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••••••••• A•••••••
Legal name C••••••••• A•••••••• L••
Latest filing Sep 9, 2026
First filing on the tape May 29, 2026 · 4 filings
SEC status 120-day approval since May 12, 2026
RAUM
$108M
reported, Item 5.F
Discretionary
7.5%
of RAUM
Private clients
5.5%
$6.0M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$27.1M
derived; firm RAUM over IAPD count
Employees
4
4 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$0 as of Jul 30, 2026
May 29, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Jul 30, 2026
May 29, 20262 then
Employees (5.A)4 as of Jul 30, 2026
May 29, 20263 then
Private funds: no history
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
- RAUM per advisor
- $27.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $15.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 7.5%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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 individuals, portfolio management for businesses and institutionsreportedItem 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
- Banks and thrifts$100M92%
- High-net-worth individuals$5.4M5.0%
- Charitable organizations$2.1M2.0%
- Individuals$608,2170.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.06 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• H•••••Chartered Financial Analyst | Dedham, Ma | May 19, 2026 | 15 y | 0 |
| R••••• T••••• B••• | Dedham, Ma | May 19, 2026 | 34 y | 2 |
| J••• J••••• M•••Certified Financial Planner | Dedham, Ma | Jun 9, 2026 | 39 y | 2 |
| L••• P•••••• M••••••Chartered Financial Analyst | Dedham, Ma | Jun 22, 2026 | 10 y | 0 |
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
- J••• J••••• M••• from M•••• W••••• M••••••••• L••Jun 9, 2026 · RIA to a newly registered adviser
- R••••• T••••• B••• from O•••• I••••••••• I•••May 19, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• R•••••• T••••• · Chief Compliance Officercontrolsince 02/2026 · owns less than 5%
- H•••••• K•••••• · President & Chief Investment Officercontrolsince 02/2026 · owns less than 5%
Entity owners
- C••••••••• M•• · Holding Companydirect · 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 |
|---|---|---|---|---|---|
| Dedham, Ma · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 7Jul 30, 2026 to Sep 9, 2026
- Corporate clients · unset to 0.0Jul 30, 2026 to Sep 9, 2026
- Pension plan clients · unset to 0.0Jul 30, 2026 to Sep 9, 2026
- Pooled vehicle clients · unset to 0.0Jul 30, 2026 to Sep 9, 2026
- Financial planning clients · 0 to 0Jul 30, 2026 to Sep 9, 2026
- Discretionary RAUM · $0 to $8.1MJul 30, 2026 to Sep 9, 2026
- HNW RAUM · unset to 5393493.0Jul 30, 2026 to Sep 9, 2026
- Individual RAUM · unset to 608217.0Jul 30, 2026 to Sep 9, 2026
- Non-discretionary RAUM · $0 to $100MJul 30, 2026 to Sep 9, 2026
- Pension RAUM · unset to 0.0Jul 30, 2026 to Sep 9, 2026
- Pooled vehicle RAUM · unset to 0.0Jul 30, 2026 to Sep 9, 2026
- RAUM · $0 to $108MJul 30, 2026 to Sep 9, 2026
- Succession · false to unsetJul 30, 2026 to Sep 9, 2026
- Advisory employees · 2 to 4May 29, 2026 to Jun 29, 2026
- Employees · 3 to 4May 29, 2026 to Jun 29, 2026
- State-registered IARs · 2 to 4May 29, 2026 to Jun 29, 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
- (781) 682-3299reportedpublic record, Form ADV, Sep 9, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $27.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026