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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
P••• P••••• W••••• M•••••••••
Legal name P••• P••••• W••••• M••••••••• L••
Latest filing May 11, 2026
First filing on the tape Sep 11, 2024 · 6 filings
SEC status approved since Oct 9, 2024
RAUM
$105M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
98%
$103M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$105M as of May 11, 2026
Feb 14, 2025$207M then
HNW client RAUM$22.4M as of May 11, 2026
Feb 14, 2025$108M then
State-registered IARs (5.B.3)1 as of May 11, 2026
Feb 14, 20252 then
Employees (5.A)3 as of May 11, 2026
Feb 14, 20254 then
Private funds: no history
RAUM -49% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of May 11, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 183derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $831,030derivedHNW RAUM over HNW clients
- Average account
- $271,340derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -49%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -66%derived
- Compensation
- percentage of assetsreportedItem 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
- Individuals$80.2M77%
- High-net-worth individuals$22.4M21%
- Charitable organizations$2.1M2.0%
- Individual clients
- 156reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 386reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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
2 left, 0 joined in 12 months
net -2 in 12 months1 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- B•••• S•••• D••••••• to S••••Sep 2, 2026 · RIA to RIA
- J••• E••••• W••••••• to C•••••• R••••••••• • W•••••• L••Dec 3, 2025 · RIA to a newly registered adviser
Joined, latest
- J••• E••••• W••••••• from M•• I•••••••• S•••••••• L••Nov 1, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••• S•••• D••••••• from P••• P••••• W••••• M••••••••• L••Oct 20, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• B••••• S•••• · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- W•••••••• J•••• E••••• · Membercontrolsince 08/2024 · owns 50% to 75%
- D•••••••• B••••• S•••• · Presidentcontrolsince 06/2016 · owns 75% or more of P••• P••••• W••••• M••••••••• L••
Entity owners
- P••• P••••• W••••• M••••••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- P••• P••••• A•••••••• L••real estaten
- P••• P••••• W••••• M••••••••• L••investment advisery
- S••••••••• P•••••••• L••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Providence, Ri · principal | 0 | 0 | 1 | ||
| S Dartmouth, Ma | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 31, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $206,679,179 to $104,737,431, advisors 2 to 1, private clients 543 to 183, offices 1 to 1 (2025-02-14 to 2026-03-31)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Mar 31, 2026individual and HNW clients (Item 5.D) moved from 543.0 to 183.0 (-66.0%) between the annual amendments of 2025-02-14 and 2026-03-31; the peer median change was +3.0% (3309 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 0.5% percentile
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $206,679,179 to $104,737,431 (-49.0%) between the annual amendments of 2025-02-14 and 2026-03-31; the peer median change was +15.0% (4550 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 0.6% percentile
- account count collapseChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 935.0 to 386.0 (-59.0%) between the annual amendments of 2025-02-14 and 2026-03-31; the peer median change was +5.0% (3687 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 2.3% percentile
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 52.0% to 21.0% between the annual amendments of 2025-02-14 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 935 to 386Oct 24, 2025 to Mar 31, 2026
- Advisory employees · 2 to 1Oct 24, 2025 to Mar 31, 2026
- BD registered reps · 1 to 0Oct 24, 2025 to Mar 31, 2026
- HNW clients · 69 to 27Oct 24, 2025 to Mar 31, 2026
- Individual clients · 474 to 156Oct 24, 2025 to Mar 31, 2026
- Employees · 4 to 3Oct 24, 2025 to Mar 31, 2026
- Insurance-licensed employees · 1 to 0Oct 24, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 26-50Oct 24, 2025 to Mar 31, 2026
- State-registered IARs · 2 to 1Oct 24, 2025 to Mar 31, 2026
- Other offices · 2 to 1Oct 24, 2025 to Mar 31, 2026
- Discretionary RAUM · $207M to $99.9MOct 24, 2025 to Mar 31, 2026
- HNW RAUM · $108M to $22.4MOct 24, 2025 to Mar 31, 2026
- Individual RAUM · $98.7M to $80.2MOct 24, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $4.8MOct 24, 2025 to Mar 31, 2026
- RAUM · $207M to $105MOct 24, 2025 to Mar 31, 2026
- BD registered reps · 0 to 1Feb 14, 2025 to Oct 24, 2025
- Insurance-licensed employees · 2 to 1Feb 14, 2025 to Oct 24, 2025
- Financial planning clients · 0 to 0Feb 14, 2025 to Oct 24, 2025
- Other offices · 1 to 2Feb 14, 2025 to Oct 24, 2025
- Accounts · 0 to 935Oct 9, 2024 to Feb 14, 2025
- HNW clients · unset to 69.0Oct 9, 2024 to Feb 14, 2025
- Individual clients · unset to 474.0Oct 9, 2024 to Feb 14, 2025
- Other offices · 0 to 1Oct 9, 2024 to Feb 14, 2025
- Discretionary RAUM · $0 to $207MOct 9, 2024 to Feb 14, 2025
- HNW RAUM · unset to 108028104.0Oct 9, 2024 to Feb 14, 2025
- Individual RAUM · unset to 98651075.0Oct 9, 2024 to Feb 14, 2025
- RAUM · $0 to $207MOct 9, 2024 to Feb 14, 2025
- Financial planning clients · unset to 0Sep 11, 2024 to Oct 9, 2024
Signals
4 dated events
- B•••• S•••• D••••••• left P••• P••••• W••••• M••••••••• for Savvy (registered 2026-07-31)Sep 2, 2026 · Advisor changed firm · fact
- P••• P••••• W••••• M••••••••• reported RAUM $104.7M, down 49% from $206.7M (2025-10-24 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- J••• E••••• W••••••• left P••• P••••• W••••• M••••••••• for C•••••• R••••••••• • W•••••• L•• (registered 2025-09-17)Dec 3, 2025 · Advisor changed firm · fact
- P••• P••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 11, 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
- Principal office phone
- 401-228-8258reportedpublic record, Form ADV, Oct 9, 2024
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