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••• P••• C••••••• L••
Latest filing Jan 30, 2026
First filing on the tape Dec 20, 2022 · 7 filings
SEC status approved since Feb 6, 2023
RAUM
$222M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$222M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$222M as of Jan 30, 2026
Feb 8, 2024$157M then
HNW client RAUM$167M as of Jan 30, 2026
Feb 8, 2024$130M then
State-registered IARs (5.B.3)1 as of Jan 30, 2026
Feb 8, 20242 then
Employees (5.A)2 as of Jan 30, 2026
Feb 8, 20244 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 2 to 1
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
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$167M75%
- Individuals$55.3M25%
- Charitable organizations$346,0000.2%
- Individual clients
- 64reported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 119reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• M• Z•••••••Chartered Financial Analyst | Merion Station, Pa | Feb 10, 2023 | 17 y | 0 |
| M•••••• J••• C••• | Merion Station, Pa | Mar 7, 2023 | 45 y | 1 |
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
- M•••••• J••• C••• from M•••••• J• C•••• I••••••••• A••••••Mar 7, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••••• N••••• T••••• · Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
- Z•••••••• C••••••••• M••••••• · Presidentcontrolsince 10/2022 · 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 |
|---|---|---|---|---|---|
| Merion Station, Pa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Falmouth, MA
What changed
consecutive filings, newest first
- Accounts · 129 to 119Feb 22, 2025 to Jan 30, 2026
- Charity clients · unset to 1.0Feb 22, 2025 to Jan 30, 2026
- HNW clients · 77 to 55Feb 22, 2025 to Jan 30, 2026
- Individual clients · 51 to 64Feb 22, 2025 to Jan 30, 2026
- Employees · 3 to 2Feb 22, 2025 to Jan 30, 2026
- State-registered IARs · 2 to 1Feb 22, 2025 to Jan 30, 2026
- Discretionary RAUM · $161M to $220MFeb 22, 2025 to Jan 30, 2026
- HNW RAUM · $146M to $167MFeb 22, 2025 to Jan 30, 2026
- Individual RAUM · $27.1M to $55.3MFeb 22, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $12.1M to $2.1MFeb 22, 2025 to Jan 30, 2026
- RAUM · $173M to $222MFeb 22, 2025 to Jan 30, 2026
- Accounts · 127 to 129Sep 3, 2024 to Feb 22, 2025
- Advisory employees · 2 to 1Sep 3, 2024 to Feb 22, 2025
- HNW clients · 60 to 77Sep 3, 2024 to Feb 22, 2025
- Individual clients · 45 to 51Sep 3, 2024 to Feb 22, 2025
- Employees · 4 to 3Sep 3, 2024 to Feb 22, 2025
- Financial planning clients · 51-100 to 101-250Sep 3, 2024 to Feb 22, 2025
- HQ city · unset to Sep 3, 2024 to Feb 22, 2025
- HQ state · unset to Sep 3, 2024 to Feb 22, 2025
- Discretionary RAUM · $164M to $161MSep 3, 2024 to Feb 22, 2025
- HNW RAUM · $143M to $146MSep 3, 2024 to Feb 22, 2025
- Individual RAUM · $34.5M to $27.1MSep 3, 2024 to Feb 22, 2025
- Non-discretionary RAUM · $13.5M to $12.1MSep 3, 2024 to Feb 22, 2025
- RAUM · $177M to $173MSep 3, 2024 to Feb 22, 2025
- Accounts · 103 to 127Feb 8, 2024 to Sep 3, 2024
- HNW clients · 58 to 60Feb 8, 2024 to Sep 3, 2024
- HQ city · FALMOUTH to unsetFeb 8, 2024 to Sep 3, 2024
- HQ state · MA to unsetFeb 8, 2024 to Sep 3, 2024
- Discretionary RAUM · $157M to $164MFeb 8, 2024 to Sep 3, 2024
- HNW RAUM · $130M to $143MFeb 8, 2024 to Sep 3, 2024
- Individual RAUM · $26.4M to $34.5MFeb 8, 2024 to Sep 3, 2024
- Non-discretionary RAUM · $0 to $13.5MFeb 8, 2024 to Sep 3, 2024
- RAUM · $157M to $177MFeb 8, 2024 to Sep 3, 2024
- Accounts · 470 to 103May 11, 2023 to Feb 8, 2024
- HNW clients · 43 to 58May 11, 2023 to Feb 8, 2024
- Individual clients · 95 to 45May 11, 2023 to Feb 8, 2024
- Financial planning clients · 0 to 51-100May 11, 2023 to Feb 8, 2024
- Discretionary RAUM · $145M to $157MMay 11, 2023 to Feb 8, 2024
- HNW RAUM · $89.9M to $130MMay 11, 2023 to Feb 8, 2024
- Individual RAUM · $55.2M to $26.4MMay 11, 2023 to Feb 8, 2024
Signals
1 dated events
- F••• P••• C••••••• L•• filed its initial SEC registration (Form ADV)Dec 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
- Business email
- n••••@f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 508-548-2219reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 508-548-2218reportedpublic record, Form ADV, Jan 30, 2026
- Team page
- f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026