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
S•••••••• C•••••• L••
Latest filing May 15, 2026
First filing on the tape Sep 19, 2018 · 7 filings
SEC status approved since Apr 8, 2026
RAUM
$102M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$102M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$33.8M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$102M as of May 15, 2026
Mar 12, 2019$20.7M then
HNW client RAUM$81.5M as of May 15, 2026
Mar 12, 2019$16.6M then
State-registered IARs (5.B.3)3 as of May 15, 2026
Mar 12, 20191 then
Employees (5.A)4 as of May 15, 2026
Mar 12, 20191 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 15, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $33.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $449,274derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 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, pension consultingreportedItem 5.G
- Custody
- $22.0M, 25 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$81.5M80%
- Individuals$20.0M20%
- Individual clients
- 57reported
- HNW clients
- 33reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 226reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $22.0M for 25 clientsreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• T• N•••• | Boston, Ma | Feb 11, 2019 | 16 y | 2 |
| C•••••• K••••••• B••••• | Boston, Ma | Oct 13, 2020 | 30 y | 1 |
| P•••••• R••••• D••••Chartered Financial Consultant | Boston, Ma | Feb 7, 2023 | 17 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
- P•••••• R••••• D•••• from I••••••••• W••••• C••••••• L••Feb 7, 2023 · RIA to RIA
- C•••••• K••••••• B••••• from A••••••• A•••• M••••••••• I•••Oct 13, 2020 · Other
- R••• T• N•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 11, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••• R•••• T• · Managing Member And Chief Compliance Officercontrolsince 07/2018 · 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 |
|---|---|---|---|---|---|
| Boston, Ma · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Individual clients · 10 to 57May 21, 2019 to Apr 24, 2026
- Assets in custody · unset to 22000000.0May 21, 2019 to Apr 24, 2026
- Custody of client assets · false to trueMay 21, 2019 to Apr 24, 2026
- Employees · 2 to 4May 21, 2019 to Apr 24, 2026
- Financial planning clients · 0 to 51-100May 21, 2019 to Apr 24, 2026
- State-registered IARs · 1 to 3May 21, 2019 to Apr 24, 2026
- Discretionary RAUM · $20.7M to $102MMay 21, 2019 to Apr 24, 2026
- HNW RAUM · $16.6M to $81.5MMay 21, 2019 to Apr 24, 2026
- Individual RAUM · $2.4M to $20.0MMay 21, 2019 to Apr 24, 2026
- RAUM · $20.7M to $102MMay 21, 2019 to Apr 24, 2026
- Accounts · 32 to 226May 21, 2019 to Apr 24, 2026
- Advisory employees · 1 to 3May 21, 2019 to Apr 24, 2026
- HNW clients · unset to 33.0May 21, 2019 to Apr 24, 2026
- Employees · 1 to 2Mar 12, 2019 to May 21, 2019
- Accounts · unset to 32.0Feb 1, 2019 to Mar 12, 2019
- Individual clients · unset to 10.0Feb 1, 2019 to Mar 12, 2019
- Employees · 3 to 1Feb 1, 2019 to Mar 12, 2019
- Discretionary RAUM · unset to 20675000.0Feb 1, 2019 to Mar 12, 2019
- HNW RAUM · unset to 16600000.0Feb 1, 2019 to Mar 12, 2019
- Individual RAUM · unset to 2350000.0Feb 1, 2019 to Mar 12, 2019
- Non-discretionary RAUM · unset to 0.0Feb 1, 2019 to Mar 12, 2019
- RAUM · unset to 20675000.0Feb 1, 2019 to Mar 12, 2019
Signals
1 dated events
- S•••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Sep 19, 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 phone
- 617-419-7133reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/40907254reportedpublic record, Form ADV, Sep 18, 2026
- Website
- sequentis-capital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (617) 419-7133reportedpublic record, Form ADV, May 15, 2026
- Team page
- sequentis-capital.com/our-peoplereportedpublished 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
- $33.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026