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.
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SEC-registered adviser
B•••••• W••••• P•••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Mar 28, 2012 · 74 filings
SEC status approved since Jul 1, 1980
RAUM
$2.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$2.1B individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
34
14 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
74 filings and snapshots on the tape
RAUM$2.3B as of Jul 21, 2026
Mar 28, 2012$726M then
HNW client RAUM$2.0B as of Jul 21, 2026
Mar 23, 2018$733M then
State-registered IARs (5.B.3)14 as of Jul 21, 2026
Mar 28, 20120 then
Employees (5.A)34 as of Jul 21, 2026
Mar 19, 201319 then
Private funds1 as of Jul 21, 2026
Mar 28, 201216 then
RAUM -6.8% over the last fiscal year+7.0% a year over threeIARs 14 to 14offices 9 to 8
Practice profile
derived from the filing of Sep 2, 2026; every figure names its basis
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.9derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.6%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $12.0M, 1 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.0B85%
- Individuals$131M5.6%
- Charitable organizations$122M5.2%
- Corporations and businesses$75.7M3.2%
- Pooled investment vehicles$12.0M0.5%
- Pension and profit-sharing plans$899,2030.0%
- Individual clients
- 372reported
- HNW clients
- 366reported
- Pension plan clients
- n/areported
- Charitable clients
- 42reported
- Accounts
- 2,100reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.0M for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.91 fund_share=0.01 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
17 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A•••• B•••••• | Marion, Ma | Apr 14, 1994 | 44 y | 0 |
| M•••••• N•• B•••••• | Marion, Ma | Apr 14, 1994 | 52 y | 0 |
| W•••••• H••••• M••••• | Marion, Ma | Aug 27, 2013 | 24 y | 1 |
| K•••••• S••• R•••Certified Financial Planner | Marion, Ma | Sep 4, 2020 | 15 y | 1 |
| W•••••• W• K••••Chartered Financial Analyst | Marion, Ma | Feb 14, 2022 | 13 y | 1 |
| A••••• F••••••• M•••••••Chartered Financial Analyst | Marion, Ma | Oct 14, 2022 | 27 y | 1 |
| E••• H••••• S••••• | Marion, Ma | Oct 17, 2022 | 29 y | 1 |
| K••••••• W••••• T•••••• | Marion, Ma | Mar 20, 2023 | 21 y | 0 |
| N••••• D• S•••••• | Marion, Ma | Apr 26, 2023 | 16 y | 0 |
| C•••• R• D••••Certified Financial Planner, Chartered Financial Consultant | Marion, Ma | Jul 1, 2024 | 25 y | 4 |
| S••••• T••••• D••• | Revere, Ma | Jul 1, 2024 | 25 y | 10 |
| P••• A•• A••••••Certified Financial Planner, Personal Financial Specialist | Jamestown, Ri | Jul 1, 2024 | 23 y | 3 |
| A•• S•••••• L•••• | Skokie, Il | May 21, 2025 | 10 y | 1 |
| J••• R••••• P•••Chartered Financial Analyst | Marion, Ma | Jul 28, 2025 | 13 y | 1 |
| K••••••• M•••• S•••• | Marion, Ma | Apr 10, 2026 | 30 y | 0 |
| K•••••••• A••• K••••Chartered Financial Analyst | Louisville, Ky | Apr 17, 2026 | 13 y | 1 |
| Z•••••• J• S•••••••Chartered Financial Analyst | Marion, Ma | Jul 16, 2026 | 10 y | 0 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.9% of current headcount5 left over 36 months
Left, latest
- D•••• D••••• S••• to B•••••••• A•••• M••••••••• L••Jan 23, 2026 · RIA to RIA
- L••• D•••• A••••••• to R•••••••• S•••••••Jul 29, 2025 · RIA to RIA
- M•••••• B•••• M••••••• to A••••••••• P•••••• W••••• M••••••••• I••Jan 27, 2025 · RIA to RIA
