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
T•••• S••••• C••••••
Latest filing Jun 8, 2026
First filing on the tape Feb 18, 2026 · 4 filings
SEC status approved since Feb 4, 2026
RAUM
$492M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
95%
$467M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$492M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$492M as of Jun 8, 2026
Feb 18, 2026$0 then
HNW client RAUM: $457M
State-registered IARs (5.B.3)1 as of Jun 8, 2026
Feb 18, 20261 then
Employees (5.A)1 as of Jun 8, 2026
Feb 18, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 8, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $492MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $65.3MderivedHNW RAUM over HNW clients
- Average account
- $7.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%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
- 1.0derived1 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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $310M, 14 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$457M93%
- Corporations and businesses$25.0M5.1%
- Individuals$9.4M1.9%
- Individual clients
- 6reported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 65reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $310M for 14 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• B•••• P•••••Chartered Financial Analyst | Plymouth, Ma | Feb 11, 2026 | 10 y | 1 |
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
- R••••• B•••• P••••• from N•• W•••• A••••••• L••Feb 11, 2026 · RIA to a newly registered adviser
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.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Jun 8, 2026RAUM per account of $7,561,898 against a peer median of $439,994 (5431 comparable advisers, 100.0th percentile, 4.8 robust deviations)peers: independent wealth managers, $100M to $500M (5,431) · 100% percentile
- custody status changedChange between filings · filing Jun 8, 2026custody of client assets (Item 9.A): no on the filing of 2026-04-08, yes on the filing of 2026-06-08peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 0 to 65Apr 8, 2026 to Jun 8, 2026
- HNW clients · unset to 7.0Apr 8, 2026 to Jun 8, 2026
- Individual clients · unset to 6.0Apr 8, 2026 to Jun 8, 2026
- Assets in custody · unset to 310138285.0Apr 8, 2026 to Jun 8, 2026
- Custody of client assets · false to trueApr 8, 2026 to Jun 8, 2026
- Financial planning clients · 0 to 1-10Apr 8, 2026 to Jun 8, 2026
- Discretionary RAUM · $0 to $466MApr 8, 2026 to Jun 8, 2026
- HNW RAUM · unset to 457091702.0Apr 8, 2026 to Jun 8, 2026
- Individual RAUM · unset to 9431652.0Apr 8, 2026 to Jun 8, 2026
- Non-discretionary RAUM · $0 to $25.7MApr 8, 2026 to Jun 8, 2026
- RAUM · $0 to $492MApr 8, 2026 to Jun 8, 2026
- Legal name · LOFT LINE PARTNERS, LLC to T•••• S••••• C••••••Feb 18, 2026 to Mar 19, 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
- Principal office phone
- 508-648-4684reportedpublic record, Form ADV, Jun 8, 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
- $492Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026