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
R••••••••• R•••••••• I••••••••• C•••••••••
Latest filing Apr 28, 2026
First filing on the tape Mar 27, 2012 · 34 filings
SEC status approved since Sep 2, 2005
RAUM
$2.4B
reported, Item 5.F
Discretionary
6.0%
of RAUM
Private clients
6.5%
$160M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$1.2B
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$2.4B as of Apr 28, 2026
Aug 31, 2012$338M then
HNW client RAUM$131M as of Apr 28, 2026
Mar 16, 2018$39.3M then
State-registered IARs (5.B.3)2 as of Apr 28, 2026
Aug 31, 20120 then
Employees (5.A)7 as of Apr 28, 2026
Sep 16, 20135 then
Private funds: no history
RAUM +23% over the last fiscal year+22% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $1.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $8.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 6.0%derivedof RAUM
- Institutional
- 93%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $146MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$2.3B93%
- High-net-worth individuals$131M5.4%
- Individuals$28.3M1.2%
- Corporations and businesses$625,6500.0%
- Charitable organizations$54,4320.0%
- Individual clients
- 73reported
- HNW clients
- 48reported
- Pension plan clients
- 31reported
- Charitable clients
- n/areported
- Accounts
- 299reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.07 fund_share=0.0 institutional_share=0.93 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• F••••••• P••••••• | Andover, Ma | Oct 18, 2005 | 37 y | 0 |
| P•••••• P• M•••••Chartered Financial Analyst | Andover, Ma | Jul 27, 2007 | 31 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• P••••••• P• · President And Chief Compliance Officercontrolsince 03/2022 · owns 75% or more
- P•••••••• J••••• F••••••• · Vice Presidentcontrolsince 03/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Andover, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 290 to 299Dec 15, 2025 to Feb 3, 2026
- HNW clients · 49 to 48Dec 15, 2025 to Feb 3, 2026
- Individual clients · 74 to 73Dec 15, 2025 to Feb 3, 2026
- Pension plan clients · 29 to 31Dec 15, 2025 to Feb 3, 2026
- Discretionary RAUM · $127M to $146MDec 15, 2025 to Feb 3, 2026
- HNW RAUM · $117M to $131MDec 15, 2025 to Feb 3, 2026
- Individual RAUM · $24.1M to $28.3MDec 15, 2025 to Feb 3, 2026
- Non-discretionary RAUM · $1.9B to $2.3BDec 15, 2025 to Feb 3, 2026
- Pension RAUM · $1.9B to $2.3BDec 15, 2025 to Feb 3, 2026
- RAUM · $2.0B to $2.4BDec 15, 2025 to Feb 3, 2026
- HQ city · PEABODY to ANDOVERApr 17, 2025 to Dec 15, 2025
- Financial planning clients · 26-50 to 26-50Feb 25, 2025 to Apr 17, 2025
- Accounts · 261 to 290Aug 7, 2024 to Feb 25, 2025
- HNW clients · 40 to 49Aug 7, 2024 to Feb 25, 2025
- Individual clients · 73 to 74Aug 7, 2024 to Feb 25, 2025
- Pension plan clients · 28 to 29Aug 7, 2024 to Feb 25, 2025
- Discretionary RAUM · $110M to $127MAug 7, 2024 to Feb 25, 2025
- HNW RAUM · $99.2M to $117MAug 7, 2024 to Feb 25, 2025
- Individual RAUM · $25.6M to $24.1MAug 7, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $1.6B to $1.9BAug 7, 2024 to Feb 25, 2025
- Pension RAUM · $1.5B to $1.9BAug 7, 2024 to Feb 25, 2025
- RAUM · $1.7B to $2.0BAug 7, 2024 to Feb 25, 2025
- Accounts · 249 to 261Mar 15, 2023 to Mar 14, 2024
- HNW clients · 49 to 40Mar 15, 2023 to Mar 14, 2024
- Individual clients · 58 to 73Mar 15, 2023 to Mar 14, 2024
- Pension plan clients · 29 to 28Mar 15, 2023 to Mar 14, 2024
- Discretionary RAUM · $70.1M to $110MMar 15, 2023 to Mar 14, 2024
- HNW RAUM · $92.2M to $99.2MMar 15, 2023 to Mar 14, 2024
- Individual RAUM · $13.2M to $25.6MMar 15, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $1.3B to $1.6BMar 15, 2023 to Mar 14, 2024
- Pension RAUM · $1.3B to $1.5BMar 15, 2023 to Mar 14, 2024
- RAUM · $1.4B to $1.7BMar 15, 2023 to Mar 14, 2024
- Accounts · 231 to 249Mar 16, 2022 to Mar 15, 2023
- HNW clients · 27 to 49Mar 16, 2022 to Mar 15, 2023
- Individual clients · 88 to 58Mar 16, 2022 to Mar 15, 2023
- Pension plan clients · 31 to 29Mar 16, 2022 to Mar 15, 2023
- Employees · 5 to 7Mar 16, 2022 to Mar 15, 2023
- Financial planning clients · 11-25 to 26-50Mar 16, 2022 to Mar 15, 2023
- Discretionary RAUM · $78.4M to $70.1MMar 16, 2022 to Mar 15, 2023
- HNW RAUM · $70.2M to $92.2MMar 16, 2022 to Mar 15, 2023
Signals
2 dated events
- P Patrick Mcginn (President And Chief Compliance Officer) appeared on Schedule A of R••••••••• R•••••••• I••••••••• C•••••••••Mar 16, 2022 · Control person joined · fact
- R••••••••• R•••••••• I••••••••• C••••••••• reported RAUM $1.1B, up 29% from $845.1M (2019-03-28 to 2020-03-27)Mar 27, 2020 · RAUM change · 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
- Website
- rrfic.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 978-536-9000reportedpublic record, Form ADV, Apr 28, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026