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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Latest filing Mar 27, 2026
First filing on the tape Dec 20, 2023 · 7 filings
SEC status approved since Jan 19, 2024
RAUM
$114M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
98%
$111M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
1
1 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$114M as of Mar 27, 2026
Feb 21, 2024$133M then
HNW client RAUM$110M as of Mar 27, 2026
Feb 21, 2024$128M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Feb 21, 20241 then
Employees (5.A)1 as of Mar 27, 2026
Feb 21, 20241 then
Private funds: no history
RAUM +7.2% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.0MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $29.0M, 12 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
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$110M96%
- Pension and profit-sharing plans$2.3M2.0%
- Individuals$1.3M1.1%
- Charitable organizations$379,2650.3%
- Individual clients
- 8reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 84reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $29.0M for 12 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• D•••••• D••••••••Chartered Financial Analyst | Winchester, Ma | Aug 21, 2019 | 15 y | 1 |
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
- J••••••• D•••••• D•••••••• from B••••••••• P•••••••Aug 21, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• J•••••••• D•••••• · Principal And Ccocontrolsince 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 27, 2026custody of client assets (Item 9.A): no on the filing of 2025-07-14, yes on the filing of 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 68 to 84Jul 14, 2025 to Mar 27, 2026
- HNW clients · 7 to 10Jul 14, 2025 to Mar 27, 2026
- Assets in custody · $18.7M to $29.0MJul 14, 2025 to Mar 27, 2026
- Custody of client assets · false to trueJul 14, 2025 to Mar 27, 2026
- Discretionary RAUM · $81.9M to $89.5MJul 14, 2025 to Mar 27, 2026
- HNW RAUM · $103M to $110MJul 14, 2025 to Mar 27, 2026
- Individual RAUM · $1.3M to $1.3MJul 14, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $24.1M to $24.1MJul 14, 2025 to Mar 27, 2026
- Pension RAUM · $1.7M to $2.3MJul 14, 2025 to Mar 27, 2026
- RAUM · $106M to $114MJul 14, 2025 to Mar 27, 2026
- Financial planning clients · 11-25 to 11-25Mar 27, 2025 to Jul 14, 2025
- Accounts · 77 to 68Feb 27, 2024 to Mar 27, 2025
- HNW clients · 6 to 7Feb 27, 2024 to Mar 27, 2025
- Assets in custody · $35.6M to $18.7MFeb 27, 2024 to Mar 27, 2025
- HQ city · unset to Feb 27, 2024 to Mar 27, 2025
- HQ state · unset to Feb 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $48.4M to $81.9MFeb 27, 2024 to Mar 27, 2025
- HNW RAUM · $128M to $103MFeb 27, 2024 to Mar 27, 2025
- Individual RAUM · $1.2M to $1.3MFeb 27, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $84.4M to $24.1MFeb 27, 2024 to Mar 27, 2025
- Pension RAUM · $3.2M to $1.7MFeb 27, 2024 to Mar 27, 2025
- RAUM · $133M to $106MFeb 27, 2024 to Mar 27, 2025
- Accounts · 64 to 77Jan 22, 2024 to Feb 21, 2024
- HNW clients · 5 to 6Jan 22, 2024 to Feb 21, 2024
- Assets in custody · unset to 35617379.0Jan 22, 2024 to Feb 21, 2024
- Discretionary RAUM · $44.3M to $48.4MJan 22, 2024 to Feb 21, 2024
- HNW RAUM · $119M to $128MJan 22, 2024 to Feb 21, 2024
- Individual RAUM · $923,410 to $1.2MJan 22, 2024 to Feb 21, 2024
- Non-discretionary RAUM · $79.1M to $84.4MJan 22, 2024 to Feb 21, 2024
- Pension RAUM · $2.9M to $3.2MJan 22, 2024 to Feb 21, 2024
- RAUM · $123M to $133MJan 22, 2024 to Feb 21, 2024
Signals
1 dated events
- B••••••••• L•• filed its initial SEC registration (Form ADV)Dec 20, 2023 · 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
- Website
- broadwealthllc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-549-1990reportedpublic record, Form ADV, Mar 27, 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026