DFX Intelligence

S•• M••••••••• • R••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

S•• M••••••••• • R••••••• L••

CRD 131162

DAMARISCOTTA, ME

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Search this name across graphsid dfx:ria:2821d2d8-2afe-91b9-c5c9-f4ac8369b626

Data as of Apr 2, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 2, 2012 to Apr 2, 2012
1 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: $40.0M••• Locked
Discretionary RAUM: $38.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 127
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• M•••• E•••••	CHIEF COMPLIANCE OFFICER, MANAGING MEMBER, CEO, CFO	E	yes	09/2005	Apr 2, 2012	Apr 2, 2012

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Damariscotta	Me	United States	n/a	no
Damariscotta	Me	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Apr 2, 2012	$40.0M	$38.0M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$40.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (1)

← A••••••• M•••• E•••••OwnerCHIEF COMPLIANCE OFFICER, MANAGING MEMBER, CEO, CFO, ownership code E, individual
Apr 2, 2012 to presentfactForm ADV

Registered with (1)

← M•••••••• H•••• T••••••• P••••••Advisorregistration: previous registration
Nov 17, 2009 to Sep 30, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2821d2d8-2afe-91b9-c5c9-f4ac8369b626
First observed: Apr 2, 2012
Last observed: Apr 2, 2012 176 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.