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

ABARIS FINANCIAL GROUP, LLC

CRD 116355

CONCORD, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6b32f5df-6e72-763c-faef-aea06bb22d84

Data as of Apr 15, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Apr 15, 2019
15 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: $146MItem 5.F on the latest filing (2019-04-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $146M
Private client RAUM: $141MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 543
Individual clients: 92
High net worth clients: 47
Custody, client assets: $115M
SEC number: 801-64527
CRD: 116355
Filings on the tape: 15
First filed: Mar 28, 2012
Latest filed: Apr 15, 2019
Organised: Limited Liability Company, Delaware

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
HENDERSON, ABBEY, LEE	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	E	yes	09/2001	Mar 28, 2012	Apr 15, 2019

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
2018	Mar 22, 2019	$146M	$146M	6	4	0	n/a	n/a
2017	Mar 24, 2018	$147M	$146M	6	4	1	n/a	n/a
2016	Mar 16, 2017	$132M	$132M	4	4	n/a	n/a	n/a
2015	Mar 21, 2016	$122M	$122M	5	4	n/a	n/a	n/a
2014	Jan 19, 2015	$122M	$122M	5	4	n/a	n/a	n/a
2013	Mar 5, 2014	$111M	$111M	4	4	n/a	n/a	n/a
2012	Mar 8, 2013	$91.6M	$91.6M	4	4	n/a	n/a	n/a
2011	Mar 28, 2012	$90.6M	$90.6M	n/a	n/a	n/a	n/a	n/a

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
2018	$146M	$147M	-1.0%	$122M	6.1%	6	6	0	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CWM, LLC	2	Jun 17, 2019	Apr 1, 2019	CONCORD, MA	Team lift out	RIA to ibd	100.0%

Relationships

Controls (1)

← HENDERSON, ABBEY, LEEOwnerMANAGING MEMBER / CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV

Registered with (2)

← JANET RHODES FRIEDMANAdvisorregistration: previous registration
Oct 6, 2009 to Jun 17, 2019factForm ADV
← ABBEY LEE HENDERSONAdvisorregistration: previous registration
Dec 4, 2001 to Jun 17, 2019factForm ADV

Moved with (1)

→ CWM, LLCRegistered adviser2 advisors, team lift out, same day
Jun 17, 2019 to Apr 1, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6b32f5df-6e72-763c-faef-aea06bb22d84
First observed: Mar 28, 2012
Last observed: Apr 15, 2019 90 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.

ABARIS FINANCIAL GROUP, LLC

CRD 116355

CONCORD, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6b32f5df-6e72-763c-faef-aea06bb22d84

Data as of Apr 15, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:08 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HENDERSON, ABBEY, LEE

MANAGING MEMBER / CHIEF COMPLIANCE OFFICER

yes

09/2001

Mar 28, 2012

Apr 15, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 22, 2019

$146M

n/a

2017

Mar 24, 2018

$147M

$146M

n/a

2016

Mar 16, 2017

$132M

n/a

2015

Mar 21, 2016

$122M

n/a

2014

Jan 19, 2015

$122M

n/a

2013

Mar 5, 2014

$111M

n/a

2012

Mar 8, 2013

$91.6M

n/a

2011

Mar 28, 2012

$90.6M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$146M

$147M

-1.0%

$122M

6.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CWM, LLC

Jun 17, 2019

Apr 1, 2019

CONCORD, MA

Team lift out

RIA to ibd

100.0%