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
P•••••• • W••••• M••••••••• A•••••••
Legal name P•••••• • W••••• M••••••••• A•••••••• I•••
Latest filing May 6, 2026
First filing on the tape Jun 5, 2020 · 15 filings
SEC status approved since Jul 6, 2020
RAUM
$530M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
86%
$455M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$66.2M
derived; firm RAUM over IAPD count
Employees
13
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$530M as of May 6, 2026
Mar 5, 2021$128M then
HNW client RAUM$363M as of May 6, 2026
Mar 5, 2021$74.6M then
State-registered IARs (5.B.3)9 as of May 6, 2026
Mar 5, 20214 then
Employees (5.A)13 as of May 6, 2026
Mar 5, 20218 then
Private funds: no history
RAUM +17% over the last fiscal year+47% a year over threeIARs 9 to 9
Practice profile
derived from the filing of May 6, 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
- RAUM per advisor
- $66.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +48%derived
- Compensation
- percentage of assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$363M69%
- Individuals$92.2M17%
- Pension and profit-sharing plans$69.1M13%
- Charitable organizations$5.5M1.0%
- Individual clients
- 388reported
- HNW clients
- 105reported
- Pension plan clients
- 30reported
- Charitable clients
- n/areported
- Accounts
- 525reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• C•••• C••••• | Waltham, Ma | May 9, 2025 | 11 y | 1 |
| B•••• T••••• G••••••• | Waltham, Ma | Jan 28, 2026 | 14 y | 4 |
| J•••• M•••••• B•••Chartered Financial Analyst | Waltham, Ma | Jan 28, 2026 | 33 y | 1 |
| G••••• P••• W••• | Waltham, Ma | Feb 8, 2026 | 30 y | 2 |
| R••••• D•••• S•••••• | Waltham, Ma | Feb 19, 2026 | 21 y | 1 |
| T••••• E• W•••Certified Financial Planner | Waltham, Ma | May 4, 2026 | 43 y | 1 |
| N••• G••••• M•••••• | Waltham, Ma | Jun 1, 2026 | 37 y | 5 |
| C••••••••• A••••• R••Chartered Financial Analyst | Waltham, Ma | Jun 24, 2026 | 11 y | 0 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount2 left over 36 months
Left, latest
- C•••• O•••• B••••• to G•••••• I••••••••• P•••••••• L••May 11, 2026 · RIA to RIA
- A••• N••••••• to C•••• A••••••• I•••Jun 30, 2025 · RIA to RIA
Joined, latest
- T••••• E• W••• from D••••••••• A•••• M••••••••• I•••May 4, 2026 · Other
- R••••• D•••• S•••••• from D••••• E•••• C•••••• M••••••••• L••Feb 19, 2026 · Other
- C•••• O•••• B••••• from P••••• F••••• C•••••• L••Jan 28, 2026 · Other
- B•••• T••••• G••••••• from L•• F•••••••• L••Jan 19, 2021 · RIA to RIA
- G••••• P••• W••• from K••••• C•••••• A•••••••• L••Jul 11, 2020 · RIA to a newly registered adviser
- N••• G••••• M•••••• from K••••• C•••••• A•••••••• L••Jul 11, 2020 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from K••••• C•••••• A•••••••• L••Dec 8, 2020 · Waltham, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••• G•••••• P••• · President And Chief Compliance Officercontrolsince 06/2019 · 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 |
|---|---|---|---|---|---|
| Waltham, Ma · principal | 8 | 7 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 429 to 525Jan 23, 2026 to Apr 30, 2026
- Advisory employees · 5 to 9Jan 23, 2026 to Apr 30, 2026
- HNW clients · 101 to 105Jan 23, 2026 to Apr 30, 2026
- Individual clients · 232 to 388Jan 23, 2026 to Apr 30, 2026
- Pension plan clients · 38 to 30Jan 23, 2026 to Apr 30, 2026
