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•• W•••• A••••••• L••
Latest filing Apr 9, 2026
First filing on the tape Apr 27, 2018 · 27 filings
SEC status approved since May 25, 2018
RAUM
$885M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$877M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$442M
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
27 filings and snapshots on the tape
RAUM$885M as of Apr 9, 2026
Mar 11, 2019$194M then
HNW client RAUM$877M as of Apr 9, 2026
Mar 11, 2019$194M then
State-registered IARs (5.B.3)2 as of Apr 9, 2026
Mar 11, 20194 then
Employees (5.A)5 as of Apr 9, 2026
Mar 11, 20199 then
Private funds: no history
RAUM +22% over the last fiscal year+25% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Apr 9, 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
- $442MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.4MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.9%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
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, 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
- Custody
- $97.9M, 32 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$877M99%
- Pension and profit-sharing plans$6.9M0.8%
- Charitable organizations$1.1M0.1%
- Individual clients
- n/areported
- HNW clients
- 105reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 498reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $97.9M for 32 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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••• A• F••••••• | Hingham, Ma | Jul 30, 2018 | 17 y | 1 |
| C••••••••• D•••• C•••••Chartered Financial Analyst | Hingham, Ma | Sep 25, 2018 | 24 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- R••••• B•••• P••••• to T•••• S••••• C••••••Nov 4, 2025 · RIA to a newly registered adviser
Joined, latest
- J••• A• F••••••• from C••••••••• I••••••••• M••••••••• I•••Jul 30, 2018 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• C••••••••• D•••• · Partner, Chief Investment Officer, And Chief Compliance Officercontrolsince 08/2018 · owns less than 5%
- F•••••••• J•••• A• · Partnercontrolsince 07/2018 · owns less than 5%
- P•••••• R•••••• B•••• · Director Of Researchcontrolsince 12/2020 · owns less than 5%
- C•••••• C••••••••• D•••• · Member, Partner, Chief Investment Officer, And Chief Compliance Officercontrolsince 08/2018 · owns 25% to 50% of N•• W•••• A••••••• M••••••••• L••
- F•••••••• J•••• A• · Member And Partnercontrolsince 07/2018 · owns 25% to 50% of N•• W•••• A••••••• M••••••••• L••
Entity owners
- N•• W•••• A••••••• M••••••••• L•• · Memberdirect · owns 75% or more
- N•• W•••• F•••••••• H•••••••• L•• · Passive Minority Ownerdirect · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Hingham, Ma · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 448 to 498Nov 4, 2025 to Mar 5, 2026
- Advisory employees · 3 to 2Nov 4, 2025 to Mar 5, 2026
- HNW clients · 102 to 105Nov 4, 2025 to Mar 5, 2026
- Assets in custody · $73.4M to $97.9MNov 4, 2025 to Mar 5, 2026
- State-registered IARs · 3 to 2Nov 4, 2025 to Mar 5, 2026
- Discretionary RAUM · $716M to $878MNov 4, 2025 to Mar 5, 2026
- HNW RAUM · $716M to $877MNov 4, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $6.5M to $6.9MNov 4, 2025 to Mar 5, 2026
- Pension RAUM · $6.5M to $6.9MNov 4, 2025 to Mar 5, 2026
- RAUM · $723M to $885MNov 4, 2025 to Mar 5, 2026
- Financial planning clients · 11-25 to 11-25Mar 5, 2025 to May 15, 2025
- Accounts · 390 to 448Feb 22, 2024 to Mar 5, 2025
- HNW clients · 100 to 102Feb 22, 2024 to Mar 5, 2025
- Assets in custody · $62.7M to $73.4MFeb 22, 2024 to Mar 5, 2025
- Financial planning clients · 1-10 to 11-25Feb 22, 2024 to Mar 5, 2025
- Discretionary RAUM · $544M to $716MFeb 22, 2024 to Mar 5, 2025
- HNW RAUM · $544M to $716MFeb 22, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $4.9M to $6.5MFeb 22, 2024 to Mar 5, 2025
