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•••••• I•••
Latest filing Feb 20, 2026
First filing on the tape Mar 20, 2025 · 4 filings
SEC status approved since Apr 14, 2025
RAUM
$119M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$111M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$59.6M
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
4 filings and snapshots on the tape
RAUM$119M as of Feb 20, 2026
Mar 20, 2025$116M then
HNW client RAUM$28.7M as of Feb 20, 2026
Mar 20, 2025$56.2M then
State-registered IARs (5.B.3)3 as of Feb 20, 2026
Mar 20, 20252 then
Employees (5.A)4 as of Feb 20, 2026
Mar 20, 20253 then
Private funds: no history
RAUM +2.6% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Feb 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $59.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 159derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $957,000derivedHNW RAUM over HNW clients
- Average account
- $212,142derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +65%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$82.0M69%
- High-net-worth individuals$28.7M24%
- Pension and profit-sharing plans$8.4M7.0%
- Charitable organizations$80,0000.1%
- Individual clients
- 288reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 562reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 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 |
|---|---|---|---|---|
| D•••• Y••••••• R•••Certified Financial Planner | Natick, Ma | May 21, 2020 | 22 y | 2 |
| P••••• L• | Natick, Ma | Jun 21, 2022 | 14 y | 0 |
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
- D•••• Y••••••• R••• from M••••••• I••••••••• N•••••• I•••May 21, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• D••••• Y••••••• · Owner, Chief Compliance Officercontrolsince 01/2019 · 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 |
|---|---|---|---|---|---|
| Natick, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Feb 20, 2026individual and HNW clients (Item 5.D) moved from 193.0 to 318.0 (+65.0%) between the annual amendments of 2025-03-20 and 2026-02-20; the peer median change was +3.0% (3309 comparable advisers, 98.0th percentile of changes)peers: WEALTH_I•••••••••, $100M to $500M (3,309) · 98% percentile
- HNW share shiftChange between filings · filing Feb 20, 2026HNW share of RAUM moved from 48.0% to 24.0% between the annual amendments of 2025-03-20 and 2026-02-20peers: WEALTH_I•••••••••, $100M to $500M (5,678)
- custody status changedChange between filings · filing Feb 20, 2026custody of client assets (Item 9.A): yes on the filing of 2025-08-12, no on the filing of 2026-02-20peers: WEALTH_I•••••••••, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 468 to 562Aug 12, 2025 to Feb 20, 2026
- Advisory employees · 2 to 3Aug 12, 2025 to Feb 20, 2026
- HNW clients · 53 to 30Aug 12, 2025 to Feb 20, 2026
- Individual clients · 140 to 288Aug 12, 2025 to Feb 20, 2026
- Assets in custody · 107789639.0 to unsetAug 12, 2025 to Feb 20, 2026
- Custody of client assets · true to falseAug 12, 2025 to Feb 20, 2026
- Employees · 3 to 4Aug 12, 2025 to Feb 20, 2026
- State-registered IARs · 2 to 3Aug 12, 2025 to Feb 20, 2026
- Discretionary RAUM · $116M to $119MAug 12, 2025 to Feb 20, 2026
- HNW RAUM · $56.2M to $28.7MAug 12, 2025 to Feb 20, 2026
- Individual RAUM · $52.5M to $82.0MAug 12, 2025 to Feb 20, 2026
- Pension RAUM · $7.0M to $8.4MAug 12, 2025 to Feb 20, 2026
- RAUM · $116M to $119MAug 12, 2025 to Feb 20, 2026
- Financial planning clients · 1-10 to 1-10Mar 20, 2025 to Jun 11, 2025
Signals
No event on the tape.
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
- 508-655-1185reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 508-960-2169reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- r•••.coreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (508) 655-1185reportedpublic record, Form ADV, Feb 20, 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
- $59.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026