DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Penobscot Investment Management Company, Inc.
Latest filing May 18, 2026
First filing on the tape Mar 30, 2012 · 45 filings
SEC status approved since May 2, 1988
RAUM
$1.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$1.5B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$204M
derived; firm RAUM over IAPD count
Employees
14
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$1.6B as of May 18, 2026
Mar 30, 2012$273M then
HNW client RAUM$1.4B as of May 18, 2026
Mar 21, 2018$419M then
State-registered IARs (5.B.3)8 as of May 18, 2026
Mar 28, 20137 then
Employees (5.A)14 as of May 18, 2026
Mar 28, 20139 then
Private funds: no history
RAUM +18% over the last fiscal year+33% a year over threeIARs 7 to 8
Practice profile
derived from the filing of May 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $204MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $1.1B, 324 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.4B84%
- Individuals$104M6.4%
- Corporations and businesses$102M6.2%
- Charitable organizations$51.9M3.2%
- Pension and profit-sharing plans$7.8M0.5%
- Individual clients
- 231reported
- HNW clients
- 317reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 845reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 324 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Douglas Edward Hart | Boston, Ma | Oct 7, 2008 | 38 y | 1 |
| Jonathan Reid Phillips | Boston, Ma | Oct 8, 2008 | 24 y | 1 |
| Eugene Howard Clapp | Boston, Ma | Oct 8, 2008 | 38 y | 1 |
| Daniel Bailey Ford | Boston, Ma | Dec 4, 2009 | 17 y | 0 |
| Charles Fairweather Kane | Boston, Ma | Apr 9, 2012 | 45 y | 2 |
| Colleen Barry Mac PhersonChartered Financial Analyst | Boston, Ma | Aug 22, 2016 | 12 y | 0 |
| Christopher Alcorn ChildsChartered Financial Analyst | Boston, Ma | Jun 5, 2023 | 12 y | 2 |
| Eugene H Clapp | Boston, Ma | Jan 13, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- John Thomas Ligget to CorientJul 17, 2023 · RIA to RIA
- David John Costigan to Slatestone Wealth LLCMay 2, 2018 · RIA to RIA
- Maryelizabeth Conlon-Kesse to Reynders, Mcveigh Capital Management, LLCMar 14, 2016 · Other
- Dwight Latham Davenport to Vodia Capital, LLCOct 14, 2010 · Other
Joined, latest
- Christopher Alcorn Childs from People'S United Advisors, Inc.Jun 5, 2023 · RIA to RIA
- David John Costigan from Svb WealthSep 11, 2017 · Other
- Charles Fairweather Kane from Charles F. Kane Jr. Investment Counsel, Inc.Apr 9, 2012 · Other
- Maryelizabeth Conlon-Kesse from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 1, 2011 · Other
- Dwight Latham Davenport from Cetera Investment Services LLCSep 19, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Alcorn Christopher Childs · Directorcontrolsince 05/2026 · owns less than 5%
- Howard Eugene Clapp · Director & Treasurercontrolsince 02/2019 · owns 25% to 50%
- Bailey Daniel Ford · President & Directorcontrolsince 02/2019 · owns 10% to 25%
- Edward Douglas Hart · Director & Secretarycontrolsince 02/2019 · owns 25% to 50%
- Cooney Colleen Macpherson · Directorcontrolsince 01/2023 · owns 5% to 10%
- Elizabeth Kristin Nicholson · Chief Compliance Officercontrolsince 03/2025 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing May 18, 2026Childs, Christopher, Alcorn (DIRECTOR) appeared on Schedule A between the filings of 2023-04-12 and 2026-05-18peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing May 18, 2026NICHOLSON, KRISTIN, ELIZABETH (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2023-04-12 and 2026-05-18peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 796 to 845Mar 26, 2025 to Mar 23, 2026
- Advisory employees · 7 to 8Mar 26, 2025 to Mar 23, 2026
