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
T••••••• W•••••
Legal name T••••••• L••
Latest filing Jul 17, 2026
First filing on the tape Sep 23, 2024 · 7 filings
SEC status approved since Oct 23, 2024
RAUM
$230M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
100%
$230M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$45.9M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$230M as of Jul 17, 2026
Mar 28, 2025$154M then
HNW client RAUM$163M as of Jul 17, 2026
Mar 28, 2025$116M then
State-registered IARs (5.B.3)5 as of Jul 17, 2026
Mar 28, 20254 then
Employees (5.A)7 as of Jul 17, 2026
Mar 28, 20256 then
Private funds: no history
RAUM +49% over the last fiscal yearIARs 4 to 5offices 2 to 4
Practice profile
derived from the filing of Jul 17, 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
- RAUM per advisor
- $45.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $372,356derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +49%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +33%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $134M, 97 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$163M71%
- Individuals$66.5M29%
- Charitable organizations$91,8400.0%
- Individual clients
- 148reported
- HNW clients
- 61reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 617reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $134M for 97 clientsreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• S••••• C••••••Certified Financial Planner | Great Barrington, Ma | Nov 10, 2022 | 13 y | 2 |
| L••• F•••••• D••••••Certified Financial Planner, Chartered Financial Consultant | Great Barrington, Ma | Aug 6, 2024 | 10 y | 1 |
| G••• E••••• M••••••••• | Longmeadow, Ma | Feb 5, 2025 | 35 y | 1 |
| J••••• R•••••• P••••••• | Sarasota, Fl | Jun 2, 2025 | 23 y | 0 |
| B•••• E••••• S••••••Certified Financial Planner | Francestown, Nh | Jul 17, 2026 | 11 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- B•••• E••••• S•••••• from B•••Jul 17, 2026 · RIA to RIA
- G••• E••••• M••••••••• from M••••••••• D••••••• I••••••••• C••••••• I•••Feb 5, 2025 · Other
- L••• F•••••• D•••••• from A••••••• I••••••••• S••••••• I••Aug 6, 2024 · RIA to RIA
- M•••••• S••••• C•••••• from T••••••••• W••••• A•••••••Nov 10, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• M••••••• S••••• · Managing Director, Financial Advisor, And Chief Compliance Officercontrolsince 06/2022 · owns 75% or more
- D••••••• L•••• F•••••• · Director Of Financial Planning And Financial Advisorcontrolsince 08/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Great Barrington, Ma · principal | 5 | 1 | 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 up 25 %Change between filings · filing Mar 25, 2026RAUM (Item 5.F) moved from $154,325,991 to $229,743,914 (+49.0%) between the annual amendments of 2025-03-28 and 2026-03-25; the peer median change was +15.0% (4550 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 95% percentile
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Mar 25, 2026 to Jul 17, 2026
- Employees · 6 to 7Mar 25, 2026 to Jul 17, 2026
- State-registered IARs · 4 to 5Mar 25, 2026 to Jul 17, 2026
- Accounts · 452 to 617Dec 1, 2025 to Mar 25, 2026
- Advisory employees · 5 to 4Dec 1, 2025 to Mar 25, 2026
- HNW clients · 53 to 61Dec 1, 2025 to Mar 25, 2026
- Individual clients · 104 to 148Dec 1, 2025 to Mar 25, 2026
- Assets in custody · $85.8M to $134MDec 1, 2025 to Mar 25, 2026
- Employees · 7 to 6Dec 1, 2025 to Mar 25, 2026
- HQ city · to GREAT BARRINGTONDec 1, 2025 to Mar 25, 2026
- HQ state · to MADec 1, 2025 to Mar 25, 2026
- State-registered IARs · 5 to 4Dec 1, 2025 to Mar 25, 2026
- Discretionary RAUM · $137M to $204MDec 1, 2025 to Mar 25, 2026
- HNW RAUM · $116M to $163MDec 1, 2025 to Mar 25, 2026
- Individual RAUM · $37.9M to $66.5MDec 1, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $17.0M to $25.3MDec 1, 2025 to Mar 25, 2026
- RAUM · $154M to $230MDec 1, 2025 to Mar 25, 2026
- Advisory employees · 4 to 5Mar 28, 2025 to Jun 6, 2025
- Employees · 6 to 7Mar 28, 2025 to Jun 6, 2025
- Financial planning clients · 11-25 to 11-25Mar 28, 2025 to Jun 6, 2025
- State-registered IARs · 4 to 5Mar 28, 2025 to Jun 6, 2025
- Other offices · 2 to 4Mar 28, 2025 to Jun 6, 2025
- Accounts · 379 to 452Nov 22, 2024 to Mar 28, 2025
- Advisory employees · 3 to 4Nov 22, 2024 to Mar 28, 2025
- HNW clients · 38 to 53Nov 22, 2024 to Mar 28, 2025
- Individual clients · 87 to 104Nov 22, 2024 to Mar 28, 2025
- Assets in custody · $55.5M to $85.8MNov 22, 2024 to Mar 28, 2025
- Employees · 5 to 6Nov 22, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 11-25Nov 22, 2024 to Mar 28, 2025
- HQ city · unset to Nov 22, 2024 to Mar 28, 2025
- HQ state · unset to Nov 22, 2024 to Mar 28, 2025
- State-registered IARs · 3 to 4Nov 22, 2024 to Mar 28, 2025
- Other offices · 0 to 2Nov 22, 2024 to Mar 28, 2025
- Discretionary RAUM · $93.1M to $137MNov 22, 2024 to Mar 28, 2025
- HNW RAUM · $76.4M to $116MNov 22, 2024 to Mar 28, 2025
- Individual RAUM · $32.8M to $37.9MNov 22, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $16.2M to $17.0MNov 22, 2024 to Mar 28, 2025
- RAUM · $109M to $154MNov 22, 2024 to Mar 28, 2025
Signals
1 dated events
- T••••••• W••••• filed its initial SEC registration (Form ADV)Sep 23, 2024 · 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 email
- info@tableauxwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- joe@tableauxwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- shelley@tableauxwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 413-264-2401reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 413-264-2400reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 413-264-2402reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/tableauxwealth/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- tableauxwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 413-264-2400reportedpublic record, Form ADV, Jul 17, 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
- $45.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026