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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Former SEC-registered adviser

M•••• W••••• M••••••••• L••

Former SEC-registered adviserWestwood, MassachusettsCRD 299943SEC 801-114748IAPD
Latest filing Jan 27, 2022
First filing on the tape Jan 28, 2019 · 17 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.1B as of Jan 27, 2022
Mar 4, 2020$635M then
HNW client RAUM$1.1B as of Jan 27, 2022
Mar 4, 2020$622M then
State-registered IARs (5.B.3)3 as of Jan 27, 2022
Mar 4, 20203 then
Employees (5.A)7 as of Jan 27, 2022
Mar 4, 20206 then
Private funds: no history
RAUM +37% over the last fiscal yearIARs 4 to 3
Practice profile
derived from the filing of Jan 27, 2022; every figure names its basis
RAUM per advisor
$372MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
53derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$8.8MderivedHNW RAUM over HNW clients
Average account
$1.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+37%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+35%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$1.1BreportedItem 5.I
Custody
$687M, 73 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.1B98%
  • Individuals$15.8M1.4%
  • Corporations and businesses$3.2M0.3%
Individual clients
34reported
HNW clients
125reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
639reported
Financial planning clients
26-50reported
Wrap fee programs
$25.8M sponsored, $0 managedreported
Custody of client assets
$687M for 73 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••••••• W••••••• J••• · Member, Managing Partner, Chief Operating Officer And Chief Compliance Officercontrol
      since 01/2019 · owns 10% to 25%
    • D••••••• P••••••• E••••• · Member / Managing Partnercontrol
      since 04/2019 · owns 10% to 25%
    • M•••••• B••••• P•••••• · Managing Member / Managing Partnercontrol
      since 04/2019 · 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
    • Accounts · 523 to 639
      Nov 2, 2021 to Jan 27, 2022
    • Advisory employees · 4 to 3
      Nov 2, 2021 to Jan 27, 2022
    • HNW clients · 94 to 125
      Nov 2, 2021 to Jan 27, 2022
    • Individual clients · 24 to 34
      Nov 2, 2021 to Jan 27, 2022
    • Assets in custody · $497M to $687M
      Nov 2, 2021 to Jan 27, 2022
    • State-registered IARs · 4 to 3
      Nov 2, 2021 to Jan 27, 2022
    • Discretionary RAUM · $811M to $1.1B
      Nov 2, 2021 to Jan 27, 2022
    • HNW RAUM · $803M to $1.1B
      Nov 2, 2021 to Jan 27, 2022
    • Individual RAUM · $9.8M to $15.8M
      Nov 2, 2021 to Jan 27, 2022
    • Non-discretionary RAUM · $4.7M to $5.9M
      Nov 2, 2021 to Jan 27, 2022
    • RAUM · $816M to $1.1B
      Nov 2, 2021 to Jan 27, 2022
    • Wrap assets (sponsor) · $18.3M to $25.8M
      Nov 2, 2021 to Jan 27, 2022
    • Accounts · 433 to 523
      Aug 5, 2020 to Feb 16, 2021
    • HNW clients · 76 to 94
      Aug 5, 2020 to Feb 16, 2021
    • Individual clients · 27 to 24
      Aug 5, 2020 to Feb 16, 2021
    • Assets in custody · $308M to $497M
      Aug 5, 2020 to Feb 16, 2021
    • Discretionary RAUM · $634M to $811M
      Aug 5, 2020 to Feb 16, 2021
    • HNW RAUM · $622M to $803M
      Aug 5, 2020 to Feb 16, 2021
    • Individual RAUM · $12.1M to $9.8M
      Aug 5, 2020 to Feb 16, 2021
    • Non-discretionary RAUM · $491,412 to $4.7M
      Aug 5, 2020 to Feb 16, 2021
    • RAUM · $635M to $816M
      Aug 5, 2020 to Feb 16, 2021
    • Wrap assets (sponsor) · $17.5M to $18.3M
      Aug 5, 2020 to Feb 16, 2021
    • Advisory employees · 3 to 4
      Jun 4, 2020 to Aug 5, 2020
    • Employees · 6 to 7
      Jun 4, 2020 to Aug 5, 2020
    • State-registered IARs · 3 to 4
      Jun 4, 2020 to Aug 5, 2020
    • Accounts · 275 to 433
      Nov 8, 2019 to Mar 4, 2020
    • Advisory employees · 4 to 3
      Nov 8, 2019 to Mar 4, 2020
    • HNW clients · 65 to 76
      Nov 8, 2019 to Mar 4, 2020
    • Individual clients · 5 to 27
      Nov 8, 2019 to Mar 4, 2020
    • Assets in custody · unset to 308086645.0
      Nov 8, 2019 to Mar 4, 2020
    • Custody of client assets · false to true
      Nov 8, 2019 to Mar 4, 2020
    • Financial planning clients · 0 to 26-50
      Nov 8, 2019 to Mar 4, 2020
    • State-registered IARs · 2 to 3
      Nov 8, 2019 to Mar 4, 2020
    • Discretionary RAUM · $393M to $634M
      Nov 8, 2019 to Mar 4, 2020
    • HNW RAUM · $389M to $622M
      Nov 8, 2019 to Mar 4, 2020
    • Individual RAUM · $4.1M to $12.1M
      Nov 8, 2019 to Mar 4, 2020
    • Non-discretionary RAUM · $0 to $491,412
      Nov 8, 2019 to Mar 4, 2020
    • RAUM · $393M to $635M
      Nov 8, 2019 to Mar 4, 2020
    • Wrap assets (sponsor) · $0 to $17.5M
      Nov 8, 2019 to Mar 4, 2020
    • Advisory employees · 2 to 4
      Jun 17, 2019 to Aug 7, 2019
    Signals
    10 dated events
    • B•••• P•••••• M••••• left M•••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2024-07-03)
      Sep 27, 2022 · Advisor changed firm · fact
    • J••• J••••• M••• left M•••• W••••• M••••••••• L•• for C••••••••• A••••••• (registered 2026-06-09)
      Sep 27, 2022 · Advisor changed firm · fact
    • P•••••• E••••• D•••••• left M•••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2024-01-09)
      Sep 27, 2022 · Advisor changed firm · fact
    • 2 advisors left M•••• W••••• M••••••••• L•• (Westwood, MA) for E• W••••• A••••••• on the same day
      Sep 27, 2022 · Team lift-out · derived
    • M•••• W••••• M••••••••• L•• reported RAUM $1.1B, up 37% from $815.6M (2021-11-02 to 2022-01-27)
      Jan 27, 2022 · RAUM change · derived
    • M•••• W••••• M••••••••• L•• reported RAUM $815.6M, up 29% from $634.6M (2020-08-05 to 2021-02-16)
      Feb 16, 2021 · RAUM change · derived
    • M•••• W••••• M••••••••• L•• reported RAUM $634.6M, up 61% from $393.1M (2019-11-08 to 2020-03-04)
      Mar 4, 2020 · RAUM change · derived
    • Patrick Brian Mulvey (Managing Member / Managing Partner) appeared on Schedule A of M•••• W••••• M••••••••• L••
      Apr 18, 2019 · Control person joined · fact
    • Eugene Patrick Donovan (Member / Managing Partner) appeared on Schedule A of M•••• W••••• M••••••••• L••
      Apr 18, 2019 · Control person joined · fact
    • M•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Jan 28, 2019 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026