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

R••••••••• W••••• A•••••••• L••

Independent wealth managerNewton, MassachusettsCRD 300007SEC 801-135725websiteIAPD
Latest filing Apr 15, 2026
First filing on the tape Dec 24, 2018 · 9 filings
SEC status approved since Mar 30, 2026
RAUM
$110M
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
100%
$110M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$54.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$110M as of Apr 15, 2026
Feb 27, 2026$110M then
HNW client RAUM$90.6M as of Apr 15, 2026
Feb 27, 2026$90.6M then
State-registered IARs (5.B.3)2 as of Apr 15, 2026
Feb 27, 20262 then
Employees (5.A)2 as of Apr 15, 2026
Feb 27, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 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
$54.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$239,428derivedRAUM over accounts (5.F.2.f)
Discretionary
70%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$16.5M, 57 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$90.6M82%
  • Individuals$19.3M18%
Individual clients
54reported
HNW clients
39reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
459reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$16.5M for 57 clientsreported
Compensation
% of AUM, fixedreported
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
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
L••••• S•••••• L•••••••Newton, MaFeb 13, 201927 y3
J••••••• H••••• L•••Certified Financial PlannerNewton, MaFeb 13, 201930 y4
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L•••••••• L•••••• S•••••• · Managing Member / Principal / Chief Compliance Officercontrol
      since 12/2018 · owns 50% to 75%
    • L•••• J•••••••• H••••• · Managing Member / Principalcontrol
      since 12/2018 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Newton, Ma · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 26 to 459
      Oct 22, 2019 to Feb 27, 2026
    • HNW clients · 6 to 39
      Oct 22, 2019 to Feb 27, 2026
    • Individual clients · unset to 54.0
      Oct 22, 2019 to Feb 27, 2026
    • Assets in custody · unset to 16452031.0
      Oct 22, 2019 to Feb 27, 2026
    • Custody of client assets · false to true
      Oct 22, 2019 to Feb 27, 2026
    • Financial planning clients · 0 to 51-100
      Oct 22, 2019 to Feb 27, 2026
    • Discretionary RAUM · $4.4M to $76.7M
      Oct 22, 2019 to Feb 27, 2026
    • HNW RAUM · $3.4M to $90.6M
      Oct 22, 2019 to Feb 27, 2026
    • Individual RAUM · $1.0M to $19.3M
      Oct 22, 2019 to Feb 27, 2026
    • Non-discretionary RAUM · $0 to $33.2M
      Oct 22, 2019 to Feb 27, 2026
    • RAUM · $4.4M to $110M
      Oct 22, 2019 to Feb 27, 2026
    • Accounts · 0 to 26
      Feb 25, 2019 to Jun 10, 2019
    • HNW clients · unset to 6.0
      Feb 25, 2019 to Jun 10, 2019
    • Insurance-licensed employees · 2 to 0
      Feb 25, 2019 to Jun 10, 2019
    • Discretionary RAUM · $0 to $4.4M
      Feb 25, 2019 to Jun 10, 2019
    • HNW RAUM · unset to 3400000.0
      Feb 25, 2019 to Jun 10, 2019
    • Individual RAUM · unset to 1043000.0
      Feb 25, 2019 to Jun 10, 2019
    • RAUM · $0 to $4.4M
      Feb 25, 2019 to Jun 10, 2019
    • HQ city · unset to NEWTON
      Dec 24, 2018 to Jan 4, 2019
    • HQ state · unset to MA
      Dec 24, 2018 to Jan 4, 2019
    Signals
    1 dated events
    • R••••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Dec 24, 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@rw-advisors.comreportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    508-507-1446reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    617-663-5595reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    617-977-5793reportedpublished by the firm, firm site, Sep 16, 2026
    Firm profile
    linkedin.com/company/rw-advisorsreportedpublic record, Form ADV, Sep 18, 2026
    Website
    rw-advisors.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    (617) 663-5595reportedpublic record, Form ADV, Apr 15, 2026
    Contact form
    rw-advisors.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
    Team page
    rw-advisors.com/our-teamreportedpublished 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
    $54.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026