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
C•••••• R••••••••• • W•••••• L••
Latest filing Jan 14, 2026
First filing on the tape Sep 22, 2025 · 2 filings
SEC status approved since Sep 3, 2025
RAUM
$140M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$140M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$69.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$140M as of Jan 14, 2026
Sep 22, 2025$0 then
HNW client RAUM$91.2M as of Jan 14, 2026
Sep 22, 2025$0 then
State-registered IARs (5.B.3)1 as of Jan 14, 2026
Sep 22, 20251 then
Employees (5.A)2 as of Jan 14, 2026
Sep 22, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 14, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $69.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 165derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $931,107derivedHNW RAUM over HNW clients
- Average account
- $279,655derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- 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$91.2M65%
- Individuals$48.3M35%
- Individual clients
- 231reported
- HNW clients
- 98reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 499reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• E••••• W•••••••Certified Financial Planner | New Bedford, Ma | Sep 17, 2025 | 15 y | 4 |
| C••••••••• A•••••• R••••••• | New Bedford, Ma | Jul 27, 2026 | 25 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
- J••• E••••• W••••••• from P••• P••••• W••••• M•••••••••Sep 17, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••••• J•••• E••••• · Managing Member, Chief Compliance Officercontrolsince 07/2025 · 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 |
|---|---|---|---|---|---|
| New Bedford, Ma · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 499Sep 22, 2025 to Jan 14, 2026
- Advisory employees · 1 to 2Sep 22, 2025 to Jan 14, 2026
- BD registered reps · 1 to 2Sep 22, 2025 to Jan 14, 2026
- HNW clients · 0 to 98Sep 22, 2025 to Jan 14, 2026
- Individual clients · 0 to 231Sep 22, 2025 to Jan 14, 2026
- Employees · 1 to 2Sep 22, 2025 to Jan 14, 2026
- Insurance-licensed employees · 1 to 0Sep 22, 2025 to Jan 14, 2026
- Financial planning clients · to 0Sep 22, 2025 to Jan 14, 2026
- Discretionary RAUM · $0 to $140MSep 22, 2025 to Jan 14, 2026
- HNW RAUM · $0 to $91.2MSep 22, 2025 to Jan 14, 2026
- Individual RAUM · $0 to $48.3MSep 22, 2025 to Jan 14, 2026
- RAUM · $0 to $140MSep 22, 2025 to Jan 14, 2026
- Related adviser · true to falseSep 22, 2025 to Jan 14, 2026
Signals
No event on the tape.
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
- 774-992-7444reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/clarity-retirement-and-wealthreportedpublic record, Form ADV, Sep 19, 2026
- Website
- c••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 774-992-7444reportedpublic record, Form ADV, Jan 14, 2026
- Contact form
- c••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- c••••••••.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
- $69.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026