- Charity clients · 8 to 6Mar 26, 2025 to Mar 23, 2026
- Corporate clients · 11 to 8Mar 26, 2025 to Mar 23, 2026
- HNW clients · 293 to 317Mar 26, 2025 to Mar 23, 2026
- Individual clients · 233 to 231Mar 26, 2025 to Mar 23, 2026
- Pension plan clients · 2.0 to unsetMar 26, 2025 to Mar 23, 2026
- Assets in custody · $891M to $1.1BMar 26, 2025 to Mar 23, 2026
- State-registered IARs · 7 to 8Mar 26, 2025 to Mar 23, 2026
- Discretionary RAUM · $1.4B to $1.6BMar 26, 2025 to Mar 23, 2026
- HNW RAUM · $1.1B to $1.4BMar 26, 2025 to Mar 23, 2026
- Individual RAUM · $108M to $104MMar 26, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $3.6M to $4.0MMar 26, 2025 to Mar 23, 2026
- Pension RAUM · $3.1M to $7.8MMar 26, 2025 to Mar 23, 2026
- RAUM · $1.4B to $1.6BMar 26, 2025 to Mar 23, 2026
- Accounts · 681 to 796Oct 8, 2024 to Mar 26, 2025
- Charity clients · 6 to 8Oct 8, 2024 to Mar 26, 2025
- Corporate clients · 13 to 11Oct 8, 2024 to Mar 26, 2025
- HNW clients · 236 to 293Oct 8, 2024 to Mar 26, 2025
- Individual clients · 221 to 233Oct 8, 2024 to Mar 26, 2025
- Assets in custody · $520M to $891MOct 8, 2024 to Mar 26, 2025
- Employees · 15 to 14Oct 8, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Oct 8, 2024 to Mar 26, 2025
- Discretionary RAUM · $902M to $1.4BOct 8, 2024 to Mar 26, 2025
- HNW RAUM · $806M to $1.1BOct 8, 2024 to Mar 26, 2025
- Individual RAUM · $98.2M to $108MOct 8, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $147M to $3.6MOct 8, 2024 to Mar 26, 2025
- Pension RAUM · $6.0M to $3.1MOct 8, 2024 to Mar 26, 2025
- RAUM · $1.0B to $1.4BOct 8, 2024 to Mar 26, 2025
- Assets in custody · $394M to $520MMar 20, 2024 to Oct 8, 2024
- Accounts · 543 to 681Aug 2, 2023 to Mar 20, 2024
- Charity clients · 4 to 6Aug 2, 2023 to Mar 20, 2024
- Corporate clients · 11 to 13Aug 2, 2023 to Mar 20, 2024
- HNW clients · 172 to 236Aug 2, 2023 to Mar 20, 2024
- Individual clients · 199 to 221Aug 2, 2023 to Mar 20, 2024
- Assets in custody · $380M to $394MAug 2, 2023 to Mar 20, 2024
- Employees · 14 to 15Aug 2, 2023 to Mar 20, 2024
- Discretionary RAUM · $569M to $902MAug 2, 2023 to Mar 20, 2024
- HNW RAUM · $498M to $806MAug 2, 2023 to Mar 20, 2024
- Individual RAUM · $84.6M to $98.2MAug 2, 2023 to Mar 20, 2024
Signals
5 dated events
- Penobscot Investment Management Company, Inc. reported RAUM $1.4B, up 33% from $1.0B (2024-10-08 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- Penobscot Investment Management Company, Inc. reported RAUM $1.0B, up 51% from $693.2M (2023-08-02 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- John Thomas Ligget left Penobscot Investment Management Company, Inc. for Corient (registered 2024-10-03)Jul 17, 2023 · Advisor changed firm · fact
- Cooney Colleen Macpherson (Director) appeared on Schedule A of Penobscot Investment Management Company, Inc.Apr 12, 2023 · Control person joined · fact
- Penobscot Investment Management Company, Inc. reported RAUM $559.8M, up 52% from $369.5M (2017-09-29 to 2018-03-21)Mar 21, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@pimboston.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 617-227-7467reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 617-227-3111reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/pimbostonreportedpublic record, Form ADV, Sep 17, 2026
- Website
- PIMBOSTON.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 617-227-3111reportedpublic record, Form ADV, May 18, 2026
- Contact form
- pimboston.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- pimboston.com/our-roots/our-peoplereportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $204Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026