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•••
Legal name B•••••• • C••••• A••••••• S••••••• L••
Latest filing Jul 21, 2026
First filing on the tape Mar 30, 2012 · 39 filings
SEC status approved since Oct 25, 1985
RAUM
$466M
reported, Item 5.F
Discretionary
47%
of RAUM
Private clients
63%
$296M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$93.1M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$466M as of Jul 21, 2026
Mar 30, 2012$123M then
HNW client RAUM$249M as of Jul 21, 2026
Apr 30, 2018$113M then
State-registered IARs (5.B.3)5 as of Jul 21, 2026
Mar 30, 20120 then
Employees (5.A)7 as of Jul 21, 2026
Mar 18, 20138 then
Private funds: no history
RAUM +20% over the last fiscal year+13% a year over threeIARs 8 to 5
Practice profile
derived from the filing of Jul 21, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $93.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $738,085derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 47%derivedof RAUM
- Institutional
- 36%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$249M54%
- Pension and profit-sharing plans$135M29%
- Individuals$46.2M9.9%
- Charitable organizations$32.9M7.1%
- Corporations and businesses$2.2M0.5%
- Individual clients
- 143reported
- HNW clients
- 126reported
- Pension plan clients
- 20reported
- Charitable clients
- 3reported
- Accounts
- 631reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.63 fund_share=0.0 institutional_share=0.36 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• H•••• B••••••Chartered Financial Consultant | Bedford, Nh | Jan 1, 1992 | 55 y | 0 |
| S•••• D•••• L•••••••Certified Financial Planner, Chartered Financial Consultant | Bedford, Nh | Feb 2, 1994 | 44 y | 1 |
| L•••• J••• R••••••••• | Bedford, Nh | Oct 18, 1995 | 34 y | 0 |
| S••• P•••••• C••••• | Bedford, Nh | Oct 27, 1997 | 32 y | 0 |
| N••• W•••••• K•••••• | Bedford, Nh | Jan 14, 2016 | 16 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- B•••• E••••• S•••••• to T••••••• W•••••Jul 17, 2026 · RIA to RIA
- T•••••• S••••• P•••••• to S•••••••• A••••••• L••Aug 8, 2014 · Other
- J•••••• P••• B••••• to P••• A••••• S••••••••• L••Mar 28, 2005 · Other
- W•••••• E••••• H••••• to H••••• F•••••••• A••••••• S•••••••• L••Nov 24, 2003 · Other
- J•••••• A••• P•••••• to P••• A••••• S••••••••• L••Oct 1, 2003 · Other
- B•••••• H••••• R••• to P••• A••••• S••••••••• L••Mar 25, 2003 · Other
Joined, latest
- B•••• E••••• S•••••• from A••••••• I••••••••• S••••••• I••Apr 7, 2023 · RIA to RIA
- T•••••• S••••• P•••••• from S•••••••• A••••••• L••May 15, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• C••••••• H•••• · Managing Member/Chief Compliance Officercontrolsince 07/1985 · owns less than 5%
- C•••••• J•••• J••••• · Managing Membercontrolsince 07/1985 · owns less than 5%
Entity owners
- B•••••• • C••••• H•••••• C••••••• L•• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- B•••••• • C••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bedford, Nh · principal | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 4Jun 10, 2026 to Jul 21, 2026
- Employees · 8 to 7Jun 10, 2026 to Jul 21, 2026
- State-registered IARs · 6 to 5Jun 10, 2026 to Jul 21, 2026
- State-registered IARs · 7 to 6Mar 26, 2026 to Jun 10, 2026
- Accounts · 638 to 631Mar 24, 2025 to Mar 26, 2026
- HNW clients · 115 to 126Mar 24, 2025 to Mar 26, 2026
- Individual clients · 149 to 143Mar 24, 2025 to Mar 26, 2026
- Pension plan clients · 17 to 20Mar 24, 2025 to Mar 26, 2026
- Employees · 9 to 8Mar 24, 2025 to Mar 26, 2026
- State-registered IARs · 8 to 7Mar 24, 2025 to Mar 26, 2026
- Discretionary RAUM · $183M to $217MMar 24, 2025 to Mar 26, 2026
- HNW RAUM · $215M to $249MMar 24, 2025 to Mar 26, 2026
- Individual RAUM · $45.2M to $46.2MMar 24, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $205M to $249MMar 24, 2025 to Mar 26, 2026
- Pension RAUM · $95.3M to $135MMar 24, 2025 to Mar 26, 2026
- RAUM · $388M to $466MMar 24, 2025 to Mar 26, 2026
- Related broker-dealer · false to trueMar 24, 2025 to Mar 26, 2026
- Accounts · 620 to 638Jun 18, 2024 to Mar 24, 2025
- Corporate clients · 1 to 2Jun 18, 2024 to Mar 24, 2025
- HNW clients · 106 to 115Jun 18, 2024 to Mar 24, 2025
- Individual clients · 145 to 149Jun 18, 2024 to Mar 24, 2025
- Pension plan clients · 16 to 17Jun 18, 2024 to Mar 24, 2025
- Financial planning clients · 11-25 to 26-50Jun 18, 2024 to Mar 24, 2025
- Discretionary RAUM · $169M to $183MJun 18, 2024 to Mar 24, 2025
- HNW RAUM · $195M to $215MJun 18, 2024 to Mar 24, 2025
- Individual RAUM · $46.4M to $45.2MJun 18, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $178M to $205MJun 18, 2024 to Mar 24, 2025
- Pension RAUM · $77.6M to $95.3MJun 18, 2024 to Mar 24, 2025
- RAUM · $346M to $388MJun 18, 2024 to Mar 24, 2025
- Accounts · 638 to 620Apr 11, 2023 to Mar 27, 2024
- Corporate clients · 2 to 1Apr 11, 2023 to Mar 27, 2024
- HNW clients · 101 to 106Apr 11, 2023 to Mar 27, 2024
- Individual clients · 155 to 145Apr 11, 2023 to Mar 27, 2024
- Pension plan clients · 17 to 16Apr 11, 2023 to Mar 27, 2024
- Financial planning clients · 26-50 to 11-25Apr 11, 2023 to Mar 27, 2024
- Discretionary RAUM · $145M to $169MApr 11, 2023 to Mar 27, 2024
- HNW RAUM · $171M to $195MApr 11, 2023 to Mar 27, 2024
- Individual RAUM · $48.4M to $46.4MApr 11, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $174M to $178MApr 11, 2023 to Mar 27, 2024
- Pension RAUM · $64.6M to $77.6MApr 11, 2023 to Mar 27, 2024
Signals
2 dated events
- B•••• E••••• S•••••• left Bcas for T••••••• W••••• (registered 2026-07-17)Jul 17, 2026 · Advisor changed firm · fact
- B•••••• • C••••• A••••••• S•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 30, 2019 · Succession (Item 4) · fact
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@baldwinclarke.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- amanda@baldwinclarke.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- susan@baldwinclarke.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- kristinchisamore@baldwinclarke.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- peter@baldwinclarke.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- sergioalvares@baldwinclarke.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jack@baldwinclarke.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 603-668-4353reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/B•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- B•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 603-668-4353reportedpublic record, Form ADV, Jul 21, 2026
- Contact form
- baldwinclarke.com/contactreportedpublished 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
- $93.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026