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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
F••••• I•••
Latest filing Jul 8, 2026
First filing on the tape Jan 18, 2018 · 46 filings
SEC status approved since Feb 19, 2018
RAUM
$308M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$308M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$44.1M
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$308M as of Jul 8, 2026
Feb 22, 2019$104M then
HNW client RAUM$137M as of Jul 8, 2026
Feb 22, 2019$11.1M then
State-registered IARs (5.B.3)7 as of Jul 8, 2026
Feb 22, 20196 then
Employees (5.A)10 as of Jul 8, 2026
Feb 22, 20196 then
Private funds: no history
RAUM +19% over the last fiscal year+17% a year over threeIARs 5 to 7
Practice profile
derived from the filing of Jul 8, 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
- RAUM per advisor
- $44.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $238,538derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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
- Individuals$172M56%
- High-net-worth individuals$137M44%
- Individual clients
- 610reported
- HNW clients
- 73reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,293reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• C•••••• J•••••Chartered Financial Consultant | Westborough, Ma | Mar 14, 2018 | 39 y | 1 |
| K•••• E•••••••• M•••• | Westborough, Ma | Mar 19, 2018 | 14 y | 1 |
| S••••• C•••• J••••••Chartered Financial Consultant | Westborough, Ma | Mar 19, 2018 | 37 y | 1 |
| J••••• F•••••• W••••••••Chartered Financial Consultant | Westborough, Ma | Mar 19, 2018 | 35 y | 1 |
| F•••••••• M••• L•••Chartered Financial Consultant | Westborough, Ma | Mar 19, 2018 | 33 y | 1 |
| J••• R••• | Westborough, Ma | May 15, 2025 | 11 y | 0 |
| E••• F•••••••• | Westborough, Ma | Jun 9, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- D••••••• D••• to C••••• I••••••••• A••••••• L••Jun 7, 2022 · RIA to affiliated broker-dealer or bank
- J••••• A•••••• G••••••• to C••••• I••••••••• A••••••• L••Jan 11, 2022 · RIA to affiliated broker-dealer or bank
- R••• L• C•••••• to M••••••• F•••••••• A•••••••• L••Jun 30, 2021 · RIA to RIA
- M•••••• E••••• C••••• to E•••••• C•••••• M••••••••• L••Dec 6, 2019 · RIA to RIA
- C••••••••• S•••• to C••••••• S••••••••• I•••Jun 4, 2019 · RIA to affiliated broker-dealer or bank
- K••••• P•••••• L••••• to K••••• A••••••• S•••••••• L••Jan 17, 2019 · RIA to affiliated broker-dealer or bank
- H•••••• D••••• K•••• to S•••••••• S•••••••••Oct 10, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- E••• F•••••••• from K••••• F••••••••Jun 9, 2026 · RIA to RIA
- D••••••• D••• from C••••••••• F•••••••• N••••••Aug 31, 2021 · Affiliated broker-dealer or bank to independent RIA
- R••• L• C•••••• from P•••••• C•••••• M••••••••• I••Jan 30, 2020 · RIA to RIA
- M•••••• E••••• C••••• from T• A••••••••• I••••••••• M••••••••• L••Aug 15, 2019 · RIA to RIA
- J••••• A•••••• G••••••• from V••• F•••••••• A•••••••• I•••Apr 8, 2019 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• S•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 26, 2019 · Wirehouse to independent RIA
- J••••• F•••••• W•••••••• from S••••••• I••••••••• I•••Mar 19, 2018 · Other
- F•••••••• M••• L••• from S••••••• I••••••••• I•••Mar 19, 2018 · Other
- K•••• E•••••••• M•••• from S••••••• I••••••••• I•••Mar 19, 2018 · Other
- H•••••• D••••• K•••• from S••••••• I••••••••• I•••Mar 19, 2018 · Other
- S••••• C•••• J•••••• from S••••••• I••••••••• I•••Mar 19, 2018 · Other
- E••• C•••••• J••••• from S••••••• I••••••••• I•••Mar 14, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from S••••••• I••••••••• I•••Mar 14, 2018 · Westborough, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••• E•••• C•••••• · Founder, President, Chief Investment Officer And Chief Compliance Officercontrolsince 03/2018 · owns 50% to 75%
