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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

DAINTREE ADVISORS LLC

CRD 153197

BOSTON, 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:a436cddd-8feb-ebd4-3a06-d6d9670e1a39

Data as of Jun 28, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 17
On other graphs: 0
Observed: Mar 8, 2012 to Jun 28, 2021
32 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: $1.3BItem 5.F on the latest filing (2021-06-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3B
Private client RAUM: $1.3BderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 27
Advisory employees: 12
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,386
High net worth clients: 266
Custody, client assets: $130M
SEC number: 801-71166
CRD: 153197
Filings on the tape: 32
First filed: Mar 8, 2012
Latest filed: Jun 28, 2021
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
Afari-Aikins, Samuel	President	Na	yes	11/2020	Dec 10, 2020	Jun 28, 2021
ANGRISANO, KAREN, MARIE	CHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER	Na	yes	08/2014	Aug 2, 2014	Jun 28, 2021
BEATTY, DAVID, LEE	CEO, MANAGING PARTNER AND MEMBER	D	yes	02/2010	Mar 8, 2012	Jun 28, 2021
FORKNER, KENT, MARK	CHIEF INVESTMENT OFFICER AND PARTNER	A	yes	05/2010	Mar 8, 2012	Jun 28, 2021
SPECIALE, WILLIAM, G.	Partner	A	yes	03/2012	Jan 31, 2013	Jun 28, 2021

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
VERITI MANAGEMENT LLC	n/a	Former SEC adviser	$1.4B	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	1	no

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
2020	Mar 17, 2021	$1.3B	$1.3B	27	12	1	n/a	n/a
2019	Mar 20, 2020	$1.2B	$1.1B	26	13	1	n/a	n/a
2018	Mar 29, 2019	$1.0B	$1.0B	28	14	1	n/a	n/a
2017	Mar 27, 2018	$1.1B	$1.1B	27	14	0	n/a	n/a
2016	Mar 23, 2017	$1.0B	$1.0B	29	13	n/a	n/a	n/a
2015	Mar 18, 2016	$1.1B	$1.1B	23	10	n/a	n/a	n/a
2014	Mar 24, 2015	$1.1B	$1.1B	27	12	n/a	n/a	n/a
2013	Mar 18, 2014	$1.1B	$1.1B	28	15	n/a	n/a	n/a
2012	Jan 31, 2013	$990M	$947M	17	13	n/a	n/a	n/a
2011	Mar 8, 2012	$670M	$663M	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
2020	$1.3B	$1.2B	14.0%	$1.1B	5.2%	27	26	1	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
CERITY PARTNERS LLC	8	Jan 6, 2022	Feb 8, 2022	BOSTON, MA	Firm absorbed	RIA to RIA	72.7%
FIRST TRUST DIRECT INDEXING	2	Jan 6, 2022	Dec 6, 2018	BOSTON, MA	Team lift out	RIA to RIA	18.2%

Relationships

Affiliated with (1)

→ FIRST TRUST DIRECT INDEXINGRegistered adviserother investment adviser, common control
factForm ADV

Controls (5)

← FORKNER, KENT, MARKOwnerCHIEF INVESTMENT OFFICER AND PARTNER, ownership code A, individual
Mar 8, 2012 to presentfactForm ADV
← BEATTY, DAVID, LEEOwnerCEO, MANAGING PARTNER AND MEMBER, ownership code D, individual
Mar 8, 2012 to presentfactForm ADV
← SPECIALE, WILLIAM, G.OwnerPARTNER, ownership code A, individual
Jan 31, 2013 to presentfactForm ADV
← ANGRISANO, KAREN, MARIEOwnerCHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER, ownership code NA, individual
Aug 2, 2014 to presentfactForm ADV
← Afari-Aikins, SamuelOwnerPRESIDENT, ownership code NA, individual
Dec 10, 2020 to presentfactForm ADV

Moved with (2)

