DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

P••••••• S•••• • C••••••• I•••

CRD 110928

BRATTLEBORO, VT

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Search this name across graphsid dfx:ria:f861c3cf-f1df-3514-eb6a-6934e1efbce5

Data as of Jun 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 0
Observed: Mar 14, 2012 to Jun 18, 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=0.91 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $453M••• Locked
Discretionary RAUM: $447M
Private client RAUM: $410Mderived••• Locked
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $90.6Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P••••••• C•••••• S••••	n/a	BRATTLEBORO, VT	31	44	n/a	no
P••••••• J•••• K••••••	n/a	BRATTLEBORO, VT	19	27

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• K•••••• P••••••	SECRETARY, VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	Na	yes	07/1993	Mar 14, 2012	Mar 21, 2024
R••••••••• M•••••• M••••••	Director	Na	yes	08/2005	Mar 14, 2012	Mar 21, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Philadelphia	Pa	United States	1	no

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	0	0	0.0%	0	0	0	0	0

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	$453M	$437M	3.7%	$402M	4.1%	8	8	1	1

Relationships

Registered with (6)

← G••••••• W• S••••••Advisorregistration: current employment
Oct 6, 2025 to presentfactForm ADV
← F•••••••• A• B•••••••Advisorregistration: current employment
Sep 27, 2021 to presentfactForm ADV
← P••••••• R••••••••• S••••Advisorregistration: current employment
Oct 15, 2012 to presentfactForm ADV
← P••••••• J•••• K••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f861c3cf-f1df-3514-eb6a-6934e1efbce5
First observed: Mar 14, 2012
Last observed: Jun 18, 2026 3 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.