DFX Intelligence
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SEC-registered adviser
H••• P•••• W••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Oct 21, 2016 · 20 filings
SEC status approved since Jul 10, 2019
RAUM
$184M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
95%
$176M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$92.0M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$184M as of Mar 30, 2026
Mar 27, 2020$123M then
HNW client RAUM$160M as of Mar 30, 2026
Mar 27, 2020$115M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 27, 20202 then
Employees (5.A)5 as of Mar 30, 2026
Mar 27, 20203 then
Private funds: no history
RAUM +16% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $92.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $396,646derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- +12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$160M87%
- Individuals$16.1M8.7%
- Charitable organizations$8.4M4.6%
- Individual clients
- 89reported
- HNW clients
- 74reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 464reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| J•• M•••••• G•••••• | Duxbury, Ma | Jun 2, 2017 | 31 y | 1 |
| R•••••• K•••• M••••• | Duxbury, Ma | Jun 13, 2018 | 16 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
- R•••••• K•••• M••••• from S•••••••• A••••••• L••Jun 13, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- J•• M•••••• G•••••• from S•••••••• A••••••• L••Jun 2, 2017 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• D•••• W•••• · Membercontrolsince 03/2017 · owns less than 5%
- G••••••• J••• M•••••• · Principal And Chief Compliance Officercontrolsince 05/2017 · 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 |
|---|---|---|---|---|---|
| Duxbury, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 407 to 464Apr 11, 2025 to Mar 30, 2026
- HNW clients · 70 to 74Apr 11, 2025 to Mar 30, 2026
- Individual clients · 76 to 89Apr 11, 2025 to Mar 30, 2026
- Discretionary RAUM · $148M to $173MApr 11, 2025 to Mar 30, 2026
- HNW RAUM · $136M to $160MApr 11, 2025 to Mar 30, 2026
- Individual RAUM · $15.4M to $16.1MApr 11, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $11.0M to $10.6MApr 11, 2025 to Mar 30, 2026
- RAUM · $159M to $184MApr 11, 2025 to Mar 30, 2026
- Accounts · 349 to 407Mar 20, 2024 to Apr 11, 2025
- HNW clients · 71 to 70Mar 20, 2024 to Apr 11, 2025
- Individual clients · 42 to 76Mar 20, 2024 to Apr 11, 2025
- Employees · 4 to 5Mar 20, 2024 to Apr 11, 2025
- Financial planning clients · 11-25 to 11-25Mar 20, 2024 to Apr 11, 2025
- Discretionary RAUM · $124M to $148MMar 20, 2024 to Apr 11, 2025
- HNW RAUM · $116M to $136MMar 20, 2024 to Apr 11, 2025
- Individual RAUM · $8.2M to $15.4MMar 20, 2024 to Apr 11, 2025
- Non-discretionary RAUM · $6.5M to $11.0MMar 20, 2024 to Apr 11, 2025
- RAUM · $130M to $159MMar 20, 2024 to Apr 11, 2025
- Accounts · 282 to 349Nov 2, 2023 to Mar 20, 2024
- HNW clients · 40 to 71Nov 2, 2023 to Mar 20, 2024
- Individual clients · 38 to 42Nov 2, 2023 to Mar 20, 2024
- Assets in custody · 46476346.0 to unsetNov 2, 2023 to Mar 20, 2024
- Custody of client assets · true to falseNov 2, 2023 to Mar 20, 2024
- Other offices · 1 to 0Nov 2, 2023 to Mar 20, 2024
- Discretionary RAUM · $104M to $124MNov 2, 2023 to Mar 20, 2024
- HNW RAUM · $97.8M to $116MNov 2, 2023 to Mar 20, 2024
- Individual RAUM · $4.8M to $8.2MNov 2, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $3.9M to $6.5MNov 2, 2023 to Mar 20, 2024
- RAUM · $108M to $130MNov 2, 2023 to Mar 20, 2024
- Accounts · 235 to 282Mar 22, 2022 to Mar 21, 2023
- Advisory activities · 2 to 3Mar 22, 2022 to Mar 21, 2023
- HNW clients · 54 to 40Mar 22, 2022 to Mar 21, 2023
- Individual clients · 42 to 38Mar 22, 2022 to Mar 21, 2023
- Assets in custody · unset to 46476346.0Mar 22, 2022 to Mar 21, 2023
- Custody of client assets · false to trueMar 22, 2022 to Mar 21, 2023
- Discretionary RAUM · $223M to $104MMar 22, 2022 to Mar 21, 2023
- HNW RAUM · $209M to $97.8MMar 22, 2022 to Mar 21, 2023
- Individual RAUM · $7.3M to $4.8MMar 22, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $588,855 to $3.9MMar 22, 2022 to Mar 21, 2023
- RAUM · $223M to $108MMar 22, 2022 to Mar 21, 2023
Signals
2 dated events
- H••• P•••• W••••• M••••••••• L•• reported RAUM $108.2M, down 52% from $223.2M (2022-03-22 to 2023-03-21)Mar 21, 2023 · RAUM change · derived
- H••• P•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 21, 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 email
- jim@highpineswealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 617-463-9012reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 617-580-3141reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••P••••WEALTH.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (617) 580-3141reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- highpineswealth.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $92.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026