→ CERITY PARTNERS LLCRegistered adviser8 advisors, firm absorbed, same day
Jan 6, 2022 to Feb 8, 2022factForm ADV
→ FIRST TRUST DIRECT INDEXINGRegistered adviser2 advisors, team lift out, same day
Jan 6, 2022 to Dec 6, 2018factForm ADV

Registered with (14)

← LAUREN N. DESFORGEAdvisorregistration: previous registration
Sep 29, 2011 to Jan 6, 2022factForm ADV
← STEPHEN PRESTON OLIVERAdvisorregistration: previous registration
Nov 23, 2010 to Jan 6, 2022factForm ADV
← KENT MARK FORKNERAdvisorregistration: previous registration
May 12, 2010 to Jan 6, 2022factForm ADV
← MARY SHAHIANAdvisorregistration: previous registration
Nov 23, 2010 to Jan 6, 2022factForm ADV
← DAVID LEE BEATTYAdvisorregistration: previous registration
Mar 3, 2010 to Jan 6, 2022factForm ADV
← ALEXANDER JONATHAN GROSSAdvisorregistration: previous registration
Dec 6, 2011 to Jan 6, 2022factForm ADV
← BARBARA CARROLL ATTARDOAdvisorregistration: previous registration
Aug 15, 2011 to Jan 6, 2022factForm ADV
← WILLIAM G. SPECIALEAdvisorregistration: previous registration
Apr 30, 2012 to Jan 6, 2022factForm ADV
← Evan Phillips KaplanAdvisorregistration: previous registration
Jul 18, 2016 to Jan 6, 2022factForm ADV
← Janie Marie MonroeAdvisorregistration: previous registration
Mar 16, 2021 to Jan 6, 2022factForm ADV
← Samuel Afari-AikinsAdvisorregistration: previous registration
Sep 20, 2017 to Jan 6, 2022factForm ADV
← JonPaul McBrideAdvisorregistration: previous registration
Jul 17, 2018 to Oct 21, 2019factForm ADV
← JENNIFER ANN MORANAdvisorregistration: previous registration
Feb 28, 2011 to Nov 21, 2014factForm ADV
← JEBALAKSHI ANGELINE INDRIKA ARNOLDAdvisorregistration: previous registration
Mar 18, 2011 to Jan 2, 2013factForm ADV

