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••• P• S•••• • C••• L••
Latest filing Mar 11, 2026
First filing on the tape Mar 30, 2012 · 24 filings
SEC status approved since May 10, 2006
RAUM
$505M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
99%
$500M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$168M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$505M as of Mar 11, 2026
Mar 30, 2012$104M then
HNW client RAUM$473M as of Mar 11, 2026
Mar 27, 2018$180M then
State-registered IARs (5.B.3)3 as of Mar 11, 2026
Mar 30, 20120 then
Employees (5.A)5 as of Mar 11, 2026
Mar 27, 20135 then
Private funds: no history
RAUM +12% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 11, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $168MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $608,205derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $56.3M, 51 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)
- 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$473M94%
- Individuals$26.8M5.3%
- Charitable organizations$5.7M1.1%
- Individual clients
- 100reported
- HNW clients
- 187reported
- Pension plan clients
- 0reported
- Charitable clients
- 5reported
- Accounts
- 831reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $56.3M for 51 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• L••••••• S•••• | Worcester, Ma | Jun 19, 2006 | 37 y | 0 |
| G••• H•••• S•••• | Worcester, Ma | Jun 26, 2006 | 40 y | 0 |
| J••••••• L•••• S••••Certified Financial Planner | Worcester, Ma | Mar 12, 2007 | 21 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
- J••••••• L•••• S•••• from B••• F•••••••• S••••••••• I•••Mar 12, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• E•••••• L••••••• · Member/President/Chief Compliance Officercontrolsince 01/2001 · owns 50% to 75%
- S••••• G•••• H•••• · Member/Chief Executive Officercontrolsince 01/2001 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Worcester, Ma · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 808 to 831Mar 11, 2025 to Mar 11, 2026
- HNW clients · 181 to 187Mar 11, 2025 to Mar 11, 2026
- Individual clients · 110 to 100Mar 11, 2025 to Mar 11, 2026
- Assets in custody · $52.7M to $56.3MMar 11, 2025 to Mar 11, 2026
- Discretionary RAUM · $435M to $489MMar 11, 2025 to Mar 11, 2026
- HNW RAUM · $418M to $473MMar 11, 2025 to Mar 11, 2026
- Individual RAUM · $27.0M to $26.8MMar 11, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $15.8M to $16.5MMar 11, 2025 to Mar 11, 2026
- RAUM · $451M to $505MMar 11, 2025 to Mar 11, 2026
- Accounts · 789 to 808Mar 14, 2024 to Mar 11, 2025
- Corporate clients · unset to 0.0Mar 14, 2024 to Mar 11, 2025
- HNW clients · 169 to 181Mar 14, 2024 to Mar 11, 2025
- Individual clients · 125 to 110Mar 14, 2024 to Mar 11, 2025
- Assets in custody · $38.1M to $52.7MMar 14, 2024 to Mar 11, 2025
- Financial planning clients · 101-250 to 101-250Mar 14, 2024 to Mar 11, 2025
- Discretionary RAUM · $369M to $435MMar 14, 2024 to Mar 11, 2025
- HNW RAUM · $358M to $418MMar 14, 2024 to Mar 11, 2025
- Individual RAUM · $29.0M to $27.0MMar 14, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $23.8M to $15.8MMar 14, 2024 to Mar 11, 2025
- RAUM · $393M to $451MMar 14, 2024 to Mar 11, 2025
- Accounts · 745 to 789Apr 21, 2023 to Mar 14, 2024
- Charity clients · 7 to 5Apr 21, 2023 to Mar 14, 2024
- HNW clients · 158 to 169Apr 21, 2023 to Mar 14, 2024
- Individual clients · 127 to 125Apr 21, 2023 to Mar 14, 2024
- Assets in custody · $13.7M to $38.1MApr 21, 2023 to Mar 14, 2024
- Discretionary RAUM · $322M to $369MApr 21, 2023 to Mar 14, 2024
- HNW RAUM · $309M to $358MApr 21, 2023 to Mar 14, 2024
- Individual RAUM · $32.6M to $29.0MApr 21, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $29.3M to $23.8MApr 21, 2023 to Mar 14, 2024
- RAUM · $351M to $393MApr 21, 2023 to Mar 14, 2024
- Accounts · 711 to 745Aug 1, 2022 to Feb 22, 2023
- Charity clients · 6 to 7Aug 1, 2022 to Feb 22, 2023
- HNW clients · 170 to 158Aug 1, 2022 to Feb 22, 2023
- Individual clients · 129 to 127Aug 1, 2022 to Feb 22, 2023
- Assets in custody · $29.8M to $13.7MAug 1, 2022 to Feb 22, 2023
- Employees · 7 to 5Aug 1, 2022 to Feb 22, 2023
- Discretionary RAUM · $348M to $322MAug 1, 2022 to Feb 22, 2023
- HNW RAUM · $341M to $309MAug 1, 2022 to Feb 22, 2023
- Individual RAUM · $34.5M to $32.6MAug 1, 2022 to Feb 22, 2023
- Non-discretionary RAUM · $33.4M to $29.3MAug 1, 2022 to Feb 22, 2023
Signals
1 dated events
- Paul Carl Sherr (Member/Manager) no longer on Schedule A of C••• P• S•••• • C••• L•• (listed 2022-03-17, absent 2022-08-01)Aug 1, 2022 · Control person left · inference
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
- 508-791-7126reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-257-4377reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C•••PS••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 508-791-7126reportedpublic record, Form ADV, Mar 11, 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
- $168Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026