DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

C••••• A•• M•••••• I••••••••• A•••••••• L••

CRD 109730

BAR HARBOR, ME

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Search this name across graphsid dfx:ria:6c07381d-17b6-b08c-247f-f4f4eee28c0b

Data as of Feb 15, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Mar 24, 2015 to Feb 15, 2018
13 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 3
Employees: 3
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
SEC number: 801-85173
CRD: 109730

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P••• A••••• C•••••	Certified Financial Planner	Bar Harbor, ME \| BAR HARBOR, ME	23	39	n/a	no
M•••••• J••••• M••••••	n/a	BAR HARBOR, ME	23	39

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• P•••• A•••••	Member	D	yes	01/2001	Mar 24, 2015	Feb 15, 2018
M••••••• M••••••• J•••••	MANAGING MEMBER-CHIEF COMPLIANCE OFFICER	D	yes	01/2001	Mar 24, 2015	Feb 15, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• M••••••• A•• P••••••• I•••	n/a	Independent wealth	$467M	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
BAR HARBOR	Me	United States	7	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 7, 2017

Advisor flows

••• Locked

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

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	n/a	$95.5M	n/a	n/a	n/a	3	3	1	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••• M•••••• • S••• F•••••••• A•••••••	2	Jan 22, 2016	Aug 21, 2015	BAR HARBOR, ME	Team lift out	Other	40.0%

Relationships

Affiliated with (2)

← C•••••• M•••••• • S••• F•••••••• A•••••••Registered adviserother investment adviser, common control
factForm ADV
→ C•••••• M•••••• • S••• F•••••••• A•••••••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (2)

← C•••••• P•••• A•••••OwnerMEMBER, ownership code D, individual
Mar 24, 2015 to presentfactForm ADV
← M••••••• M••••••• J•••••Owner

Dated events

Occurred
Mar 24, 2015
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6c07381d-17b6-b08c-247f-f4f4eee28c0b
First observed: Mar 24, 2015
Last observed: Feb 15, 2018 104 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.