Dated events

Occurred
Jan 6, 2022
Team lift-out
2 advisors left Daintree Advisors LLC (Boston, MA) for First Trust Direct Indexing on the same day
Form ADVobserved 3 days ago
2 advisors
Occurred
Jan 6, 2022
Firm absorbed
Daintree Advisors LLC's advisors moved to Cerity Partners LLC (Boston, MA): 8 of 11 registered, on the same day
Form ADVobserved 3 days ago
8 advisors
Occurred
Jan 6, 2022
Advisor changed firm
Janie Marie Monroe left Daintree Advisors Llc for Cerity Partners Llc (registered 2022-02-08)
Form ADVobserved 4 days ago
Occurred
Jan 6, 2022
Advisor changed firm
Mary Shahian left Daintree Advisors Llc for Cerity Partners Llc (registered 2022-02-08)
Form ADVobserved 4 days ago
Occurred
Jan 6, 2022
Advisor changed firm
David Lee Beatty left Daintree Advisors Llc for First Trust Direct Indexing (registered 2018-12-06)
Form ADVobserved 4 days ago
Occurred
Jan 6, 2022
Advisor changed firm
Barbara Carroll Attardo left Daintree Advisors Llc for Cerity Partners Llc (registered 2022-02-08)
Form ADVobserved 4 days ago
Occurred
Jan 6, 2022
Advisor changed firm
Samuel Afari-Aikins left Daintree Advisors Llc for Cerity Partners Llc (registered 2022-01-11)
Form ADVobserved 4 days ago
Occurred
Jan 6, 2022
Advisor changed firm
Stephen Preston Oliver left Daintree Advisors Llc for Cerity Partners Llc (registered 2022-02-08)
Form ADVobserved 4 days ago
Occurred
Jan 6, 2022
Advisor changed firm
Lauren N. Desforge left Daintree Advisors Llc for Cerity Partners Llc (registered 2022-02-08)
Form ADVobserved 4 days ago
Occurred
Jan 6, 2022
Advisor changed firm
William G. Speciale left Daintree Advisors Llc for Cerity Partners Llc (registered 2022-02-08)
Form ADVobserved 4 days ago
Occurred
Jan 6, 2022
Advisor changed firm
Alexander Jonathan Gross left Daintree Advisors Llc for Cerity Partners Llc (registered 2022-02-08)
Form ADVobserved 4 days ago
Occurred
Jan 6, 2022
Advisor changed firm
Evan Phillips Kaplan left Daintree Advisors Llc for Cerity Partners Llc (registered 2022-02-08)
Form ADVobserved 4 days ago
Occurred
Jan 6, 2022
Advisor changed firm
Kent Mark Forkner left Daintree Advisors Llc for First Trust Direct Indexing (registered 2018-12-06)
Form ADVobserved 4 days ago
Occurred
Mar 17, 2021
Control person left
Preston Stephen Oliver (Partner) no longer on Schedule A of Daintree Advisors Llc (listed 2021-02-22, absent 2021-03-17)
Form ADVobserved 4 days ago
Occurred
Mar 17, 2021
Control person left
James Eric Godes (Executive Strategist) no longer on Schedule A of Daintree Advisors Llc (listed 2021-02-22, absent 2021-03-17)
Form ADVobserved 4 days ago
Occurred
Dec 10, 2020
Control person joined
Samuel Afari-Aikins (President) appeared on Schedule A of Daintree Advisors Llc
Form ADVobserved 4 days ago
Occurred
Mar 29, 2019
Control person left
Mary Shahian (Partner) no longer on Schedule A of Daintree Advisors Llc (listed 2018-12-20, absent 2019-03-29)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a436cddd-8feb-ebd4-3a06-d6d9670e1a39
First observed: Mar 8, 2012
Last observed: Jun 28, 2021 63 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.

DAINTREE ADVISORS LLC

CRD 153197

BOSTON, 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:a436cddd-8feb-ebd4-3a06-d6d9670e1a39

Data as of Jun 28, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:00 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Afari-Aikins, Samuel

President

yes

11/2020

Dec 10, 2020

Jun 28, 2021

ANGRISANO, KAREN, MARIE

CHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER

yes

08/2014

Aug 2, 2014

Jun 28, 2021

BEATTY, DAVID, LEE

CEO, MANAGING PARTNER AND MEMBER

yes

02/2010

Mar 8, 2012

Jun 28, 2021

FORKNER, KENT, MARK

CHIEF INVESTMENT OFFICER AND PARTNER

yes

05/2010

Mar 8, 2012

Jun 28, 2021

SPECIALE, WILLIAM, G.

Partner

yes

03/2012

Jan 31, 2013

Jun 28, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VERITI MANAGEMENT LLC

n/a

Former SEC adviser

$1.4B

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 17, 2021

$1.3B

n/a

2019

Mar 20, 2020

$1.2B

$1.1B

n/a

2018

Mar 29, 2019

$1.0B

n/a

2017

Mar 27, 2018

$1.1B

n/a

2016

Mar 23, 2017

$1.0B

n/a

2015

Mar 18, 2016

$1.1B

n/a

2014

Mar 24, 2015

$1.1B

n/a

2013

Mar 18, 2014

$1.1B

n/a

2012

Jan 31, 2013

$990M

$947M

n/a

2011

Mar 8, 2012

$670M

$663M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$1.3B

$1.2B

14.0%

$1.1B

5.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CERITY PARTNERS LLC

Jan 6, 2022

Feb 8, 2022

BOSTON, MA

Firm absorbed

RIA to RIA

72.7%

FIRST TRUST DIRECT INDEXING

Jan 6, 2022

Dec 6, 2018

BOSTON, MA

Team lift out

RIA to RIA

18.2%