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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

DAVID WENDELL ASSOCIATES, INC.

WENDELL DAVID ASSOCIATES INC, CRD 106664

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:aaf7e9e7-29f6-4c03-1fef-796524b31c2c

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 7
On other graphs: 0
Observed: Nov 15, 2011 to Mar 19, 2026
33 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: independent wealth managerderivedprivate_client_share=0.81 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.3BItem 5.F on the latest filing (2026-03-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.1B
Private client RAUM: $1.1BderivedItem 5.D individuals plus high net worth individuals
Private client share: 81%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $266Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 465
Individual clients: 234
High net worth clients: 208
SEC number: 801-47437
CRD: 106664
Filings on the tape: 33
First filed: Nov 15, 2011
Latest filed: Mar 19, 2026
Organised: Corporation, NH
Website: davidwendell.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
KAREN "NMN" WENDELL	n/a	PORTSMOUTH, NH	25	31	n/a	no
WILLIAM HENRY LEDGER MITCHELL	n/a	PORTSMOUTH, NH	15	43	1	no
NEIL GERHARD BLEICKEN	n/a	PORTSMOUTH, NH	10	14	2	no
REID VAILE SMITH	Chartered Financial Analyst	PORTSMOUTH, NH	3	35	2	no
TIMOTHY PATRICK REARDON	n/a	PORTSMOUTH, NH	2	17	1	no

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
BLEICKEN, NEIL, GERHARD	SENIOR VICE PRESIDENT	Na	yes	07/2023	Mar 19, 2026	Mar 19, 2026
MITCHELL, WILLIAM, HENRY LEDGER	Chairman	Na	yes	07/2017	Mar 19, 2026	Mar 19, 2026
REARDON, TIMOTHY, PATRICK	VICE PRESIDENT	Na	yes	08/2024	Mar 19, 2026	Mar 19, 2026
SMITH, REID, VAILE	SENIOR VICE PRESIDENT	Na	yes	09/2023	Mar 19, 2026	Mar 19, 2026
FARRIS, ANNE, FLEMING	SENIOR VICE PRESIDENT OPERATIONS AND SECRETARY	Na	yes	07/2023	Mar 11, 2019	Sep 16, 2024
WENDELL, KAREN, "NMN"	CEO, PRESIDENT, TREASURER & CHIEF COMPLIANCE OFFICER	E	yes	07/2017	Nov 15, 2011	Sep 16, 2024

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
2025	Mar 19, 2026	$1.3B	$1.1B	5	5	0	n/a	n/a
2024	Mar 25, 2025	$1.3B	$1.2B	6	5	0	n/a	n/a
2023	Mar 5, 2024	$1.3B	$1.1B	5	4	0	n/a	n/a
2022	Mar 9, 2023	$1.1B	$926M	6	5	0	n/a	n/a
2021	Mar 10, 2022	$1.3B	$1.1B	6	5	0	n/a	n/a
2020	Mar 24, 2021	$1.1B	$916M	6	5	0	n/a	n/a
2019	Mar 3, 2020	$973M	$833M	6	5	0	n/a	n/a
2018	Mar 11, 2019	$765M	$654M	6	5	0	n/a	n/a
2017	Mar 12, 2018	$814M	$688M	6	5	0	n/a	n/a
2016	Mar 8, 2017	$725M	$594M	7	6	n/a	n/a	n/a
2015	Mar 8, 2016	$724M	$596M	7	6	n/a	n/a	n/a
2014	Mar 12, 2015	$738M	$605M	7	6	n/a	n/a	n/a
2013	Feb 24, 2014	$664M	$544M	7	6	n/a	n/a	n/a
2012	Mar 13, 2013	$541M	$444M	7	6	n/a	n/a	n/a
2011	Mar 5, 2012	$495M	$404M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	1	0

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
2025	$1.3B	$1.3B	-1.1%	$1.1B	6.5%	5	6	0	0

Relationships

Registered with (6)

← TIMOTHY PATRICK REARDONAdvisorregistration: current employment
Aug 28, 2024 to presentfactForm ADV
← REID VAILE SMITHAdvisorregistration: previous registration
Mar 20, 2007 to Apr 29, 2016factForm ADV
← NEIL GERHARD BLEICKENAdvisorregistration: current employment
Jun 2, 2016 to presentfactForm ADV
← WILLIAM HENRY LEDGER MITCHELLAdvisorregistration: current employment
Jan 3, 2011 to presentfactForm ADV
← KAREN "NMN" WENDELLAdvisorregistration: current employment
Mar 19, 2001 to presentfactForm ADV
← KATHRYN ELIZABETH SHEAAdvisorregistration: previous registration
Dec 7, 2004 to Sep 14, 2023factForm ADV

Controls (5)