- N••••• C•••••• G•••••• to A••••••• A••••••• S•••••••• L••Jan 27, 2025 · RIA to affiliated broker-dealer or bank
- A••••• N••••• M••••• to 7•••Jul 18, 2024 · RIA to a newly registered adviser
- F•••• F••••• B•••• to A••••• C••••••• L••Aug 8, 2016 · Other
- M•••••• S•••••• M•••• to E•••• W••••• A••••••• L••Jul 14, 2016 · Other
- M•••••• G••••• C•••• to O••••••••• • C•• I•••Sep 25, 2012 · Other
- P•••• J•••• C•••• to E•••••••• W••••• M••••••••• I•••Jul 14, 2009 · Other
- J• M•••••• C••••••• to E•••••••• W••••• M••••••••• I•••Jul 14, 2009 · Other
Joined, latest
- K•••••••• A••• K•••• from P•• C•••••• M••••••••• L••Apr 17, 2026 · Other
- J••• R••••• P••• from P•• C•••••• M••••••••• L••Jul 28, 2025 · Other
- A•• S•••••• L•••• from R•• I••••••••• A•••••••• L••May 21, 2025 · RIA to RIA
- S••••• T••••• D••• from K•• I••••••••• A•••••••• L••Jul 1, 2024 · RIA to RIA
- C•••• R• D•••• from K•• I••••••••• A•••••••• L••Jul 1, 2024 · RIA to RIA
- M•••••• B•••• M••••••• from K•• I••••••••• A•••••••• L••Jul 1, 2024 · RIA to RIA
- P••• A•• A•••••• from C••••• A••••••• L••Jul 1, 2024 · Other
- N••••• C•••••• G•••••• from K•• I••••••••• A•••••••• L••Jul 1, 2024 · RIA to RIA
- E••• H••••• S••••• from A••••••• R••••••• • M••••••••• C•Oct 17, 2022 · RIA to RIA
- A••••• F••••••• M••••••• from A••••••• R••••••• • M••••••••• C•Oct 14, 2022 · RIA to RIA
- K•••••• S••• R••• from B•••• I••••••••• A•••••••• L••Sep 4, 2020 · RIA to RIA
- A••••• N••••• M••••• from C•••••• S••••• A•••••••Nov 7, 2017 · Other
- W•••••• H••••• M••••• from S•••••••• C•••••• A••••••••• G••••• L•••••Aug 27, 2013 · Other
- F•••• F••••• B•••• from T••••••• A•••• M•••••••••May 23, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from K•• I••••••••• A•••••••• L••Jul 2, 2024 · Providence, Ri · Firm absorbed
- 2 joined from A••••••• R••••••• • M••••••••• C•Oct 19, 2022 · Marion, Ma
- 2 joined from P•• C•••••• M••••••••• L••Dec 31, 2015 · Prospect, Ky
Private funds
17 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••••• G••••• F•••no longer reported | Private Equity Fund | $26.1M | 52 | Mar 28, 2012 |
| G••••• V••••••• L•• | Venture Capital Fund | $12.0M | 13 | Sep 13, 2018 |
| N•••••• P•••••••no longer reported | Hedge Fund | $10.4M | 47 | Mar 28, 2012 |
| W••• I• F••• I• L••no longer reported | Private Equity Fund | $7.2M | 25 | Mar 28, 2012 |
| H•••••••• G••••• F••• I•no longer reported | Private Equity Fund | $5.7M | 10 | Mar 28, 2012 |
| U•••••• I••••••••• P••••••• L••no longer reported | Private Equity Fund | $4.1M | 5 | Mar 28, 2012 |
| W••• I• F•••no longer reported | Private Equity Fund | $2.6M | 33 | Mar 28, 2012 |
| F• P•••••••no longer reported | Venture Capital Fund | $980,000 | 50 | Mar 28, 2012 |
| F•••••• P•••••••no longer reported | Private Equity Fund | $849,270 | 9 | Mar 28, 2012 |
| P•• P•••••••no longer reported | Venture Capital Fund | $847,000 | 42 | Mar 28, 2012 |
| F• P•••••••no longer reported | Venture Capital Fund | $700,000 | 43 | Mar 28, 2012 |
| B••••• B••no longer reported | Venture Capital Fund | $226,652 | 24 | Mar 28, 2012 |
| R•• P•••••••no longer reported | Venture Capital Fund | $197,967 | 15 | Mar 28, 2012 |
| E•••••••• P•••••••no longer reported | Hedge Fund | $113,056 | 53 | Mar 28, 2012 |
| S••••• P•••••••no longer reported | Venture Capital Fund | $79,585 | 18 | Mar 28, 2012 |
| P•••• P•••••••no longer reported | Venture Capital Fund | $5,516 | 12 | Mar 28, 2012 |
