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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Former SEC-registered adviser
A••••••• R••••••• • M••••••••• C•
Legal name A••••••• R••••••• • M••••••••• C••••••
Latest filing Mar 16, 2022
First filing on the tape Mar 12, 2012 · 15 filings
RAUM
$643M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$603M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$643M as of Mar 16, 2022
Mar 12, 2012$296M then
HNW client RAUM$545M as of Mar 16, 2022
Feb 22, 2018$221M then
State-registered IARs (5.B.3)2 as of Mar 16, 2022
Mar 12, 20120 then
Employees (5.A)8 as of Mar 16, 2022
Mar 25, 20137 then
Private funds: no history
RAUM +14% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 16, 2022; every figure names its basis
- RAUM per advisor
- $321MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $774,135derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +34%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $170M, 100 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.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$545M85%
- Individuals$58.4M9.1%
- Charitable organizations$39.3M6.1%
- Individual clients
- 142reported
- HNW clients
- 120reported
- Pension plan clients
- 0reported
- Charitable clients
- 13reported
- Accounts
- 830reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $170M for 100 clientsreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- A••••• F••••••• M••••••• to B•••••• W••••• P•••••••• L••Oct 19, 2022 · RIA to RIA
- E••• H••••• S••••• to B•••••• W••••• P•••••••• L••Oct 19, 2022 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B•••••• W••••• P•••••••• L••Oct 19, 2022 · Marion, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• A••••• F••••••• · Vice President- Chief Compliance Officercontrolsince 02/2000 · owns 50% to 75%
- S•••••• E••• H••••• · Presidentcontrolsince 10/2004 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 815 to 830Mar 19, 2021 to Mar 16, 2022
- Advisory employees · 9 to 8Mar 19, 2021 to Mar 16, 2022
- Charity clients · 11 to 13Mar 19, 2021 to Mar 16, 2022
- HNW clients · 81 to 120Mar 19, 2021 to Mar 16, 2022
- Individual clients · 114 to 142Mar 19, 2021 to Mar 16, 2022
- Assets in custody · $148M to $170MMar 19, 2021 to Mar 16, 2022
- Employees · 9 to 8Mar 19, 2021 to Mar 16, 2022
- Discretionary RAUM · $565M to $643MMar 19, 2021 to Mar 16, 2022
- HNW RAUM · $485M to $545MMar 19, 2021 to Mar 16, 2022
- Individual RAUM · $46.9M to $58.4MMar 19, 2021 to Mar 16, 2022
- RAUM · $565M to $643MMar 19, 2021 to Mar 16, 2022
- Accounts · 689 to 815Jun 9, 2020 to Feb 16, 2021
- Advisory employees · 8 to 9Jun 9, 2020 to Feb 16, 2021
- Charity clients · 9 to 11Jun 9, 2020 to Feb 16, 2021
- HNW clients · 104 to 81Jun 9, 2020 to Feb 16, 2021
- Individual clients · 115 to 114Jun 9, 2020 to Feb 16, 2021
- Assets in custody · $450M to $148MJun 9, 2020 to Feb 16, 2021
- Employees · 8 to 9Jun 9, 2020 to Feb 16, 2021
- Discretionary RAUM · $476M to $565MJun 9, 2020 to Feb 16, 2021
- HNW RAUM · $394M to $485MJun 9, 2020 to Feb 16, 2021
- Individual RAUM · $53.0M to $46.9MJun 9, 2020 to Feb 16, 2021
- RAUM · $476M to $565MJun 9, 2020 to Feb 16, 2021
- Accounts · 674 to 689Mar 12, 2019 to Feb 25, 2020
- Charity clients · 10 to 9Mar 12, 2019 to Feb 25, 2020
- HNW clients · 96 to 104Mar 12, 2019 to Feb 25, 2020
- Individual clients · 118 to 115Mar 12, 2019 to Feb 25, 2020
- Assets in custody · $400M to $450MMar 12, 2019 to Feb 25, 2020
- Discretionary RAUM · $399M to $476MMar 12, 2019 to Feb 25, 2020
- HNW RAUM · $337M to $394MMar 12, 2019 to Feb 25, 2020
- Individual RAUM · $38.7M to $53.0MMar 12, 2019 to Feb 25, 2020
- RAUM · $399M to $476MMar 12, 2019 to Feb 25, 2020
- Accounts · 669 to 674Mar 29, 2018 to Mar 12, 2019
- Advisory employees · 7 to 8Mar 29, 2018 to Mar 12, 2019
- Charity clients · 9 to 10Mar 29, 2018 to Mar 12, 2019
- HNW clients · 19 to 96Mar 29, 2018 to Mar 12, 2019
- Individual clients · 192 to 118Mar 29, 2018 to Mar 12, 2019
- Assets in custody · $410M to $400MMar 29, 2018 to Mar 12, 2019
- Employees · 7 to 8Mar 29, 2018 to Mar 12, 2019
- Discretionary RAUM · $425M to $399MMar 29, 2018 to Mar 12, 2019
- HNW RAUM · $221M to $337MMar 29, 2018 to Mar 12, 2019
Signals
3 dated events
- E••• H••••• S••••• left A••••••• R••••••• • M••••••••• C• for B•••••• W••••• P•••••••• L•• (registered 2022-10-17)Oct 19, 2022 · Advisor changed firm · fact
- A••••• F••••••• M••••••• left A••••••• R••••••• • M••••••••• C• for B•••••• W••••• P•••••••• L•• (registered 2022-10-14)Oct 19, 2022 · Advisor changed firm · fact
- 2 advisors left A••••••• R••••••• • M••••••••• C• (Marion, MA) for B•••••• W••••• P•••••••• L•• on the same dayOct 19, 2022 · Team lift-out · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026