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
B•••••• W••••• G••••
Legal name R•• • B•••••• W••••• A•••••••• L••
Latest filing Jun 3, 2026
First filing on the tape Apr 15, 2024 · 10 filings
SEC status approved since May 16, 2024
RAUM
$986M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$785M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$164M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$986M as of Jun 3, 2026
Mar 25, 2025$876M then
HNW client RAUM$485M as of Jun 3, 2026
Mar 25, 2025$402M then
State-registered IARs (5.B.3)6 as of Jun 3, 2026
Mar 25, 20255 then
Employees (5.A)10 as of Jun 3, 2026
Mar 25, 20258 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 5 to 6
Practice profile
derived from the filing of Jun 3, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 139derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $475,438derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Financial planning clients
- 800reportedItem 5.H
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- 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$485M49%
- Individuals$300M30%
- Corporations and businesses$76.7M7.8%
- State and municipal entities$73.2M7.4%
- Charitable organizations$43.2M4.4%
- Pension and profit-sharing plans$7.3M0.7%
- Individual clients
- 732reported
- HNW clients
- 104reported
- Pension plan clients
- n/areported
- Charitable clients
- 11reported
- Accounts
- 2,073reported
- Financial planning clients
- 800reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• K••••• Y•••• | Taunton, Ma | Jul 3, 2024 | 12 y | 1 |
| C••••• J•••• R•••Certified Financial Planner | Taunton, Ma | Jul 3, 2024 | 14 y | 1 |
| L•••• M•••••• R•••••••• | Taunton, Ma | Jul 3, 2024 | 44 y | 2 |
| D••• R•••• L•••••• | Taunton, Ma | Jul 3, 2024 | 28 y | 2 |
| C••• M•••••• B••••Certified Financial Planner, Chartered Financial Consultant | Attleboro, Ma | Jul 3, 2024 | 27 y | 3 |
| D•••• C• R••• | Taunton, Ma | Sep 29, 2025 | 11 y | 0 |
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••••• K••••• Y•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 3, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- C••••• J•••• R••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 3, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- D••• R•••• L•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 3, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- C••• M•••••• B•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 3, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- L•••• M•••••• R•••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 3, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jun 27, 2024 · Taunton, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• C•••• M•••••• · Senior Vice President And Director Of Financial Planningcontrolsince 09/2024 · owns less than 5%
- L••••••• D•••• R•••• · Chief Operating Officer And Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
- R••••••••• L••••• M•••••• · President And Chief Executive Officercontrolsince 02/2017 · owns less than 5%
- R••••••••• L••••• M•••••• · Shareholdercontrolsince 11/2017 · owns 75% or more of B•••••• I••••••••• S••••••• G••••• I•••
Entity owners
- B•••••• C••••• S•••••• B••• · Shareholderdirect · owns 50% to 75%
- B•••••• I••••••••• S••••••• · Shareholderdirect · owns 25% to 50%
- B•••••• I••••••••• S••••••• G••••• I••• · Shareholderdirect · owns 50% to 75%
- B••••• B•••••• · Shareholderindirect · owns 75% or more of B•••••• C••••• S•••••• B•••
Related persons
Schedule D 7.A
- B•••••• C••••• S•••••• B•••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Taunton, Ma · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Attleboro, MA2 employees
What changed
consecutive filings, newest first
- Accounts · 1,920 to 2,073Jan 29, 2026 to Mar 16, 2026
- Advisory employees · 5 to 6Jan 29, 2026 to Mar 16, 2026
- Charity clients · 9 to 11Jan 29, 2026 to Mar 16, 2026
- Corporate clients · 28 to 32Jan 29, 2026 to Mar 16, 2026
- HNW clients · 90 to 104Jan 29, 2026 to Mar 16, 2026
- Individual clients · 688 to 732Jan 29, 2026 to Mar 16, 2026
- Employees · 8 to 10Jan 29, 2026 to Mar 16, 2026
- State-registered IARs · 5 to 6Jan 29, 2026 to Mar 16, 2026
- Discretionary RAUM · $876M to $986MJan 29, 2026 to Mar 16, 2026
- HNW RAUM · $402M to $485MJan 29, 2026 to Mar 16, 2026
- Individual RAUM · $287M to $300MJan 29, 2026 to Mar 16, 2026
- Pension RAUM · $2.9M to $7.3MJan 29, 2026 to Mar 16, 2026
- RAUM · $876M to $986MJan 29, 2026 to Mar 16, 2026
- BD registered reps · 3 to 0Mar 25, 2025 to Oct 17, 2025
- Accounts · 1,521 to 1,920Dec 20, 2024 to Mar 25, 2025
- Advisory activities · 2 to 3Dec 20, 2024 to Mar 25, 2025
- BD registered reps · 5 to 3Dec 20, 2024 to Mar 25, 2025
- Charity clients · 10 to 9Dec 20, 2024 to Mar 25, 2025
- Corporate clients · 18 to 28Dec 20, 2024 to Mar 25, 2025
- HNW clients · 88 to 90Dec 20, 2024 to Mar 25, 2025
- Individual clients · 512 to 688Dec 20, 2024 to Mar 25, 2025
- Financial planning clients · 0 to More than 500Dec 20, 2024 to Mar 25, 2025
- Discretionary RAUM · $754M to $876MDec 20, 2024 to Mar 25, 2025
- HNW RAUM · $349M to $402MDec 20, 2024 to Mar 25, 2025
- Individual RAUM · $210M to $287MDec 20, 2024 to Mar 25, 2025
- Pension RAUM · $2.6M to $2.9MDec 20, 2024 to Mar 25, 2025
- RAUM · $754M to $876MDec 20, 2024 to Mar 25, 2025
- Accounts · unset to 1521.0May 14, 2024 to Sep 11, 2024
- Charity clients · unset to 10.0May 14, 2024 to Sep 11, 2024
- Corporate clients · unset to 18.0May 14, 2024 to Sep 11, 2024
- HNW clients · unset to 88.0May 14, 2024 to Sep 11, 2024
- Individual clients · unset to 512.0May 14, 2024 to Sep 11, 2024
- Insurance-licensed employees · 5 to 0May 14, 2024 to Sep 11, 2024
- Discretionary RAUM · unset to 754422254.0May 14, 2024 to Sep 11, 2024
- HNW RAUM · unset to 348820772.0May 14, 2024 to Sep 11, 2024
- Individual RAUM · unset to 209874725.0May 14, 2024 to Sep 11, 2024
- Non-discretionary RAUM · unset to 0.0May 14, 2024 to Sep 11, 2024
- Pension RAUM · unset to 2620877.0May 14, 2024 to Sep 11, 2024
- RAUM · unset to 754422254.0May 14, 2024 to Sep 11, 2024
- Financial planning clients · unset to 0Apr 15, 2024 to May 14, 2024
Signals
2 dated events
- 5 advisors left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (Taunton, MA) for B•••••• W••••• G•••• within 5 daysJun 27, 2024 · Team lift-out · derived
- B•••••• W••••• G•••• filed its initial SEC registration (Form ADV)Apr 15, 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
- Website
- b•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (508) 822-0122reportedpublic record, Form ADV, Jun 3, 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
- $164Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026