| X••••••• P•••••••no longer reported | Venture Capital Fund | $0 | 0 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• T•••••• C••••••• · Managing Partner And Chief Operating Officercontrolsince 07/2024 · owns 25% to 50%
- D•••• S•••••• T••••• · Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- K••••• W••••••• W• · Chief Investment Officercontrolsince 01/2024 · owns less than 5%
- M•••••• W••••••• H••••• · Managing Directorcontrolsince 07/2020 · owns 10% to 25%
- S•••••• E•••• H••••• · President And Chief Execuitve Officercontrolsince 03/2024 · owns less than 5%
- M•••••••• A•••••• F••••••• · Shareholdercontrolsince 02/2000 · owns 50% to 75% of American Research & Management Co
- S•••••• E•••• H••••• · Shareholdercontrolsince 10/2004 · owns 50% to 75% of American Research & Management Co
- M•••••• J•••• L•••••• · Shareholdersince 07/2020 · owns 10% to 25%
Entity owners
- A••••••• R••••••• • M••••••••• C• · Shareholderdirect · owns 10% to 25%
- T• S••••• C••••••••• · Shareholderdirect · owns 10% to 25%
- M••••••• W••••• P••••••• · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- L••• D• A•••••••y
- P••• A•• A••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Marion, Ma · principal | 17 | 3 | 0 | ||
| Louisville, Ky | 2 | 1 | 0 | ||
| Mill Valley, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Louisville, KY1 employees
- Mill Valley, CA1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 2, 2026MCINTIRE, ANDREW, FLETCHER (SHAREHOLDER) left Schedule A between the filings of 2024-07-25 and 2026-09-02peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Financial planning clients · 26-50 to 26-50Jul 21, 2026 to Sep 2, 2026
- Private funds · 1 to unsetJul 21, 2026 to Sep 2, 2026
- Succession · false to unsetJul 21, 2026 to Sep 2, 2026
- Other offices · 7 to 8Jun 23, 2026 to Jul 21, 2026
- Accounts · 2,252 to 2,100Jan 23, 2026 to Mar 23, 2026
- Charity clients · 34 to 42Jan 23, 2026 to Mar 23, 2026
- Corporate clients · 33 to 28Jan 23, 2026 to Mar 23, 2026
- HNW clients · 370 to 366Jan 23, 2026 to Mar 23, 2026
- Individual clients · 399 to 372Jan 23, 2026 to Mar 23, 2026
- Assets in custody · $10.3M to $12.0MJan 23, 2026 to Mar 23, 2026
- Employees · 33 to 34Jan 23, 2026 to Mar 23, 2026
- Other offices · 8 to 7Jan 23, 2026 to Mar 23, 2026
- Discretionary RAUM · $2.4B to $2.3BJan 23, 2026 to Mar 23, 2026
- HNW RAUM · $2.1B to $2.0BJan 23, 2026 to Mar 23, 2026
- Individual RAUM · $144M to $131MJan 23, 2026 to Mar 23, 2026
- Non-discretionary RAUM · $4.5M to $4.6MJan 23, 2026 to Mar 23, 2026
- Pension RAUM · $5.9M to $899,203Jan 23, 2026 to Mar 23, 2026
- Pooled vehicle RAUM · $10.3M to $12.0MJan 23, 2026 to Mar 23, 2026
- RAUM · $2.4B to $2.3BJan 23, 2026 to Mar 23, 2026
- Other offices · 9 to 8Dec 5, 2025 to Jan 23, 2026
- Other offices · 10 to 9Jul 9, 2025 to Aug 1, 2025
- Accounts · 2,200 to 2,252May 22, 2025 to Jul 9, 2025
- HNW clients · 379 to 370May 22, 2025 to Jul 9, 2025
- Individual clients · 403 to 399May 22, 2025 to Jul 9, 2025
- Assets in custody · $9.1M to $10.3MMay 22, 2025 to Jul 9, 2025
- Financial planning clients · 26-50 to 26-50May 22, 2025 to Jul 9, 2025
- Discretionary RAUM · $2.5B to $2.4BMay 22, 2025 to Jul 9, 2025
- HNW RAUM · $2.2B to $2.1BMay 22, 2025 to Jul 9, 2025
- Individual RAUM · $146M to $144MMay 22, 2025 to Jul 9, 2025
- Non-discretionary RAUM · $4.2M to $4.5MMay 22, 2025 to Jul 9, 2025
- Pension RAUM · $5.0M to $5.9MMay 22, 2025 to Jul 9, 2025
- Pooled vehicle RAUM · $9.1M to $10.3MMay 22, 2025 to Jul 9, 2025
- RAUM · $2.5B to $2.4BMay 22, 2025 to Jul 9, 2025
