DFX Intelligence

RIA Intelligence

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SEC-registered adviser

U• S• B••••• C•••••• C•••••••••

Independent wealth managerLincoln, MassachusettsCRD 5251SEC 801-130044website IAPD

Latest filing Feb 3, 2026

First filing on the tape Mar 27, 2024 · 13 filings

SEC status approved since Apr 26, 2024

RAUM

$360M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

96%

$347M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$120M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM$360M as of Feb 3, 2026

Nov 15, 2024$336M then

HNW client RAUM$279M as of Feb 3, 2026

Nov 15, 2024$247M then

State-registered IARs (5.B.3)0 as of Feb 3, 2026

Nov 15, 20240 then

Employees (5.A)5 as of Feb 3, 2026

Nov 15, 20245 then

Private funds: no history

RAUM +7.2% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Feb 3, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $120MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 31derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $9.3MderivedHNW RAUM over HNW clients
Average account: $1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 3.5%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: +7.2%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +37%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months: 1derivedhalf or more of a firm's advisors moved here within 14 days
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

is a broker-dealer (6.A.1)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$279M78%
Individuals$68.0M19%
Pension and profit-sharing plans$12.8M3.5%

Individual clients: 62reported
HNW clients: 30reported
Pension plan clients: 5reported
Charitable clients: n/areported
Accounts: 271reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=true related_bank=false bd_reps=2.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J••• D••• M••••••••	Lincoln, Ma	May 15, 2024	10 y	1
A•••• M••••••	Newton, Ma	May 28, 2026	13 y	6
C•••• C•••••••• P•••••	Hamilton, Ma	Jun 9, 2026	25 y	1

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

C•••• C•••••••• P••••• from P••• T••• P•••••••• L•
Jun 9, 2026 · Other
A•••• M•••••• from P••• T••• P•••••••• L•
May 28, 2026 · Other
J••• D••• M•••••••• from P••• T••• P•••••••• L•
May 15, 2024 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 joined from P••• T••• P•••••••• L•
Sep 18, 2025 · Lincoln, Ma · Firm absorbed

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H•••• D•••• · Principal Operations Officercontrol
since 10/2018 · owns less than 5%
K••••••••• D•••••• A••• · Presidentcontrol
since 08/2007 · owns less than 5%
O••••••••• L••• · Vice President, Director And Clerkcontrol
since 05/1971 · owns less than 5%
U••••••• W•••••• L•• · Directorcontrol
since 04/1970 · owns less than 5%
O••••••••• L••• K• · Vice President, Director And Clerkcontrol
since 01/1971 · owns F of U••• B••••• C•••••••••
U••••••• W•••••• L•• · Treasurer And Directorcontrol
since 01/1971 · owns 75% or more of U••• B••••• C•••••••••

Entity owners

U••• B••••• C••••••••• · Shareholder
direct · owns 75% or more

Related persons

Schedule D 7.A

P••• T••• A•••••••• I•••
investment advisernRAUM $3.1B
P••• T••• P•••••••• L•
investment advisernRAUM $100M

Advisers that list U• S• B••••• C•••••• C••••••••• as a related person

104576 n
152581 n

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Lincoln, Ma · principal	3	2	0

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 HNW clientStatic outlier · filing Feb 3, 2026
HNW RAUM per HNW client of $9,301,582 against a peer median of $2,402,920 (4942 comparable advisers, 99.0th percentile, 4.7 robust deviations)
peers: independent wealth managers, $100M to $500M (4,942) · 99% percentile
low discretionary shareStatic outlier · filing Feb 3, 2026
discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 222 to 271
Feb 3, 2025 to Dec 3, 2025
HNW clients · 29 to 30
Feb 3, 2025 to Dec 3, 2025
Individual clients · 38 to 62
Feb 3, 2025 to Dec 3, 2025
HNW RAUM · $247M to $279M
Feb 3, 2025 to Dec 3, 2025
Individual RAUM · $55.5M to $68.0M
Feb 3, 2025 to Dec 3, 2025
Non-discretionary RAUM · $336M to $360M
Feb 3, 2025 to Dec 3, 2025
Pension RAUM · $32.7M to $12.8M
Feb 3, 2025 to Dec 3, 2025
RAUM · $336M to $360M
Feb 3, 2025 to Dec 3, 2025
Financial planning clients · 1-10 to 1-10
Nov 15, 2024 to Feb 3, 2025
Accounts · 20 to 222
Oct 18, 2024 to Nov 15, 2024
HNW clients · 7 to 29
Oct 18, 2024 to Nov 15, 2024
Individual clients · unset to 38.0
Oct 18, 2024 to Nov 15, 2024
Pension plan clients · unset to 5.0
Oct 18, 2024 to Nov 15, 2024
HNW RAUM · $130M to $247M
Oct 18, 2024 to Nov 15, 2024
Individual RAUM · $1.1M to $55.5M
Oct 18, 2024 to Nov 15, 2024
Non-discretionary RAUM · $131M to $336M
Oct 18, 2024 to Nov 15, 2024
Pension RAUM · unset to 32668282.0
Oct 18, 2024 to Nov 15, 2024
RAUM · $131M to $336M
Oct 18, 2024 to Nov 15, 2024
Accounts · 0 to 20
May 2, 2024 to Aug 21, 2024
Advisory activities · 1 to 4
May 2, 2024 to Aug 21, 2024
HNW clients · unset to 7.0
May 2, 2024 to Aug 21, 2024
HNW RAUM · unset to 129989848.0
May 2, 2024 to Aug 21, 2024
Individual RAUM · unset to 1104876.0
May 2, 2024 to Aug 21, 2024
Non-discretionary RAUM · $0 to $131M
May 2, 2024 to Aug 21, 2024
RAUM · $0 to $131M
May 2, 2024 to Aug 21, 2024

Signals

3 dated events

P••• T••• P•••••••• L•'s advisors moved to U• S• B••••• C•••••• C••••••••• (Lincoln, MA): 3 of 3 registered, on the same day
Sep 18, 2025 · Firm absorbed (people side) · derived
U• S• B••••• C•••••• C••••••••• reported RAUM $335.5M, up 156% from $131.1M (2024-10-18 to 2024-11-15)
Nov 15, 2024 · RAUM change · derived
U• S• B••••• C•••••• C••••••••• filed its initial SEC registration (Form ADV)
Mar 27, 2024 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

U• S• B••••• C•••••• C••••••••• · Private Equity
shared crd · intermediary
U••• B••••• Capital Corporation · Venture Capital
shared crd · org

How to reach

public business contact points only, each with its source

Website: u•••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 781-259-1144reportedpublic record, Form ADV, Feb 3, 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: $120Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

U• S• B••••• C•••••• C••••••••• is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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