DFX Intelligence

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M•••••••• W••••• M•••••••••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $205M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-28 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $205M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: -16%
Private clients: 97%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-28 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 28 Mar 2026, RAUM $243M to $205M (-15.9%) on the Form ADV filed 28 Mar 2026, while advisors on the filing held at 1 and offices fell 1 to 0.

Every filed figure, and the identifiersCRD 313042 · SEC 801-120590 · 11 filingsShow

CRD 313042SEC 801-120590Legal name M•••••••• W••••• M••••••••• L••First filing on the tape Feb 22, 2021, latest Mar 28, 2026SEC status approved since Mar 24, 2021IAPD

RAUM

$205M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

97%

$199M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$205M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM +8.2% a year over three years · the tape starts Feb 22, 2021

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$205M as of Mar 28, 2026

Mar 29, 2022$148M then

HNW client RAUM$199M as of Mar 28, 2026

Mar 29, 2022$143M then

State-registered IARs (5.B.3)1 as of Mar 28, 2026

Mar 29, 20221 then

Employees (5.A)1 as of Mar 28, 2026

Mar 29, 20221 then

Private funds: no history

RAUM -16% over the last fiscal year+8.2% a year over threeIARs 1 to 1offices 1 to 0

Practice profile

derived from the filing of Mar 28, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $205MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $6.0MderivedHNW RAUM over HNW clients
Average account: $2.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: -16%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 assets, fixed feesreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

97% high-net-worth individuals, 2.7% charitable organizations

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$199M97%
Charitable organizations$5.5M2.7%

Individual clients: n/areported
HNW clients: 33reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 93reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 97% private clients, 0% pooled funds, 3% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
S• J••• M••••••••Certified Financial Planner, Chartered Financial Analyst	Andover, Ma	May 3, 2021	10 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M••••••••• S•• J••• · Managing Member/Chief Investment Officer/Chief Compliance Officercontrol
since 01/2021 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Andover, MA1 employee

What changed

consecutive filings, newest first

Accounts · 65 to 93
Mar 31, 2025 to Mar 28, 2026
HNW clients · 31 to 33
Mar 31, 2025 to Mar 28, 2026
Other offices · 1 to 0
Mar 31, 2025 to Mar 28, 2026
Discretionary RAUM · $243M to $205M
Mar 31, 2025 to Mar 28, 2026
HNW RAUM · $238M to $199M
Mar 31, 2025 to Mar 28, 2026

Full history · 36 changes

RAUM · $243M to $205M
Mar 31, 2025 to Mar 28, 2026
Accounts · 26 to 65
Mar 27, 2024 to Mar 31, 2025
HNW clients · 25 to 31
Mar 27, 2024 to Mar 31, 2025
Financial planning clients · 1-10 to 1-10
Mar 27, 2024 to Mar 31, 2025
HQ city · unset to
Mar 27, 2024 to Mar 31, 2025
HQ state · unset to
Mar 27, 2024 to Mar 31, 2025
Discretionary RAUM · $195M to $243M
Mar 27, 2024 to Mar 31, 2025
HNW RAUM · $190M to $238M
Mar 27, 2024 to Mar 31, 2025
RAUM · $195M to $243M
Mar 27, 2024 to Mar 31, 2025
Accounts · 32 to 26
Mar 17, 2023 to Mar 27, 2024
HNW clients · 13 to 25
Mar 17, 2023 to Mar 27, 2024
Discretionary RAUM · $162M to $195M
Mar 17, 2023 to Mar 27, 2024
HNW RAUM · $157M to $190M
Mar 17, 2023 to Mar 27, 2024
RAUM · $162M to $195M
Mar 17, 2023 to Mar 27, 2024
Accounts · 16 to 32
Dec 14, 2022 to Mar 17, 2023
HNW clients · 10 to 13
Dec 14, 2022 to Mar 17, 2023
Other offices · 0 to 1
Dec 14, 2022 to Mar 17, 2023
Discretionary RAUM · $148M to $162M
Dec 14, 2022 to Mar 17, 2023
HNW RAUM · $143M to $157M
Dec 14, 2022 to Mar 17, 2023
RAUM · $148M to $162M
Dec 14, 2022 to Mar 17, 2023
Accounts · 12 to 16
Jul 12, 2021 to Mar 29, 2022
HNW clients · 8 to 10
Jul 12, 2021 to Mar 29, 2022
Financial planning clients · 0 to 1-10
Jul 12, 2021 to Mar 29, 2022
Discretionary RAUM · $117M to $148M
Jul 12, 2021 to Mar 29, 2022
HNW RAUM · $117M to $143M
Jul 12, 2021 to Mar 29, 2022
RAUM · $117M to $148M
Jul 12, 2021 to Mar 29, 2022
Accounts · 0 to 12
Feb 22, 2021 to Jun 7, 2021
HNW clients · unset to 8.0
Feb 22, 2021 to Jun 7, 2021
Discretionary RAUM · $0 to $117M
Feb 22, 2021 to Jun 7, 2021
HNW RAUM · unset to 116824561.0
Feb 22, 2021 to Jun 7, 2021
RAUM · $0 to $117M
Feb 22, 2021 to Jun 7, 2021

Signals

2 dated events

••• Locked
Mar 28, 2026 · ria office closed · derived
••• Locked
Feb 22, 2021 · 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: ••• Lockedreportedpublic record, Form ADV, Mar 28, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 28, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $205Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026