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••••••• A•••••••• L••

Independent wealth managerBoston, MassachusettsCRD 318716SEC 801-126908websiteIAPD
Latest filing Feb 7, 2026
First filing on the tape Oct 20, 2022 · 9 filings
SEC status approved since Dec 13, 2022
RAUM
$450,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$450,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$450,000 as of Feb 7, 2026
Apr 8, 2025$0 then
HNW client RAUM$0 as of Feb 7, 2026
Apr 5, 2023$0 then
State-registered IARs (5.B.3)0 as of Feb 7, 2026
Apr 5, 20230 then
Employees (5.A)3 as of Feb 7, 2026
Apr 5, 20233 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 7, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$225,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$450,000100%
Individual clients
2reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••• D••••• · Managing Member; Ccocontrol
        since 02/2022 · owns 25% to 50%
      • W••••• J••••••• · Membercontrol
        since 02/2022 · owns 25% to 50%
      • W•••• N•••••••• · Managin Membercontrol
        since 02/2022 · owns 25% to 50%
      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 · 0 to 2
        Apr 8, 2025 to Feb 7, 2026
      • Advisory employees · 1 to 0
        Apr 8, 2025 to Feb 7, 2026
      • Advisory activities · 1 to 2
        Apr 8, 2025 to Feb 7, 2026
      • Individual clients · unset to 2.0
        Apr 8, 2025 to Feb 7, 2026
      • Discretionary RAUM · $0 to $450,000
        Apr 8, 2025 to Feb 7, 2026
      • Individual RAUM · $0 to $450,000
        Apr 8, 2025 to Feb 7, 2026
      • RAUM · $0 to $450,000
        Apr 8, 2025 to Feb 7, 2026
      • Accounts · unset to 0.0
        Apr 5, 2023 to Apr 8, 2025
      • Financial planning clients · unset to
        Apr 5, 2023 to Apr 8, 2025
      • Discretionary RAUM · unset to 0.0
        Apr 5, 2023 to Apr 8, 2025
      • Non-discretionary RAUM · unset to 0.0
        Apr 5, 2023 to Apr 8, 2025
      • RAUM · unset to 0.0
        Apr 5, 2023 to Apr 8, 2025
      • Financial planning clients · 0 to unset
        Feb 15, 2023 to Apr 5, 2023
      Signals
      1 dated events
      • A••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 20, 2022 · 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
      d•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      781-728-9556reportedpublic record, Form ADV, Feb 7, 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026