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E••••••• I••••••••• A••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

E••••••• I••••••••• A••••••• I••

CRD 106380

MANCHESTER, NH

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Search this name across graphsid dfx:ria:4ca48685-f831-5ce1-a07d-4f0975c3e68f

Data as of May 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Mar 7, 2012 to May 18, 2026
27 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: independent wealth managerderivedprivate_client_share=0.75 fund_share=0.0 institutional_share=0.24 related_bd=false related_bank=false bd_reps=7.0
Regulatory AUM: $814MItem 5.F on the latest filing (2026-05-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $814M
Private client RAUM: $613MderivedItem 5.D individuals plus high net worth individuals
Private client share: 75%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••• B••••• E•••••••	n/a	MANCHESTER, NH \| BOCA RATON, FL \| NEW DURHAM, NH	33	42	n/a	yes
S•••••• F•••• E•••••••	n/a	MANCHESTER, NH \| BOCA RATON, FL \| NEW DURHAM, NH	33

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E•••••••• S••••• B•••••	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	06/1992	Mar 7, 2012	Dec 20, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••• E••••••• • C••••••	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	2	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$814M	$791M	3.0%	$585M	11.6%	8	8	1	1

Relationships

Registered with (12)

← J••••• B••••• E•••••••Advisorregistration: current employment
Jan 10, 2019 to presentfactForm ADV
← S•••••• R••••• M•••••Advisorregistration: current employment
Mar 3, 2016 to presentfactForm ADV
← C•••• A••• G•••••Advisorregistration: current employment
Oct 12, 2010 to presentfactForm ADV
← S••• P•••••• R••••

Dated events

Occurred
Mar 27, 2024
Regulatory AUM changed
E••••••• I••••••••• A••••••• I•• reported RAUM $735.3M, up 26% from $585.2M (2023-03-29 to 2024-03-27)
Form ADVobserved 7 days ago
$150M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4ca48685-f831-5ce1-a07d-4f0975c3e68f
First observed: Mar 7, 2012
Last observed: May 18, 2026 4 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.

2025	Mar 26, 2026	$814M	$814M	8	8	1	n/a	n/a
2024	Apr 17, 2025	$791M	$791M	8	8	1	n/a	n/a
2023	Mar 27, 2024	$735M	$735M	8	8	1	n/a	n/a
2022	Mar 29, 2023	$585M	$585M	8	8	0	n/a	n/a
2021	Mar 23, 2022	$667M	$667M	8	8	0	n/a	n/a
2020	Mar 25, 2021	$566M	$566M	9	9	0	n/a	n/a
2019	Mar 20, 2020	$499M	$499M	9	9	0	n/a	n/a
2018	Mar 25, 2019	$408M	$408M	9	9	0	n/a	n/a
2017	Mar 29, 2018	$401M	$401M	9	9	0	n/a	n/a
2016	Mar 7, 2017	$323M	$323M	9	9	n/a	n/a	n/a
2015	Mar 22, 2016	$292M	$292M	10	10	n/a	n/a	n/a
2014	Mar 11, 2015	$305M	$305M	10	10	n/a	n/a	n/a
2013	Mar 21, 2014	$275M	$275M	10	10	n/a	n/a	n/a
2012	Mar 4, 2013	$221M	$221M	10	10	n/a	n/a	n/a
2011	Mar 7, 2012	$200M	$200M	n/a	n/a	n/a	n/a	n/a