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
F•• W••••• M••••••••• L••
Latest filing Feb 27, 2026
First filing on the tape Feb 26, 2021 · 12 filings
SEC status approved since Mar 31, 2021
RAUM
$174M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$170M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$174M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$174M as of Feb 27, 2026
Mar 9, 2022$157M then
HNW client RAUM$131M as of Feb 27, 2026
Mar 9, 2022$125M then
State-registered IARs (5.B.3)1 as of Feb 27, 2026
Mar 9, 20221 then
Employees (5.A)2 as of Feb 27, 2026
Mar 9, 20222 then
Private funds: no history
RAUM +11% over the last fiscal year+10% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 27, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $174MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 144derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $400,011derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $82.1M, 39 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$131M75%
- Individuals$39.3M23%
- Corporations and businesses$3.7M2.1%
- Individual clients
- 92reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 435reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $82.1M for 39 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 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 |
|---|---|---|---|---|
| J•••• M••• M•••••Certified Financial Planner | Duxbury, Ma | Mar 31, 2021 | 50 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
- J•••• M••• M••••• from F•• W••••• M••••••••• L••Mar 31, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• J••••• M••• · Managing Member And Chief Compliance Officercontrolsince 02/2021 · 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.
What changed
consecutive filings, newest first
- Accounts · 429 to 435Jan 31, 2025 to Feb 27, 2026
- HNW clients · 49 to 52Jan 31, 2025 to Feb 27, 2026
- Individual clients · 90 to 92Jan 31, 2025 to Feb 27, 2026
- Assets in custody · $150M to $82.1MJan 31, 2025 to Feb 27, 2026
- Discretionary RAUM · $157M to $174MJan 31, 2025 to Feb 27, 2026
- HNW RAUM · $122M to $131MJan 31, 2025 to Feb 27, 2026
- Individual RAUM · $35.8M to $39.3MJan 31, 2025 to Feb 27, 2026
- RAUM · $157M to $174MJan 31, 2025 to Feb 27, 2026
- Accounts · 435 to 429Feb 14, 2024 to Jan 31, 2025
- HNW clients · 50 to 49Feb 14, 2024 to Jan 31, 2025
- Individual clients · 95 to 90Feb 14, 2024 to Jan 31, 2025
- Assets in custody · $132M to $150MFeb 14, 2024 to Jan 31, 2025
- Financial planning clients · 0 to 0Feb 14, 2024 to Jan 31, 2025
- Discretionary RAUM · $142M to $157MFeb 14, 2024 to Jan 31, 2025
- HNW RAUM · $105M to $122MFeb 14, 2024 to Jan 31, 2025
- Individual RAUM · $32.8M to $35.8MFeb 14, 2024 to Jan 31, 2025
- RAUM · $142M to $157MFeb 14, 2024 to Jan 31, 2025
- Accounts · 441 to 435Aug 14, 2023 to Feb 14, 2024
- HNW clients · 38 to 50Aug 14, 2023 to Feb 14, 2024
- Individual clients · 110 to 95Aug 14, 2023 to Feb 14, 2024
- Assets in custody · $86.6M to $132MAug 14, 2023 to Feb 14, 2024
- Financial planning clients · 1-10 to 0Aug 14, 2023 to Feb 14, 2024
- Discretionary RAUM · $130M to $142MAug 14, 2023 to Feb 14, 2024
- HNW RAUM · $87.5M to $105MAug 14, 2023 to Feb 14, 2024
- Individual RAUM · $42.9M to $32.8MAug 14, 2023 to Feb 14, 2024
- RAUM · $130M to $142MAug 14, 2023 to Feb 14, 2024
- Accounts · 434 to 441Mar 9, 2022 to Mar 6, 2023
- HNW clients · 50 to 38Mar 9, 2022 to Mar 6, 2023
- Individual clients · 94 to 110Mar 9, 2022 to Mar 6, 2023
- Assets in custody · $125M to $86.6MMar 9, 2022 to Mar 6, 2023
- Financial planning clients · 0 to 1-10Mar 9, 2022 to Mar 6, 2023
- Discretionary RAUM · $147M to $130MMar 9, 2022 to Mar 6, 2023
- HNW RAUM · $125M to $87.5MMar 9, 2022 to Mar 6, 2023
- Individual RAUM · $31.2M to $42.9MMar 9, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $9.5M to $0Mar 9, 2022 to Mar 6, 2023
- RAUM · $157M to $130MMar 9, 2022 to Mar 6, 2023
- Accounts · 440 to 434Dec 15, 2021 to Mar 9, 2022
- Advisory activities · 3 to 2Dec 15, 2021 to Mar 9, 2022
- HNW clients · 66 to 50Dec 15, 2021 to Mar 9, 2022
- Individual clients · 79 to 94Dec 15, 2021 to Mar 9, 2022
Signals
1 dated events
- F•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 26, 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
- Principal office phone
- 781-934-7880reportedpublic record, Form ADV, Feb 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
- $174Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026