DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

F••••• P••••••• C••••••• L••

Independent wealth managerHamilton, MassachusettsCRD 304176SEC 801-134442websiteIAPD
Latest filing Mar 9, 2026
First filing on the tape Oct 14, 2025 · 2 filings
SEC status approved since Sep 29, 2025
RAUM
$92.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$90.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$46.1M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$92.3M as of Mar 9, 2026
Oct 14, 2025$102M then
HNW client RAUM$90.1M as of Mar 9, 2026
Oct 14, 2025$102M then
State-registered IARs (5.B.3)2 as of Mar 9, 2026
Oct 14, 20252 then
Employees (5.A)2 as of Mar 9, 2026
Oct 14, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 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
$46.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
80derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$563,164derivedHNW RAUM over HNW clients
Average account
$470,697derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 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 assetsreportedItem 5.E
Advisory activities
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$90.1M98%
  • Corporations and businesses$2.2M2.3%
Individual clients
0reported
HNW clients
160reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
196reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.98 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
J••••• J•••• C•••••Manchester, MaNov 1, 201926 y0
O••• J••• H•••••Hamilton, Ma Aug 6, 202512 y0
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• J•••••• J•••• · Managing Member & Chief Compliance Officercontrol
        since 05/2019 · owns 75% or more
      • C•••••• C•••••••• · Minority Owner
        since 03/2019 · owns less than 5%
      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 · 192 to 196
        Oct 14, 2025 to Mar 9, 2026
      • Corporate clients · 0 to 2
        Oct 14, 2025 to Mar 9, 2026
      • HNW clients · 157 to 160
        Oct 14, 2025 to Mar 9, 2026
      • Discretionary RAUM · $102M to $92.3M
        Oct 14, 2025 to Mar 9, 2026
      • HNW RAUM · $102M to $90.1M
        Oct 14, 2025 to Mar 9, 2026
      • RAUM · $102M to $92.3M
        Oct 14, 2025 to Mar 9, 2026
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      f•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      978-712-2990reportedpublic record, Form ADV, Mar 9, 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
      $46.1Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026