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
N••••• F••••••••
Legal name N••••• F••••••••• L••
Latest filing Jul 17, 2026
First filing on the tape Jun 25, 2025 · 5 filings
SEC status approved since Jun 26, 2025
RAUM
$588M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
91%
$533M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$65.3M
derived; firm RAUM over IAPD count
Employees
14
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$588M as of Jul 17, 2026
Jun 25, 2025$0 then
HNW client RAUM$453M as of Jul 17, 2026
Aug 26, 2025$418M then
State-registered IARs (5.B.3)0 as of Jul 17, 2026
Jun 25, 20258 then
Employees (5.A)14 as of Jul 17, 2026
Jun 25, 202514 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 17, 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
- $65.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $592,073derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 3.0derived3 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $87.4M, 41 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$453M77%
- Individuals$80.5M14%
- Corporations and businesses$37.6M6.4%
- Other investment advisers$17.0M2.9%
- Individual clients
- 104reported
- HNW clients
- 120reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 993reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $87.4M for 41 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.03 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• H••••••• F•••••••Certified Financial Planner | Braintree, Ma | Jul 21, 2025 | 17 y | 1 |
| R••••• C••••••••• N••••••••• | Braintree, Ma | Jul 21, 2025 | 15 y | 2 |
| A•••••••• G•••••• W••••Certified Financial Planner | Braintree, Ma | Jul 21, 2025 | 16 y | 2 |
| D•••• M•••• C••••••Certified Financial Planner | Braintree, Ma | Jul 21, 2025 | 12 y | 1 |
| A••• N••••• G••••••Certified Financial Planner | Braintree, Ma | Jul 21, 2025 | 17 y | 3 |
| J••• P••• N•••••••••Certified Financial Planner, Personal Financial Specialist | Braintree, Ma | Jul 21, 2025 | 33 y | 2 |
| A••• J• D••• | Baintree, Ma | Jul 21, 2025 | 19 y | 5 |
| T••••• W•••••• S••••••Certified Financial Planner | Santa Clarita, Ca | Aug 26, 2025 | 10 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
- T••••• W•••••• S•••••• from U••• F•••••••• A•••••••Aug 26, 2025 · RIA to RIA
- R••••• C••••••••• N••••••••• from U••• F•••••••• A•••••••Jul 21, 2025 · RIA to a newly registered adviser
- J••• P••• N••••••••• from G•••• V••••• A•••••• G••••• L••Jul 21, 2025 · RIA to a newly registered adviser
- A••• J• D••• from U••• F•••••••• A•••••••Jul 21, 2025 · RIA to a newly registered adviser
- D•••• M•••• C•••••• from U••• F•••••••• A•••••••Jul 21, 2025 · RIA to a newly registered adviser
- T••••• H••••••• F••••••• from U••• F•••••••• A•••••••Jul 21, 2025 · RIA to a newly registered adviser
- A•••••••• G•••••• W•••• from U••• F•••••••• A•••••••Jul 21, 2025 · RIA to a newly registered adviser
- A••• N••••• G•••••• from U••• F•••••••• A•••••••Jul 21, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 7 joined from U••• F•••••••• A•••••••Jul 25, 2025 · Wilmington, De · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Braintree, Ma · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 897 to 993Feb 5, 2026 to Jul 17, 2026
- Advisory employees · 8 to 9Feb 5, 2026 to Jul 17, 2026
- Corporate clients · 6 to 12Feb 5, 2026 to Jul 17, 2026
- HNW clients · 107 to 120Feb 5, 2026 to Jul 17, 2026
- Individual clients · 98 to 104Feb 5, 2026 to Jul 17, 2026
- Assets in custody · $243M to $87.4MFeb 5, 2026 to Jul 17, 2026
- Employees · 13 to 14Feb 5, 2026 to Jul 17, 2026
- Discretionary RAUM · $508M to $547MFeb 5, 2026 to Jul 17, 2026
- HNW RAUM · $432M to $453MFeb 5, 2026 to Jul 17, 2026
- Individual RAUM · $77.1M to $80.5MFeb 5, 2026 to Jul 17, 2026
- Non-discretionary RAUM · $42.5M to $40.9MFeb 5, 2026 to Jul 17, 2026
- RAUM · $550M to $588MFeb 5, 2026 to Jul 17, 2026
- Accounts · 834 to 897Sep 29, 2025 to Feb 5, 2026
- HNW clients · 98 to 107Sep 29, 2025 to Feb 5, 2026
- Individual clients · 122 to 98Sep 29, 2025 to Feb 5, 2026
- Assets in custody · $0 to $243MSep 29, 2025 to Feb 5, 2026
- Employees · 14 to 13Sep 29, 2025 to Feb 5, 2026
- Insurance-licensed employees · 1 to 0Sep 29, 2025 to Feb 5, 2026
- Financial planning clients · 0 to 1-10Sep 29, 2025 to Feb 5, 2026
- State-registered IARs · 8 to 0Sep 29, 2025 to Feb 5, 2026
- Discretionary RAUM · $478M to $508MSep 29, 2025 to Feb 5, 2026
- HNW RAUM · $418M to $432MSep 29, 2025 to Feb 5, 2026
- Individual RAUM · $69.8M to $77.1MSep 29, 2025 to Feb 5, 2026
- Non-discretionary RAUM · $39.5M to $42.5MSep 29, 2025 to Feb 5, 2026
- RAUM · $518M to $550MSep 29, 2025 to Feb 5, 2026
- Financial planning clients · 0 to 0Aug 26, 2025 to Sep 29, 2025
- Accounts · 0 to 834Jun 25, 2025 to Aug 26, 2025
- Corporate clients · unset to 6.0Jun 25, 2025 to Aug 26, 2025
- HNW clients · unset to 98.0Jun 25, 2025 to Aug 26, 2025
- Individual clients · unset to 122.0Jun 25, 2025 to Aug 26, 2025
- Other offices · 1 to 2Jun 25, 2025 to Aug 26, 2025
- Discretionary RAUM · $0 to $478MJun 25, 2025 to Aug 26, 2025
- HNW RAUM · unset to 418348247.0Jun 25, 2025 to Aug 26, 2025
- Individual RAUM · unset to 69778244.0Jun 25, 2025 to Aug 26, 2025
- Non-discretionary RAUM · $0 to $39.5MJun 25, 2025 to Aug 26, 2025
- RAUM · $0 to $518MJun 25, 2025 to Aug 26, 2025
Signals
1 dated events
- U••• F•••••••• A•••••••'s advisors moved to N••••• F•••••••• (Wilmington, DE): 7 of 8 registered, on the same dayJul 25, 2025 · Firm absorbed (people side) · 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
- 781-884-2300reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 781-884-2356reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/napier-financialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- napierfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 781-884-2300reportedpublic record, Form ADV, Jul 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
- $65.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026