← MITCHELL, WILLIAM, HENRY LEDGEROwnerCHAIRMAN, ownership code NA, individual
Nov 15, 2011 to Sep 16, 2024factForm ADV
← SMITH, REID, VAILEOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Nov 15, 2011 to Sep 16, 2024factForm ADV
← WENDELL, KAREN, "NMN"OwnerCEO, PRESIDENT, TREASURER & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 15, 2011 to Sep 16, 2024factForm ADV
← BLEICKEN, NEIL, GERHARDOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Oct 4, 2016 to Sep 16, 2024factForm ADV
← FARRIS, ANNE, FLEMINGOwnerSENIOR VICE PRESIDENT OPERATIONS AND SECRETARY, ownership code NA, individual
Mar 11, 2019 to Sep 16, 2024factForm ADV

Dated events

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

Occurred
Sep 21, 2023
Control person joined
Vaile Reid Smith (Senior Vice President) appeared on Schedule A of David Wendell Associates, Inc.
Form ADVobserved 6 days ago
Occurred
Sep 21, 2023
Control person left
Elizabeth Kathryn Shea (Executive Vice President) no longer on Schedule A of David Wendell Associates, Inc. (listed 2023-07-06, absent 2023-09-21)
Form ADVobserved 6 days ago
Occurred
Sep 14, 2023
Advisor changed firm
Kathryn Elizabeth Shea left David Wendell Associates, Inc. for Chez Shea Llc (registered 2025-02-07)
Form ADVobserved 6 days ago
Occurred
Jul 6, 2023
Control person left
James Peter Boland (President) no longer on Schedule A of David Wendell Associates, Inc. (listed 2023-03-09, absent 2023-07-06)
Form ADVobserved 6 days ago
Occurred
Mar 3, 2020
Regulatory AUM changed
David Wendell Associates, Inc. reported RAUM $972.6M, up 27% from $765.3M (2019-03-11 to 2020-03-03)
Form ADVobserved 6 days ago
$207M
Occurred
Mar 11, 2019
Control person joined
Fleming Anne Farris (Vice President Operations And Secretary) appeared on Schedule A of David Wendell Associates, Inc.
Form ADVobserved 6 days ago

Show 1 bookkeeping events

Occurred
Mar 19, 2026
"Nmn" Karen Wendell (Ceo, President, Treasurer & Chief Compliance Officer) no longer on Schedule A of David Wendell Associates, Inc. (listed 2019-03-11, absent 2026-03-19)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aaf7e9e7-29f6-4c03-1fef-796524b31c2c
First observed: Nov 15, 2011
Last observed: Mar 19, 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.

DAVID WENDELL ASSOCIATES, INC.

WENDELL DAVID ASSOCIATES INC, CRD 106664

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:aaf7e9e7-29f6-4c03-1fef-796524b31c2c

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:53 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

KAREN "NMN" WENDELL

n/a

PORTSMOUTH, NH

n/a

WILLIAM HENRY LEDGER MITCHELL

n/a

PORTSMOUTH, NH

NEIL GERHARD BLEICKEN

n/a

PORTSMOUTH, NH

REID VAILE SMITH

Chartered Financial Analyst

PORTSMOUTH, NH

TIMOTHY PATRICK REARDON

n/a

PORTSMOUTH, NH

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BLEICKEN, NEIL, GERHARD

SENIOR VICE PRESIDENT

yes

07/2023

Mar 19, 2026

MITCHELL, WILLIAM, HENRY LEDGER

Chairman

yes

07/2017

Mar 19, 2026

REARDON, TIMOTHY, PATRICK

VICE PRESIDENT

yes

08/2024

Mar 19, 2026

SMITH, REID, VAILE

SENIOR VICE PRESIDENT

yes

09/2023

Mar 19, 2026

FARRIS, ANNE, FLEMING

SENIOR VICE PRESIDENT OPERATIONS AND SECRETARY

yes

07/2023

Mar 11, 2019

Sep 16, 2024

WENDELL, KAREN, "NMN"

CEO, PRESIDENT, TREASURER & CHIEF COMPLIANCE OFFICER

yes

07/2017

Nov 15, 2011

Sep 16, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 19, 2026

$1.3B

$1.1B

n/a

2024

Mar 25, 2025

$1.3B

$1.2B

n/a

2023

Mar 5, 2024

$1.3B

$1.1B

n/a

2022

Mar 9, 2023

$1.1B

$926M

n/a

2021

Mar 10, 2022

$1.3B

$1.1B

n/a

2020

Mar 24, 2021

$1.1B

$916M

n/a

2019

Mar 3, 2020

$973M

$833M

n/a

2018

Mar 11, 2019

$765M

$654M

n/a

2017

Mar 12, 2018

$814M

$688M

n/a

2016

Mar 8, 2017

$725M

$594M

n/a

2015

Mar 8, 2016

$724M

$596M

n/a

2014

Mar 12, 2015

$738M

$605M

n/a

2013

Feb 24, 2014

$664M

$544M

n/a

2012

Mar 13, 2013

$541M

$444M

n/a

2011

Mar 5, 2012

$495M

$404M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.3B

-1.1%

$1.1B

6.5%