- Employees · 9 to 13Jan 23, 2026 to Apr 30, 2026
- Discretionary RAUM · $434M to $512MJan 23, 2026 to Apr 30, 2026
- HNW RAUM · $315M to $363MJan 23, 2026 to Apr 30, 2026
- Individual RAUM · $75.7M to $92.2MJan 23, 2026 to Apr 30, 2026
- Non-discretionary RAUM · $18.5M to $18.0MJan 23, 2026 to Apr 30, 2026
- Pension RAUM · $56.1M to $69.1MJan 23, 2026 to Apr 30, 2026
- RAUM · $452M to $530MJan 23, 2026 to Apr 30, 2026
- Accounts · 398 to 429Oct 7, 2024 to Apr 29, 2025
- HNW clients · 73 to 101Oct 7, 2024 to Apr 29, 2025
- Individual clients · 283 to 232Oct 7, 2024 to Apr 29, 2025
- Employees · 8 to 9Oct 7, 2024 to Apr 29, 2025
- Financial planning clients · 0 to 251-500Oct 7, 2024 to Apr 29, 2025
- State-registered IARs · 5 to 9Oct 7, 2024 to Apr 29, 2025
- Discretionary RAUM · $301M to $434MOct 7, 2024 to Apr 29, 2025
- HNW RAUM · $195M to $315MOct 7, 2024 to Apr 29, 2025
- Individual RAUM · $52.2M to $75.7MOct 7, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $6,900 to $18.5MOct 7, 2024 to Apr 29, 2025
- Pension RAUM · $49.9M to $56.1MOct 7, 2024 to Apr 29, 2025
- RAUM · $301M to $452MOct 7, 2024 to Apr 29, 2025
- Accounts · 205 to 398Apr 28, 2023 to Mar 25, 2024
- HNW clients · 62 to 73Apr 28, 2023 to Mar 25, 2024
- Individual clients · 143 to 283Apr 28, 2023 to Mar 25, 2024
- Pension plan clients · unset to 38.0Apr 28, 2023 to Mar 25, 2024
- Discretionary RAUM · $172M to $301MApr 28, 2023 to Mar 25, 2024
- HNW RAUM · $135M to $195MApr 28, 2023 to Mar 25, 2024
- Individual RAUM · $36.3M to $52.2MApr 28, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $0 to $6,900Apr 28, 2023 to Mar 25, 2024
- Pension RAUM · unset to 49863123.0Apr 28, 2023 to Mar 25, 2024
- RAUM · $172M to $301MApr 28, 2023 to Mar 25, 2024
- Accounts · 215 to 205Jun 18, 2022 to Apr 28, 2023
- HNW clients · 55 to 62Jun 18, 2022 to Apr 28, 2023
- Individual clients · 160 to 143Jun 18, 2022 to Apr 28, 2023
- Discretionary RAUM · $165M to $172MJun 18, 2022 to Apr 28, 2023
- HNW RAUM · $89.0M to $135MJun 18, 2022 to Apr 28, 2023
- Individual RAUM · $75.3M to $36.3MJun 18, 2022 to Apr 28, 2023
Signals
6 dated events
- C•••• O•••• B••••• left P•••••• • W••••• M••••••••• A••••••• for G•••••• I••••••••• P•••••••• L•• (registered 2026-08-20)May 11, 2026 · Advisor changed firm · fact
- A••• N••••••• left P•••••• • W••••• M••••••••• A••••••• for C•••• A••••••• I••• (registered 2025-07-10)Jun 30, 2025 · Advisor changed firm · fact
- P•••••• • W••••• M••••••••• A••••••• reported RAUM $452.2M, up 50% from $301.3M (2024-10-07 to 2025-04-29)Apr 29, 2025 · RAUM change · derived
- P•••••• • W••••• M••••••••• A••••••• reported RAUM $301.3M, up 75% from $172.1M (2023-04-28 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- Alan Carter Simpson no longer registered at P•••••• • W••••• M••••••••• A•••••••; no later IA registration on IAPDMay 26, 2022 · Advisor departure · fact
- P•••••• • W••••• M••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jun 5, 2020 · 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
- Firm profile
- linkedin.com/company/pension-wealth-management-advisors/?viereportedpublic record, Form ADV, Sep 18, 2026
- Website
- pensionwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 781-810-0800reportedpublic record, Form ADV, May 6, 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
- $66.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026