- Other offices · 9 to 10Apr 25, 2025 to May 22, 2025
- Accounts · 1,921 to 2,200Dec 6, 2024 to Apr 25, 2025
- Advisory employees · 12 to 14Dec 6, 2024 to Apr 25, 2025
- Charity clients · 45 to 34Dec 6, 2024 to Apr 25, 2025
- Corporate clients · 39 to 33Dec 6, 2024 to Apr 25, 2025
- HNW clients · 318 to 379Dec 6, 2024 to Apr 25, 2025
- Individual clients · 350 to 403Dec 6, 2024 to Apr 25, 2025
Signals
16 dated events
- Dylan Dewitt Sage left Baldwin Wealth Partners, Llc for Belpointe Asset Management Llc (registered 2026-01-20)Jan 23, 2026 · Advisor changed firm · fact
- Leah Diane Adamucci left Baldwin Wealth Partners, Llc for Robertson Stephens (registered 2025-07-30)Jul 29, 2025 · Advisor changed firm · fact
- Nathan Charles Goodwin left Baldwin Wealth Partners, Llc for Ameritas Advisory Services, Llc (registered 2025-05-15)Jan 27, 2025 · Advisor changed firm · fact
- Michael Brian Mcintosh left Baldwin Wealth Partners, Llc for Argonautica Private Wealth Management, Inc (registered 2025-05-20)Jan 27, 2025 · Advisor changed firm · fact
- Baldwin Wealth Partners, Llc reported 11 offices beyond its principal office, up from 5 (2024-06-04 to 2024-07-25)Jul 25, 2024 · Office count change · derived
- Thomas Steven Dean (Chief Compliance Officer) appeared on Schedule A of Baldwin Wealth Partners, LlcJul 25, 2024 · Control person joined · fact
- Andrew Nelson Macken left Baldwin Wealth Partners, Llc for 7Two (registered 2024-01-26)Jul 18, 2024 · Advisor changed firm · fact
- 2 advisors left Klr Investment Advisors, LLC (Providence, RI) for Baldwin Wealth Partners, LLC on the same dayJul 2, 2024 · Team lift-out · derived
- W. William Klein (Chief Investment Officer) appeared on Schedule A of Baldwin Wealth Partners, LlcMar 26, 2024 · Control person joined · fact
- Fletcher Andrew Mcintire (Shareholder) appeared on Schedule A of Baldwin Wealth Partners, LlcOct 28, 2022 · Control person joined · fact
- Haakon Eric Strand (Shareholder) appeared on Schedule A of Baldwin Wealth Partners, LlcOct 28, 2022 · Control person joined · fact
- 2 advisors left American Research & Management CO (Marion, MA) for Baldwin Wealth Partners, LLC on the same dayOct 19, 2022 · Team lift-out · derived
- Michael Baldwin (Director/President) no longer on Schedule A of Baldwin Wealth Partners, Llc (listed 2021-12-15, absent 2022-03-07)Mar 7, 2022 · Control person left · inference
- Baldwin Brothers Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 13, 2020 · Succession (Item 4) · fact
- Harvey William Marvel (Managing Director) appeared on Schedule A of Baldwin Wealth Partners, LlcAug 3, 2020 · Control person joined · fact
- Baldwin Wealth Partners, Llc reported RAUM $1.0B, up 32% from $762.0M (2017-11-21 to 2018-03-23)Mar 23, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Baldwin Wealth Partners, LLC · Private Equityshared crd · organization
- Baldwin Wealth Partners, LLC · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- lseland@baldwin-llc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 508-748-0800reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/baldwinwealthpartnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- baldwin-llc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (508) 748-0800reportedpublic record, Form ADV, Sep 2, 2026
- Team page
- baldwin-llc.com/teamreportedpublished 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
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026