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••• S•••• A•••• M••••••••• L••
Latest filing Apr 23, 2026
First filing on the tape May 6, 2025 · 5 filings
SEC status approved since Jun 3, 2025
RAUM
$192M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
80%
$153M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$48.1M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$192M as of Apr 23, 2026
May 6, 2025$207M then
HNW client RAUM$145M as of Apr 23, 2026
May 6, 2025$143M then
State-registered IARs (5.B.3)4 as of Apr 23, 2026
May 6, 20250 then
Employees (5.A)6 as of Apr 23, 2026
May 6, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 23, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $48.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$145M75%
- Pension and profit-sharing plans$25.2M13%
- Corporations and businesses$9.1M4.7%
- Individuals$8.4M4.3%
- Charitable organizations$4.6M2.4%
- Individual clients
- 18reported
- HNW clients
- 32reported
- Pension plan clients
- 4reported
- Charitable clients
- 1reported
- Accounts
- 133reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• L•••••• F••••• | Beverly, Ma | Jun 26, 2025 | 25 y | 2 |
| D••••• A•••• C•••••Chartered Financial Analyst | Beverly, Ma | Aug 6, 2025 | 10 y | 1 |
| L•••• M••Certified Financial Planner | Beverly, Ma | Aug 19, 2025 | 35 y | 1 |
| S••••• B•••••• C••••Certified Financial Planner, Chartered Financial Analyst | Beverly, Ma | May 11, 2026 | 13 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- S••••• B•••••• C•••• from O•••• W•••••• I•••May 11, 2026 · Affiliated broker-dealer or bank to independent RIA
- L•••• M•• from A••••••• I••••••••• P•••••••• I•••Aug 19, 2025 · RIA to RIA
- D••••• A•••• C••••• from A••••••• I••••••••• P•••••••• I•••Aug 6, 2025 · RIA to RIA
- W•••••• L•••••• F••••• from H••• S••••• A•••••••• L••Jun 26, 2025 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from A••••••• I••••••••• P•••••••• I•••Oct 28, 2025 · Beverly, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• W••••••• L•••••• · Managing Partnercontrolsince 04/2025 · 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 |
|---|---|---|---|---|---|
| Beverly, Ma · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 135 to 133Oct 30, 2025 to Mar 31, 2026
- Advisory activities · 3 to 4Oct 30, 2025 to Mar 31, 2026
- Corporate clients · 7 to 5Oct 30, 2025 to Mar 31, 2026
- HNW clients · 37 to 32Oct 30, 2025 to Mar 31, 2026
- Individual clients · 12 to 18Oct 30, 2025 to Mar 31, 2026
- Pension plan clients · 2 to 4Oct 30, 2025 to Mar 31, 2026
- Financial planning clients · to 0Oct 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $200M to $191MOct 30, 2025 to Mar 31, 2026
- HNW RAUM · $153M to $145MOct 30, 2025 to Mar 31, 2026
- Individual RAUM · $4.0M to $8.4MOct 30, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $1.6MOct 30, 2025 to Mar 31, 2026
- Pension RAUM · $26.9M to $25.2MOct 30, 2025 to Mar 31, 2026
- RAUM · $200M to $192MOct 30, 2025 to Mar 31, 2026
- Accounts · 118 to 135Aug 28, 2025 to Oct 30, 2025
- Advisory employees · 3 to 4Aug 28, 2025 to Oct 30, 2025
- Corporate clients · 4 to 7Aug 28, 2025 to Oct 30, 2025
- HNW clients · 30 to 37Aug 28, 2025 to Oct 30, 2025
- Individual clients · 21 to 12Aug 28, 2025 to Oct 30, 2025
- Pension plan clients · 1 to 2Aug 28, 2025 to Oct 30, 2025
- Employees · 5 to 6Aug 28, 2025 to Oct 30, 2025
- Insurance-licensed employees · 2 to 0Aug 28, 2025 to Oct 30, 2025
- State-registered IARs · 3 to 4Aug 28, 2025 to Oct 30, 2025
- Discretionary RAUM · $207M to $200MAug 28, 2025 to Oct 30, 2025
- HNW RAUM · $143M to $153MAug 28, 2025 to Oct 30, 2025
- Individual RAUM · $10.5M to $4.0MAug 28, 2025 to Oct 30, 2025
- Pension RAUM · $25.6M to $26.9MAug 28, 2025 to Oct 30, 2025
- Pooled vehicle RAUM · unset to 0.0Aug 28, 2025 to Oct 30, 2025
- RAUM · $207M to $200MAug 28, 2025 to Oct 30, 2025
- Related adviser · true to falseAug 28, 2025 to Oct 30, 2025
- State-registered IARs · 0 to 3May 6, 2025 to Aug 28, 2025
- Related adviser · false to trueMay 6, 2025 to Aug 28, 2025
Signals
1 dated events
- 2 advisors left A••••••• I••••••••• P•••••••• I••• (Beverly, MA) for P••• S•••• A•••• M••••••••• L•• on the same dayOct 28, 2025 · Team lift-out · derived
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 phone
- 978-529-2395reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 978.529.2395reportedpublic record, Form ADV, Apr 23, 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
- $48.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026