- Pension RAUM · $4.9M to $6.5MFeb 22, 2024 to Mar 5, 2025
- RAUM · $549M to $723MFeb 22, 2024 to Mar 5, 2025
- Accounts · 332 to 390Mar 6, 2023 to Feb 22, 2024
- HNW clients · 82 to 100Mar 6, 2023 to Feb 22, 2024
- Assets in custody · $36.1M to $62.7MMar 6, 2023 to Feb 22, 2024
- Discretionary RAUM · $448M to $544MMar 6, 2023 to Feb 22, 2024
- HNW RAUM · $448M to $544MMar 6, 2023 to Feb 22, 2024
- Non-discretionary RAUM · $4.8M to $4.9MMar 6, 2023 to Feb 22, 2024
- Pension RAUM · $4.8M to $4.9MMar 6, 2023 to Feb 22, 2024
- RAUM · $453M to $549MMar 6, 2023 to Feb 22, 2024
- Accounts · 298 to 332Sep 14, 2022 to Mar 6, 2023
- HNW clients · 71 to 82Sep 14, 2022 to Mar 6, 2023
- Assets in custody · $43.5M to $36.1MSep 14, 2022 to Mar 6, 2023
- Discretionary RAUM · $430M to $448MSep 14, 2022 to Mar 6, 2023
- HNW RAUM · $430M to $448MSep 14, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $5.2M to $4.8MSep 14, 2022 to Mar 6, 2023
- Pension RAUM · $5.2M to $4.8MSep 14, 2022 to Mar 6, 2023
- RAUM · $436M to $453MSep 14, 2022 to Mar 6, 2023
- Assets in custody · unset to 43502330.0Mar 4, 2022 to Jun 10, 2022
- Custody of client assets · false to trueMar 4, 2022 to Jun 10, 2022
- Accounts · 194 to 298Jun 3, 2021 to Mar 1, 2022
- BD registered reps · 2 to 0Jun 3, 2021 to Mar 1, 2022
Signals
11 dated events
- R••••• B•••• P••••• left N•• W•••• A••••••• L•• for T•••• S••••• C•••••• (registered 2026-02-11)Nov 4, 2025 · Advisor changed firm · fact
- N•• W•••• A••••••• L•• reported RAUM $722.8M, up 32% from $548.6M (2024-02-22 to 2025-03-05)Mar 5, 2025 · RAUM change · derived
- N•• W•••• A••••••• L•• reported RAUM $435.6M, up 44% from $303.6M (2021-06-03 to 2022-03-01)Mar 1, 2022 · RAUM change · derived
- Wright Frank Burr (Partner) no longer on Schedule A of N•• W•••• A••••••• L•• (listed 2021-03-09, absent 2021-03-12)Mar 12, 2021 · Control person left · inference
- B•••• R••••• P••••• (Director Of Research) appeared on Schedule A of N•• W•••• A••••••• L••Mar 12, 2021 · Control person joined · fact
- Warren William Neville (Managing Member - Chief Compliance Officer) no longer on Schedule A of N•• W•••• A••••••• L•• (listed 2020-08-07, absent 2021-03-09)Mar 9, 2021 · Control person left · inference
- Michael Andrew Shepard (Member - Partner) no longer on Schedule A of N•• W•••• A••••••• L•• (listed 2020-06-25, absent 2020-08-07)Aug 7, 2020 · Control person left · inference
- R••••• Arthur Oswald (Member - Partner) no longer on Schedule A of N•• W•••• A••••••• L•• (listed 2020-06-25, absent 2020-08-07)Aug 7, 2020 · Control person left · inference
- Francis John Steinmetz (Chairman) no longer on Schedule A of N•• W•••• A••••••• L•• (listed 2020-06-25, absent 2020-08-07)Aug 7, 2020 · Control person left · inference
- Richard Peter Gelb (Member - Chief Financial Officer) no longer on Schedule A of N•• W•••• A••••••• L•• (listed 2020-03-12, absent 2020-06-25)Jun 25, 2020 · Control person left · inference
- N•• W•••• A••••••• L•• filed its initial SEC registration (Form ADV)Apr 27, 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@newworldadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- alex.lee@newworldadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- frank.burr@newworldadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jacqueline.waite@newworldadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- krista.brown@newworldadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-749-6922reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/new-world-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- newworldadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 781-749-6922reportedpublic record, Form ADV, Apr 9, 2026
- Contact form
- newworldadvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- newworldadvisors.com/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
- $442Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026