DFX Intelligence

RIA Intelligence

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SEC-registered adviser

A•••••••• F•••••••• G••••

Independent wealth managerCRD 306644SEC 801-127444website IAPD

Legal name A•••••••• F•••••••• G••••• L••

Latest filing Mar 25, 2026

First filing on the tape Feb 8, 2023 · 8 filings

SEC status approved since Mar 13, 2023

RAUM

$77.6M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

98%

$76.0M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$77.6M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM$77.6M as of Mar 25, 2026

Mar 29, 2024$316M then

HNW client RAUM: $73.0M

State-registered IARs (5.B.3)1 as of Mar 25, 2026

Mar 29, 20241 then

Employees (5.A)1 as of Mar 25, 2026

Mar 29, 20241 then

Private funds1 as of Mar 25, 2026

Mar 29, 20241 then

RAUM +417% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Mar 25, 2026; every figure names its basis

Archetypes, each a printed rule

Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $77.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 27derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.6MderivedHNW RAUM over HNW clients
Average account: $705,455derivedRAUM 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: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +417%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 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$73.0M94%
Individuals$3.0M3.9%
Pooled investment vehicles$1.6M2.1%

Individual clients: 11reported
HNW clients: 16reported
Pension plan clients: 34reported
Charitable clients: n/areported
Accounts: 110reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.98 fund_share=0.02 institutional_share=0.0 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
D••••• L••••••• P•••••••	Exeter, Nh	Mar 26, 2026	34 y	3

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••••• L••••••• P••••••• from W•••• F•••• A•••••••
Apr 19, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)

Every departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
A•••••••• D•••••• C••••••• F•••• L•	Hedge Fund	$15.0M	20	Feb 8, 2023

Owners and control persons

Schedule A and B, latest filing

P•••••••• D•••••• L••••••• · Principal And Chief Compliance Officercontrol
since 01/2009 · 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

client mix shiftChange between filings · filing Mar 25, 2026
private-client share of RAUM moved from 0.0% to 98.0% between the annual amendments of 2025-03-06 and 2026-03-25
peers: independent wealth managers, under $100M (707)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 1 to 110
Mar 6, 2025 to Mar 25, 2026
HNW clients · unset to 16.0
Mar 6, 2025 to Mar 25, 2026
Individual clients · unset to 11.0
Mar 6, 2025 to Mar 25, 2026
Pension plan clients · 40 to 34
Mar 6, 2025 to Mar 25, 2026
Discretionary RAUM · $15.0M to $77.6M
Mar 6, 2025 to Mar 25, 2026
HNW RAUM · unset to 73000000.0
Mar 6, 2025 to Mar 25, 2026
Individual RAUM · unset to 3000000.0
Mar 6, 2025 to Mar 25, 2026
Pooled vehicle RAUM · $15.0M to $1.6M
Mar 6, 2025 to Mar 25, 2026
RAUM · $15.0M to $77.6M
Mar 6, 2025 to Mar 25, 2026
Accounts · 41 to 1
Nov 12, 2024 to Mar 6, 2025
Financial planning clients · unset to
Nov 12, 2024 to Mar 6, 2025
HQ city · unset to
Nov 12, 2024 to Mar 6, 2025
HQ state · unset to
Nov 12, 2024 to Mar 6, 2025
Non-discretionary RAUM · $301M to $0
Nov 12, 2024 to Mar 6, 2025
Pension RAUM · $301M to $0
Nov 12, 2024 to Mar 6, 2025
RAUM · $316M to $15.0M
Nov 12, 2024 to Mar 6, 2025
Accounts · 36 to 41
Dec 21, 2023 to Mar 29, 2024
Pension plan clients · 36 to 40
Dec 21, 2023 to Mar 29, 2024
Pooled vehicle clients · unset to 1.0
Dec 21, 2023 to Mar 29, 2024
Discretionary RAUM · $0 to $15.0M
Dec 21, 2023 to Mar 29, 2024
Non-discretionary RAUM · $285M to $301M
Dec 21, 2023 to Mar 29, 2024
Pension RAUM · $285M to $301M
Dec 21, 2023 to Mar 29, 2024
Pooled vehicle RAUM · unset to 15000000.0
Dec 21, 2023 to Mar 29, 2024
RAUM · $285M to $316M
Dec 21, 2023 to Mar 29, 2024
Accounts · 0 to 36
Apr 24, 2023 to Dec 21, 2023
Pension plan clients · unset to 36.0
Apr 24, 2023 to Dec 21, 2023
Non-discretionary RAUM · $0 to $285M
Apr 24, 2023 to Dec 21, 2023
Pension RAUM · unset to 285000000.0
Apr 24, 2023 to Dec 21, 2023
RAUM · $0 to $285M
Apr 24, 2023 to Dec 21, 2023
Business name · A•••••••• F•••••••• G••••• L•• to A•••••••• F•••••••• G••••
Feb 8, 2023 to Mar 10, 2023

Signals

2 dated events

A•••••••• F•••••••• G•••• reported RAUM $15.0M, down 95% from $315.7M (2024-11-12 to 2025-03-06)
Mar 6, 2025 · RAUM change · derived
A•••••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)
Feb 8, 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

Business email: d••@a••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 617-306-3159reportedpublished by the firm, firm site, Sep 16, 2026
Website: a••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: (617) 306-3159reportedpublic record, Form ADV, Mar 25, 2026
Contact form: a••••••.comreportedpublished 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: $77.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026