- J••••••• S•••••• C•••• · Principalcontrolsince 03/2018 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Westborough, Ma · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 8 to 9Mar 5, 2026 to Jun 12, 2026
- Employees · 8 to 10Mar 5, 2026 to Jun 12, 2026
- State-registered IARs · 6 to 7Mar 5, 2026 to Jun 12, 2026
- Accounts · 1,223 to 1,293May 30, 2025 to Mar 5, 2026
- HNW clients · 67 to 73May 30, 2025 to Mar 5, 2026
- Individual clients · 606 to 610May 30, 2025 to Mar 5, 2026
- Financial planning clients · 26-50 to 51-100May 30, 2025 to Mar 5, 2026
- Discretionary RAUM · $237M to $285MMay 30, 2025 to Mar 5, 2026
- HNW RAUM · $109M to $137MMay 30, 2025 to Mar 5, 2026
- Individual RAUM · $149M to $172MMay 30, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $20.8M to $23.0MMay 30, 2025 to Mar 5, 2026
- RAUM · $258M to $308MMay 30, 2025 to Mar 5, 2026
- Advisory employees · 7 to 8Apr 14, 2025 to May 30, 2025
- Employees · 7 to 8Apr 14, 2025 to May 30, 2025
- Financial planning clients · 26-50 to 26-50Apr 14, 2025 to May 30, 2025
- State-registered IARs · 5 to 6Apr 14, 2025 to May 30, 2025
- Accounts · 1,177 to 1,223Feb 29, 2024 to Feb 27, 2025
- Advisory employees · 8 to 7Feb 29, 2024 to Feb 27, 2025
- HNW clients · 53 to 67Feb 29, 2024 to Feb 27, 2025
- Individual clients · 586 to 606Feb 29, 2024 to Feb 27, 2025
- Employees · 8 to 7Feb 29, 2024 to Feb 27, 2025
- State-registered IARs · 6 to 5Feb 29, 2024 to Feb 27, 2025
- Discretionary RAUM · $192M to $237MFeb 29, 2024 to Feb 27, 2025
- HNW RAUM · $82.3M to $109MFeb 29, 2024 to Feb 27, 2025
- Individual RAUM · $134M to $149MFeb 29, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $23.7M to $20.8MFeb 29, 2024 to Feb 27, 2025
- RAUM · $216M to $258MFeb 29, 2024 to Feb 27, 2025
- Accounts · 1,044 to 1,177Mar 13, 2023 to Feb 29, 2024
- HNW clients · 33 to 53Mar 13, 2023 to Feb 29, 2024
- Individual clients · 611 to 586Mar 13, 2023 to Feb 29, 2024
- Financial planning clients · 51-100 to 26-50Mar 13, 2023 to Feb 29, 2024
- Discretionary RAUM · $171M to $192MMar 13, 2023 to Feb 29, 2024
- HNW RAUM · $43.9M to $82.3MMar 13, 2023 to Feb 29, 2024
- Individual RAUM · $147M to $134MMar 13, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $19.4M to $23.7MMar 13, 2023 to Feb 29, 2024
- RAUM · $191M to $216MMar 13, 2023 to Feb 29, 2024
- Accounts · 1,010 to 1,044Feb 9, 2023 to Mar 13, 2023
- HNW clients · 35 to 33Feb 9, 2023 to Mar 13, 2023
- Individual clients · 564 to 611Feb 9, 2023 to Mar 13, 2023
- Discretionary RAUM · $202M to $171MFeb 9, 2023 to Mar 13, 2023
Signals
4 dated events
- D••••••• D••• left F••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-03-21)Jun 7, 2022 · Advisor changed firm · fact
- J••••• A•••••• G••••••• left F••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-03-21)Jan 11, 2022 · Advisor changed firm · fact
- S•••••••• A•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 14, 2018 · Succession (Item 4) · fact
- S•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jan 18, 2018 · 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
- info@finivi.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 508-870-0440reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 508-898-3097reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H••••://WWW.F•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (508) 870-0440reportedpublic record, Form ADV, Jul 8, 2026
- Contact form
- finivi.com/contact-finivi-financial-advisorsreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- finivi.com/who-we-are/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $44.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026