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
A•• F•••••••• S•••••••
Legal name A•• F•••••••• S••••••• L•••••• P•••••••••
Latest filing Mar 5, 2026
First filing on the tape Aug 27, 2020 · 14 filings
SEC status approved since Sep 25, 2020
RAUM
$166M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$164M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$55.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$166M as of Mar 5, 2026
Mar 31, 2021$186M then
HNW client RAUM$117M as of Mar 5, 2026
Mar 31, 2021$70.0M then
State-registered IARs (5.B.3)3 as of Mar 5, 2026
Mar 31, 20214 then
Employees (5.A)3 as of Mar 5, 2026
Mar 31, 20214 then
Private funds: no history
RAUM -27% over the last fiscal year-1.7% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 5, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $55.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $514,725derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -27%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $166MreportedItem 5.I
- Custody
- $28.4M, 31 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$117M70%
- Individuals$46.5M28%
- Corporations and businesses$1.8M1.1%
- Pension and profit-sharing plans$945,3840.6%
- Individual clients
- 46reported
- HNW clients
- 113reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 323reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $28.4M for 31 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• W•••••• M•••••••Certified Financial Planner | Hingham, Ma | Dec 15, 2020 | 44 y | 3 |
| B•••• M•••••• K••••• | Hingham, Ma | Jan 4, 2021 | 39 y | 4 |
| S•••• A•••• S••••• | Hingham, Ma | Jun 29, 2021 | 31 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
- S•••• A•••• S••••• from W•••• F•••• A•••••••Jun 29, 2021 · Wirehouse to independent RIA
- J••••• W•••••• M••••••• from W•••• F•••• A•••••••Dec 15, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B•••• M•••••• K••••• from W•••• F•••• A•••••••Dec 2, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Dec 17, 2020 · Hingham, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• B••••• M•••••• · Partner/Principal / Chief Compliance Officercontrolsince 08/2020 · owns less than 5%
- K•••••• B••••• M•••••• · Managing Partnercontrolsince 06/2020 · owns 75% or more of A•• G• L••
Entity owners
- A•• G• L•• · General Partnerdirect · 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 |
|---|---|---|---|---|---|
| Hingham, Ma · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 5, 2026RAUM (Item 5.F) moved from $229,162,602 to $166,256,181 (-27.0%) between the annual amendments of 2025-02-13 and 2026-03-05; the peer median change was +15.0% (4550 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 1.5% percentile
What changed
consecutive filings, newest first
- Accounts · 442 to 323Feb 13, 2025 to Mar 5, 2026
- Advisory employees · 4 to 3Feb 13, 2025 to Mar 5, 2026
- Corporate clients · 5.0 to unsetFeb 13, 2025 to Mar 5, 2026
- HNW clients · 67 to 113Feb 13, 2025 to Mar 5, 2026
- Individual clients · 96 to 46Feb 13, 2025 to Mar 5, 2026
- Assets in custody · $40.7M to $28.4MFeb 13, 2025 to Mar 5, 2026
- Employees · 4 to 3Feb 13, 2025 to Mar 5, 2026
- State-registered IARs · 4 to 3Feb 13, 2025 to Mar 5, 2026
- Discretionary RAUM · $228M to $166MFeb 13, 2025 to Mar 5, 2026
- HNW RAUM · $154M to $117MFeb 13, 2025 to Mar 5, 2026
- Individual RAUM · $64.0M to $46.5MFeb 13, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $1.3M to $0Feb 13, 2025 to Mar 5, 2026
- Pension RAUM · $4.9M to $945,384Feb 13, 2025 to Mar 5, 2026
- RAUM · $229M to $166MFeb 13, 2025 to Mar 5, 2026
- Accounts · 414 to 442Feb 23, 2024 to Feb 13, 2025
- HNW clients · 120 to 67Feb 23, 2024 to Feb 13, 2025
- Individual clients · 45 to 96Feb 23, 2024 to Feb 13, 2025
- Assets in custody · $131M to $40.7MFeb 23, 2024 to Feb 13, 2025
- Financial planning clients · 101-250 to 51-100Feb 23, 2024 to Feb 13, 2025
- Discretionary RAUM · $212M to $228MFeb 23, 2024 to Feb 13, 2025
- HNW RAUM · $111M to $154MFeb 23, 2024 to Feb 13, 2025
- Individual RAUM · $93.4M to $64.0MFeb 23, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $1.7M to $1.3MFeb 23, 2024 to Feb 13, 2025
- Pension RAUM · $2.2M to $4.9MFeb 23, 2024 to Feb 13, 2025
- RAUM · $213M to $229MFeb 23, 2024 to Feb 13, 2025
- Accounts · 392 to 414Mar 23, 2023 to Feb 23, 2024
- Corporate clients · unset to 5.0Mar 23, 2023 to Feb 23, 2024
- HNW clients · 58 to 120Mar 23, 2023 to Feb 23, 2024
- Individual clients · 79 to 45Mar 23, 2023 to Feb 23, 2024
- Assets in custody · $110M to $131MMar 23, 2023 to Feb 23, 2024
- Other offices · 1 to 0Mar 23, 2023 to Feb 23, 2024
- Discretionary RAUM · $164M to $212MMar 23, 2023 to Feb 23, 2024
- HNW RAUM · $142M to $111MMar 23, 2023 to Feb 23, 2024
- Individual RAUM · $27.0M to $93.4MMar 23, 2023 to Feb 23, 2024
- Non-discretionary RAUM · $11.0M to $1.7MMar 23, 2023 to Feb 23, 2024
- Pension RAUM · $3.0M to $2.2MMar 23, 2023 to Feb 23, 2024
- RAUM · $175M to $213MMar 23, 2023 to Feb 23, 2024
- Other offices · 0 to 1Feb 24, 2023 to Mar 23, 2023
- Accounts · 380 to 392Feb 9, 2022 to Feb 24, 2023
- Corporate clients · 5.0 to unsetFeb 9, 2022 to Feb 24, 2023
Signals
1 dated events
- A•• F•••••••• S••••••• filed its initial SEC registration (Form ADV)Aug 27, 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
- Business phone
- 781-741-2540reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 781-741-2541reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-741-2540reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (781) 741-2540reportedpublic record, Form ADV, Mar 5, 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
- $55.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026