DFX Intelligence

B•••• C••• C••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

B•••• C••• C••••••

CRD 305393

CUMBERLAND FORESIDE, ME

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Search this name across graphsid dfx:ria:15e250f1-493f-aaa0-b675-381318870bf8

Data as of Nov 4, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Aug 13, 2019 to Nov 4, 2021
16 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $185M••• Locked
Discretionary RAUM: $153M
Private client RAUM: $153Mderived••• Locked
Private client share: 83%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• M••••••• E••••• D•••••••	SOLE DIRECTOR, ACTING PRESIDENT, CHIEF COMPLIANCE OFFICER	C	yes	09/2019	Aug 13, 2019	Nov 4, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Jan 11, 2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$185M	$138M	34.1%	n/a	n/a	3	4	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••• T•••• A•••••••	2	Nov 8, 2021	Oct 28, 2021	CUMBERLAND FORESIDE, ME	Team lift out	RIA to RIA	66.7%

Relationships

Controls (1)

← D••••••••• M••••••• E••••• D•••••••OwnerSOLE DIRECTOR, ACTING PRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code C, individual
Aug 13, 2019 to presentfactForm ADV

Registered with (3)

← JOHN DENIS DUFFYAdvisorregistration: previous registration
Sep 10, 2019 to Nov 10, 2021factForm ADV
← M•••••• E••••• D••••••• D•••••••••Advisorregistration: previous registration
Sep 10, 2019 to Nov 8, 2021factForm ADV
←

Dated events

Occurred
Nov 2, 2021
Control person left
Denis John Duffy (Director, President) no longer on Schedule A of B•••• C••• C•••••• (listed 2021-10-27, absent 2021-11-02)
Form ADVobserved 7 days ago
Occurred
Sep 30, 2019
Control person left
Roserio Peter Guarino (Chief Compliance Officer) no longer on Schedule A of B•••• C••• C•••••• (listed 2019-09-12, absent 2019-09-30)
Form ADVobserved 7 days ago
Occurred
Sep 12, 2019
Control person joined
Roserio Peter Guarino (Chief Compliance Officer) appeared on Schedule A of B•••• C••• C••••••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:15e250f1-493f-aaa0-b675-381318870bf8
First observed: Aug 13, 2019
Last observed: Nov 4, 2021 59 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.