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
P•••••• I••••••••• A•••••••• L••
Latest filing Jan 30, 2026
First filing on the tape Dec 2, 2022 · 11 filings
SEC status approved since Jan 3, 2023
RAUM
$217M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
81%
$176M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$109M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$217M as of Jan 30, 2026
Feb 22, 2024$171M then
HNW client RAUM$136M as of Jan 30, 2026
Feb 22, 2024$88.8M then
State-registered IARs (5.B.3)2 as of Jan 30, 2026
Feb 22, 20242 then
Employees (5.A)4 as of Jan 30, 2026
Feb 22, 20243 then
Private funds: no history
RAUM +22% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 30, 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
- 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
- RAUM per advisor
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $735,767derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $27.6M, 21 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)
- 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$136M63%
- Individuals$40.3M19%
- Corporations and businesses$36.9M17%
- Pension and profit-sharing plans$2.1M1.0%
- Charitable organizations$1.7M0.8%
- Individual clients
- 89reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 295reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $27.6M for 21 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• P•••••• G•••Personal Financial Specialist | Framingham, Ma | Apr 5, 2023 | 42 y | 2 |
| R••••• E•••• W••••••Chartered Financial Consultant | Framingham, Ma | Apr 12, 2023 | 42 y | 2 |
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
- R••••• E•••• W•••••• from P•••••• A•••••••• L••Apr 12, 2023 · RIA to a newly registered adviser
- M•••••• P•••••• G••• from P•••••• A•••••••• L••Apr 5, 2023 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from P•••••• A•••••••• L••May 31, 2023 · Framingham, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• M••••••• P•••••• · Managing Member And Chief Compliance Officercontrolsince 11/2022 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Framingham, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Framingham, MA1 employees
What changed
consecutive filings, newest first
- HNW clients · 46 to 49Nov 20, 2025 to Jan 30, 2026
- Individual clients · 94 to 89Nov 20, 2025 to Jan 30, 2026
- Assets in custody · $14.0M to $27.6MNov 20, 2025 to Jan 30, 2026
- Employees · 3 to 4Nov 20, 2025 to Jan 30, 2026
- Discretionary RAUM · $177M to $215MNov 20, 2025 to Jan 30, 2026
- HNW RAUM · $114M to $136MNov 20, 2025 to Jan 30, 2026
- Individual RAUM · $40.4M to $40.3MNov 20, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $1.7M to $2.1MNov 20, 2025 to Jan 30, 2026
- Pension RAUM · $1.7M to $2.1MNov 20, 2025 to Jan 30, 2026
- RAUM · $178M to $217MNov 20, 2025 to Jan 30, 2026
- Financial planning clients · 1-10 to 1-10Feb 21, 2025 to Apr 23, 2025
- Accounts · 293 to 295Feb 22, 2024 to Feb 21, 2025
- HNW clients · 40 to 46Feb 22, 2024 to Feb 21, 2025
- Individual clients · 104 to 94Feb 22, 2024 to Feb 21, 2025
- Assets in custody · unset to 14003187.0Feb 22, 2024 to Feb 21, 2025
- Custody of client assets · false to trueFeb 22, 2024 to Feb 21, 2025
- Financial planning clients · 0 to 1-10Feb 22, 2024 to Feb 21, 2025
- HQ city · unset to FRAMINGHAMFeb 22, 2024 to Feb 21, 2025
- HQ state · unset to MAFeb 22, 2024 to Feb 21, 2025
- Discretionary RAUM · $167M to $177MFeb 22, 2024 to Feb 21, 2025
- HNW RAUM · $88.8M to $114MFeb 22, 2024 to Feb 21, 2025
- Individual RAUM · $50.3M to $40.4MFeb 22, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $4.1M to $1.7MFeb 22, 2024 to Feb 21, 2025
- Pension RAUM · $1.2M to $1.7MFeb 22, 2024 to Feb 21, 2025
- RAUM · $171M to $178MFeb 22, 2024 to Feb 21, 2025
- Accounts · 285 to 293Dec 26, 2023 to Feb 22, 2024
- Advisory activities · 4 to 5Dec 26, 2023 to Feb 22, 2024
- HNW clients · 38 to 40Dec 26, 2023 to Feb 22, 2024
- Individual clients · 107 to 104Dec 26, 2023 to Feb 22, 2024
- Employees · 4 to 3Dec 26, 2023 to Feb 22, 2024
- Other offices · 0 to 1Dec 26, 2023 to Feb 22, 2024
- Discretionary RAUM · $153M to $167MDec 26, 2023 to Feb 22, 2024
- HNW RAUM · $81.5M to $88.8MDec 26, 2023 to Feb 22, 2024
- Individual RAUM · $44.4M to $50.3MDec 26, 2023 to Feb 22, 2024
- Non-discretionary RAUM · $3.4M to $4.1MDec 26, 2023 to Feb 22, 2024
- Pension RAUM · $956,706 to $1.2MDec 26, 2023 to Feb 22, 2024
- RAUM · $156M to $171MDec 26, 2023 to Feb 22, 2024
- Accounts · 0 to 285Feb 14, 2023 to May 3, 2023
- HNW clients · unset to 38.0Feb 14, 2023 to May 3, 2023
- Individual clients · unset to 107.0Feb 14, 2023 to May 3, 2023
Signals
2 dated events
- 2 advisors left P•••••• A•••••••• L•• (Framingham, MA) for P•••••• I••••••••• A•••••••• L•• on the same dayMay 31, 2023 · Team lift-out · derived
- P•••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 2, 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
- Business email
- i•••@p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- a••••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 508-481-2299reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (508) 481-2299reportedpublic record, Form ADV, Jan 30, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 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
- $109Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026