DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

C•••••• S••••• A•••••••

C•••••• S••••• A•••••••, LLC, CRD 173487

MARION, 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:81c64d0d-4c04-9501-5758-73e0a7e82f42

Data as of Mar 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 1
Observed: Nov 3, 2014 to Mar 6, 2026
26 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Family Officesidentity

C•••••• S••••• A•••••••

Family office · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $334M••• Locked
Discretionary RAUM: $334M
Private client RAUM: $331Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $167Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• K•• D••••	n/a	SARASOTA, FL \| MARION, MA	11	31	1	no
J•••• B••••••• H•••••••	Chartered Financial Analyst	MARION, MA \| NASHUA, NH	8	29

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• M••••••• K••	MANAGING PARTNER	E	yes	10/2014	Nov 3, 2014	Mar 4, 2024
H•••••••• J••••• B•••••••	SENIOR PARTNER AND CHIEF COMPLIANCE OFFICER	B	yes	10/2017	Nov 15, 2017	Mar 4, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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
2025	$334M	$290M	15.0%	$191M	20.5%	4	3	2	2

Relationships

Registered with (3)

← J•••• B••••••• H•••••••Advisorregistration: current employment
Oct 24, 2017 to presentfactForm ADV
← M•••••• K•• D••••Advisorregistration: current employment
Mar 24, 2015 to presentfactForm ADV
← ANDREW NELSON MACKENAdvisorregistration: previous registration
Dec 8, 2014 to Oct 2, 2017factForm ADV

Controls (2)

Dated events

Occurred
Nov 3, 2014
First Form ADV filing
C•••••• S••••• A•••••••, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:81c64d0d-4c04-9501-5758-73e0a7e82f42
First observed: Nov 3, 2014
Last observed: Mar 6, 2026 6 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.