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

F••• C•••••• F•••••••• S•••••••

Independent wealth managerEaston, MassachusettsCRD 338120SEC 801-134388websiteIAPD
Legal name S••••••••• W•••••• J•••
Latest filing Jul 31, 2026
First filing on the tape Oct 7, 2025 · 3 filings
SEC status approved since Sep 22, 2025
RAUM
$292M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$292M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$146M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$292M as of Jul 31, 2026
Oct 7, 2025$0 then
HNW client RAUM$220M as of Jul 31, 2026
Jan 20, 2026$220M then
State-registered IARs (5.B.3)2 as of Jul 31, 2026
Oct 7, 20252 then
Employees (5.A)3 as of Jul 31, 2026
Oct 7, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 31, 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
$146MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
145derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$389,333derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 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 assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$41, 19,000,000 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$220M75%
  • Individuals$72.0M25%
Individual clients
195reported
HNW clients
95reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
750reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$41 for 19,000,000 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
W•••••• J••• S•••••••••Certified Financial Planner, Chartered Financial ConsultantEaston, MaOct 7, 202533 y1
J••• L••••••••Easton, MaOct 8, 202512 y1
Advisor movement
0 left, 2 joined in 12 months
net +2 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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••••• W••••••• J••• · Owner And Chief Compliance Officercontrol
        since 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
      OfficeAdvisorsJoinedLeftTeams outForming
      Easton, Ma · principal220
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 750
        Oct 7, 2025 to Jan 20, 2026
      • HNW clients · unset to 95.0
        Oct 7, 2025 to Jan 20, 2026
      • Individual clients · unset to 195.0
        Oct 7, 2025 to Jan 20, 2026
      • Assets in custody · unset to 41.0
        Oct 7, 2025 to Jan 20, 2026
      • Custody of client assets · false to true
        Oct 7, 2025 to Jan 20, 2026
      • Employees · 2 to 3
        Oct 7, 2025 to Jan 20, 2026
      • Financial planning clients · 0 to 1-10
        Oct 7, 2025 to Jan 20, 2026
      • Discretionary RAUM · $0 to $292M
        Oct 7, 2025 to Jan 20, 2026
      • HNW RAUM · unset to 220000000.0
        Oct 7, 2025 to Jan 20, 2026
      • Individual RAUM · unset to 72000000.0
        Oct 7, 2025 to Jan 20, 2026
      • RAUM · $0 to $292M
        Oct 7, 2025 to Jan 20, 2026
      Signals
      1 dated events
      • 2 advisors left C••••••••• F•••••••• N•••••• (South Easton, MA) for F••• C•••••• F•••••••• S••••••• a day apart
        Oct 8, 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 email
      i••••••••@5•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
      Business phone
      508-297-2033reportedpublished by the firm, firm site, Sep 15, 2026
      Website
      5•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      508-297-2033reportedpublic record, Form ADV, Jul 31, 2026
      Contact form
      5•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
      Team page
      5•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
      $146Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026