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••••••• P•••••• W•••••• L••
Latest filing Mar 5, 2026
First filing on the tape May 29, 2025 · 3 filings
SEC status approved since Jun 27, 2025
RAUM
$466M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$466M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$66.6M
derived; firm RAUM over IAPD count
Employees
11
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$466M as of Mar 5, 2026
May 29, 2025$102M then
HNW client RAUM$439M as of Mar 5, 2026
May 29, 2025$102M then
State-registered IARs (5.B.3)7 as of Mar 5, 2026
May 29, 20253 then
Employees (5.A)11 as of Mar 5, 2026
May 29, 202510 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $66.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $794,140derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 2.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publications, otherreportedItem 5.G
- Wrap fee program
- $465MreportedItem 5.I
- 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$439M94%
- Individuals$27.3M5.9%
- Corporations and businesses$345,0000.1%
- Individual clients
- 67reported
- HNW clients
- 100reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 587reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• A••• M•••••••Certified Financial Planner | North Reading, Ma | Jan 4, 2022 | 18 y | 1 |
| G•••••• A••••• F••••••Certified Financial Planner | North Reading, Ma | Jan 4, 2022 | 28 y | 2 |
| J••• J•••••• | Gloucester, Ma | Jan 6, 2022 | 13 y | 1 |
| J••• D•••• R•••• S•••Certified Financial Planner | North Reading, Ma | Aug 19, 2025 | 12 y | 1 |
| D••••• W•••••• C••••••Chartered Financial Analyst | Bee Cave, Tx | Oct 15, 2025 | 23 y | 2 |
| H•••• C••••••• | North Reading, Ma | Oct 22, 2025 | 11 y | 1 |
| A••••• M••• S••• | North Reading, Ma | Nov 4, 2025 | 13 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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
- A••••• M••• S••• from C••••••••• F•••••••• N••••••Nov 4, 2025 · Affiliated broker-dealer or bank to independent RIA
- H•••• C••••••• from C••••••••• F•••••••• N••••••Oct 22, 2025 · Affiliated broker-dealer or bank to independent RIA
- D••••• W•••••• C•••••• from C•••••• M••••••••• F•••••••• A•••••••Oct 15, 2025 · Other
- J••• D•••• R•••• S••• from C••••••••• F•••••••• N••••••Aug 19, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••• J•••••• from C••••••••• F•••••••• N••••••Jan 6, 2022 · Affiliated broker-dealer or bank to independent RIA
- R••••• A••• M••••••• from C••••••••• F•••••••• N••••••Jan 4, 2022 · Affiliated broker-dealer or bank to independent RIA
- G•••••• A••••• F•••••• from C••••••••• F•••••••• N••••••Jan 4, 2022 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 6 joined from C••••••••• F•••••••• N••••••Jul 1, 2025 · North Reading, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• G••••••• A••••• · Chief Executive Officer And Chief Compliance Officercontrolsince 12/2013 · owns 75% or more
- M•••••••• R•••••• A••• · Membersince 12/2013 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| North Reading, Ma · principal | 7 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 5, 2026insurance affiliate (Item 7.A.10): yes on the filing of 2025-10-15, no on the filing of 2026-03-05peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 564 to 587Oct 15, 2025 to Mar 5, 2026
- Advisory employees · 3 to 4Oct 15, 2025 to Mar 5, 2026
- HNW clients · 95 to 100Oct 15, 2025 to Mar 5, 2026
- Individual clients · 70 to 67Oct 15, 2025 to Mar 5, 2026
- Employees · 10 to 11Oct 15, 2025 to Mar 5, 2026
- Insurance-licensed employees · 3 to 1Oct 15, 2025 to Mar 5, 2026
- State-registered IARs · 3 to 7Oct 15, 2025 to Mar 5, 2026
- Discretionary RAUM · $450M to $466MOct 15, 2025 to Mar 5, 2026
- HNW RAUM · $416M to $439MOct 15, 2025 to Mar 5, 2026
- Individual RAUM · $32.5M to $27.3MOct 15, 2025 to Mar 5, 2026
- RAUM · $450M to $466MOct 15, 2025 to Mar 5, 2026
- Related insurance company · true to falseOct 15, 2025 to Mar 5, 2026
- Accounts · 45 to 564May 29, 2025 to Oct 15, 2025
- Advisory activities · 4 to 5May 29, 2025 to Oct 15, 2025
- HNW clients · 4 to 95May 29, 2025 to Oct 15, 2025
- Individual clients · unset to 70.0May 29, 2025 to Oct 15, 2025
- Commission compensation · true to falseMay 29, 2025 to Oct 15, 2025
- Other offices · 0 to 2May 29, 2025 to Oct 15, 2025
- Discretionary RAUM · $102M to $450MMay 29, 2025 to Oct 15, 2025
- HNW RAUM · $102M to $416MMay 29, 2025 to Oct 15, 2025
- Individual RAUM · unset to 32461335.0May 29, 2025 to Oct 15, 2025
- RAUM · $102M to $450MMay 29, 2025 to Oct 15, 2025
- Wrap assets (manager) · unset to 0.0May 29, 2025 to Oct 15, 2025
- Wrap assets (sponsor) · unset to 0.0May 29, 2025 to Oct 15, 2025
Signals
2 dated events
- A••••••• P•••••• W•••••• L•• reported RAUM $449.6M, up 340% from $102.3M (2025-05-29 to 2025-10-15)Oct 15, 2025 · RAUM change · derived
- 6 advisors left C••••••••• F•••••••• N•••••• (North Reading, MA) for A••••••• P•••••• W•••••• L•• within 2 daysJul 1, 2025 · Team lift-out · derived
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/A•••••••-P••••••-WEALTHreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••••••P••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 978-276-1300reportedpublic 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
- $66.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026