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

RESOLUTE FINANCIAL, LLC

CRD 125739

NEWBURYPORT, 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:e32a85a3-56fd-1cee-130c-72255b4bd203

Data as of Oct 3, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 7
On other graphs: 0
Observed: Mar 30, 2012 to Oct 3, 2022
29 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: $444MItem 5.F on the latest filing (2022-10-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $405M
Private client RAUM: $443MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 5
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 1,460
Individual clients: 205
High net worth clients: 124
Custody, client assets: $162M
SEC number: 801-67898
CRD: 125739
Filings on the tape: 29
First filed: Mar 30, 2012
Latest filed: Oct 3, 2022
Organised: Limited Liability Company, Massachusetts

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
DWYER, THOMAS, G.	PRINCIPAL AND MEMBER	C	yes	10/2003	Mar 30, 2012	Oct 3, 2022
JOHNSON, CHARLES, MALCOLM	CHIEF COMPLIANCE OFFICER AND MEMBER	C	yes	04/2007	Mar 30, 2012	Oct 3, 2022
SIMPSON, WILLIAM, ACKER	MANAGING PARTNER	B	no	04/2016	May 27, 2016	Oct 3, 2022

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Portsmouth	Nh	United States	2	no
Lynnfield	Ma	United States	1	no
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
2021	Feb 8, 2022	$444M	$405M	7	5	3	n/a	n/a
2020	Mar 2, 2021	$375M	$329M	8	6	3	n/a	n/a
2019	Mar 18, 2020	$343M	$302M	8	7	4	n/a	n/a
2018	Mar 23, 2019	$270M	$227M	9	7	3	n/a	n/a
2017	Mar 25, 2018	$256M	$205M	8	7	3	n/a	n/a
2016	Mar 17, 2017	$204M	$167M	8	6	n/a	n/a	n/a
2015	Feb 23, 2016	$167M	$136M	7	5	n/a	n/a	n/a
2014	Feb 5, 2015	$145M	$110M	6	5	n/a	n/a	n/a
2013	Mar 25, 2014	$128M	$78.8M	1	1	n/a	n/a	n/a
2012	Feb 20, 2013	$96.4M	$30.6M	1	1	n/a	n/a	n/a
2011	Mar 30, 2012	$92.7M	$23.1M	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
2021	$444M	$375M	18.4%	$270M	18.1%	7	8	3	3

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
EP WEALTH ADVISORS	3	Mar 28, 2023	Mar 23, 2023	NEWBURYPORT, MA	Firm absorbed	RIA to RIA	75.0%

Relationships

Controls (2)

← DWYER, THOMAS, G.OwnerPRINCIPAL AND MEMBER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← JOHNSON, CHARLES, MALCOLMOwnerCHIEF COMPLIANCE OFFICER AND MEMBER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← SIMPSON, WILLIAM, ACKEROwnerMANAGING PARTNER, ownership code B, individual
May 27, 2016 to presentfactForm ADV

Registered with (6)

← THOMAS G. DWYERAdvisorregistration: previous registration
Nov 12, 2003 to Mar 28, 2023factForm ADV
← WILLIAM ACKER SIMPSONAdvisorregistration: previous registration
Apr 29, 2016 to Mar 28, 2023factForm ADV
← CHARLES MALCOLM JOHNSONAdvisorregistration: previous registration
Jan 25, 2006 to Mar 28, 2023factForm ADV
← Avery E DwyerAdvisorregistration: previous registration
Jul 30, 2021 to Mar 28, 2023factForm ADV
← STEPHANIE CASTONGUAY GRIEBELAdvisorregistration: previous registration
Jan 12, 2017 to Jul 26, 2022factForm ADV
← BRADLEY ANDERSON CLARKAdvisorregistration: previous registration
Jun 9, 2015 to Aug 26, 2015factForm ADV

Moved with (1)

→ EP WEALTH ADVISORSRegistered adviser3 advisors, firm absorbed, same day
Mar 28, 2023 to Mar 23, 2023factForm ADV

Dated events

Occurred
Mar 28, 2023
Firm absorbed
Resolute Financial, LLC's advisors moved to EP Wealth Advisors (Newburyport, MA): 3 of 4 registered, on the same day
Form ADVobserved 3 days ago
3 advisors
Occurred
Mar 28, 2023
Advisor changed firm
Thomas G. Dwyer left Resolute Financial, Llc for Ep Wealth Advisors (registered 2023-03-23)
Form ADVobserved 4 days ago
Occurred
Mar 28, 2023
Advisor changed firm
Avery E Dwyer left Resolute Financial, Llc for Ep Wealth Advisors (registered 2023-03-23)
Form ADVobserved 4 days ago
Occurred
Mar 28, 2023
Advisor changed firm
Charles Malcolm Johnson left Resolute Financial, Llc for Ep Wealth Advisors (registered 2023-03-16)
Form ADVobserved 4 days ago
Occurred
Mar 28, 2023
Advisor changed firm
William Acker Simpson left Resolute Financial, Llc for Ep Wealth Advisors (registered 2023-03-23)
Form ADVobserved 4 days ago
Occurred
Jul 26, 2022
Advisor changed firm
Stephanie Castonguay Griebel left Resolute Financial, Llc for Davis Wealth Advisors (registered 2022-07-29)
Form ADVobserved 4 days ago
Occurred
Jan 3, 2022
Control person left
Thomas Robert Ryan (Principal And Member) no longer on Schedule A of Resolute Financial, Llc (listed 2021-10-19, absent 2022-01-03)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e32a85a3-56fd-1cee-130c-72255b4bd203
First observed: Mar 30, 2012
Last observed: Oct 3, 2022 48 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.

RESOLUTE FINANCIAL, LLC

CRD 125739

NEWBURYPORT, 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:e32a85a3-56fd-1cee-130c-72255b4bd203

Data as of Oct 3, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:08 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DWYER, THOMAS, G.

PRINCIPAL AND MEMBER

yes

10/2003

Mar 30, 2012

Oct 3, 2022

JOHNSON, CHARLES, MALCOLM

CHIEF COMPLIANCE OFFICER AND MEMBER

yes

04/2007

Mar 30, 2012

Oct 3, 2022

SIMPSON, WILLIAM, ACKER

MANAGING PARTNER

04/2016

May 27, 2016

Oct 3, 2022

City

State

Country

Employees

Also broker-dealer

Portsmouth

United States

Lynnfield

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Feb 8, 2022

$444M

$405M

n/a

2020

Mar 2, 2021

$375M

$329M

n/a

2019

Mar 18, 2020

$343M

$302M

n/a

2018

Mar 23, 2019

$270M

$227M

n/a

2017

Mar 25, 2018

$256M

$205M

n/a

2016

Mar 17, 2017

$204M

$167M

n/a

2015

Feb 23, 2016

$167M

$136M

n/a

2014

Feb 5, 2015

$145M

$110M

n/a

2013

Mar 25, 2014

$128M

$78.8M

n/a

2012

Feb 20, 2013

$96.4M

$30.6M

n/a

2011

Mar 30, 2012

$92.7M

$23.1M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$444M

$375M

18.4%

$270M

18.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

EP WEALTH ADVISORS

Mar 28, 2023

Mar 23, 2023

NEWBURYPORT, MA

Firm absorbed

RIA to RIA

75.0%