan 23, 2026
- HNW RAUM · $132M to $155MFeb 3, 2025 to Jan 23, 2026
- Individual RAUM · $5.9M to $3.7MFeb 3, 2025 to Jan 23, 2026
- RAUM · $144M to $164MFeb 3, 2025 to Jan 23, 2026
- Accounts · 34 to 38Sep 23, 2024 to Feb 3, 2025
- Assets in custody · $79.9M to $94.9MSep 23, 2024 to Feb 3, 2025
- Financial planning clients · unset to Sep 23, 2024 to Feb 3, 2025
- Discretionary RAUM · $130M to $144MSep 23, 2024 to Feb 3, 2025
- HNW RAUM · $123M to $132MSep 23, 2024 to Feb 3, 2025
- Individual RAUM · $1.6M to $5.9MSep 23, 2024 to Feb 3, 2025
- RAUM · $130M to $144MSep 23, 2024 to Feb 3, 2025
Signals
1 dated events
- N•••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 21, 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
- 781-237-2700reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- N••••••INVEST.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 781-237-2700reportedpublic record, Form ADV, Jan 23, 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
- $164Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026