DFX Intelligence

S••••••• C•••••• M•••••••••: 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 adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

S••••••• C•••••• M•••••••••

CRD 126928

PORTSMOUTH, NH

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:a51fbdbe-191f-0d67-bfad-7249329f7207

Data as of Mar 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 8
On other graphs: 0
Observed: Feb 29, 2012 to Mar 16, 2026
28 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: $467M••• Locked
Discretionary RAUM: $467M
Private client RAUM: $457Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••••• M•••••• A••	TRUSTEE AND MANAGING MEMBER	D	yes	11/2015	Feb 29, 2012	Mar 23, 2024
M•••••••• M•••••• A••	MANAGING MEMBER AND PRESIDENT	Na	yes	04/2005	Feb 29, 2012	Mar 23, 2024

Regulatory AUM by fiscal year

••• Locked

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

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	4	-4	n/a	0	4	0	0	4

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	$467M	$400M	16.6%	$282M	18.4%	6	6	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••	4	Aug 28, 2026	Aug 12, 2026	PORTSMOUTH, NH	Firm absorbed	RIA to RIA	100.0%

Relationships

Registered with (6)

← M••••• A•• M•••••••Advisorregistration: previous registration
Apr 11, 2005 to Aug 28, 2026factForm ADV
← A••••• M••• L••••••••Advisorregistration: previous registration
Oct 8, 2015 to Aug 28, 2026factForm ADV
← C•••••••• L•••• S•••••••Advisorregistration: previous registration
May 23, 2018 to Aug 28, 2026factForm ADV
← L••••• B••••••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 28, 2026
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
4 advisors
Occurred
Aug 28, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 28, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a51fbdbe-191f-0d67-bfad-7249329f7207
First observed: Feb 29, 2012
Last observed: Mar 16, 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.