DFX Intelligence

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

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

F•••••••• F••••• I•••

CRD 117327

WOLFEBORO, NH

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Search this name across graphsid dfx:ria:82e6f897-b220-f9d7-0fc7-235a4e9a15b7

Data as of Feb 12, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 14, 2012 to Feb 12, 2019
16 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: $276M••• Locked
Discretionary RAUM: $252M
Private client RAUM: $272Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J•••• S••••• M•••••••••	President	E	yes	09/2004	Mar 14, 2012	Feb 12, 2019
G••••••• T•••••• G•••••	CHIEF COMPLIANCE OFFICER	Na	no	03/2014	Nov 4, 2014	Feb 12, 2019

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$276M	$287M	-3.8%	$199M	11.5%	5	5	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F• L• P••••• I••••••••• M••••••••• C••	6	Jul 16, 2019	Apr 5, 2019	WOLFEBORO, NH	Firm absorbed	RIA to RIA	100.0%

Relationships

Owns (3)

← M•••••• K••••••• A••OwnerVICE PRESIDENT, ownership code B, individual
Mar 14, 2012 to presentfactForm ADV
← G••••••• T•••••• G•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 4, 2014 to presentfactForm ADV
← L••••• D••••••• S•••••OwnerFINANCIAL PLANNER, ownership code B, individual
Mar 14, 2013 to presentfactForm ADV

Controls (1)

← J•••• S••••• M•••••••••OwnerPRESIDENT, ownership code E, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:82e6f897-b220-f9d7-0fc7-235a4e9a15b7
First observed: Mar 14, 2012
Last observed: Feb 12, 2019 92 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.