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.

Former SEC-registered adviser

Bainco International Investors LLC

Former SEC-registered adviserBoston, MassachusettsCRD 106053SEC 801-29654IAPD

Latest filing Sep 9, 2020

First filing on the tape Apr 2, 2012 · 26 filings

RAUM

$1.0B

reported, Item 5.F

Discretionary

89%

of RAUM

Private clients

97%

$1.0B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

13 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM$1.0B as of Mar 30, 2020

Apr 2, 2012$452M then

HNW client RAUM$995M as of Mar 30, 2020

Mar 29, 2018$949M then

State-registered IARs (5.B.3)9 as of Mar 30, 2020

Mar 28, 20138 then

Employees (5.A)16 as of Mar 30, 2020

Mar 28, 201313 then

Private funds: no history

RAUM +14% over the last fiscal year+6.8% a year over threeIARs 11 to 9offices 1 to 0

Practice profile

derived from the filing of Sep 9, 2020; every figure names its basis

RAUM per advisor: $114MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 9derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $12.8MderivedHNW RAUM over HNW clients
Average account: $1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 89%derivedof RAUM
Institutional: 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.8derivedItem 5.A over advisors
Advisors per office: 9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +14%derivedbetween the last two annual amendments
Advisor growth, one year: -18%derivedItem 5.B.3 between annual amendments
Client growth, one year: -1.2%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Custody: $155M, 41 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)
compensates non-employees for client referrals (8.G.2)
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$995M97%
Insurance companies$16.4M1.6%
Charitable organizations$11.1M1.1%
Individuals$5.0M0.5%

Individual clients: 7reported
HNW clients: 78reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 663reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $155M for 41 clientsreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

Emily J. Lynch to Cerity Partners LLC
Feb 4, 2021 · RIA to RIA
Isabel Rosen Scharmer to Cerity Partners LLC
Feb 4, 2021 · RIA to RIA
Justin Joseph Dumouchelle to Cerity Partners LLC
Feb 4, 2021 · RIA to RIA
Sawyer T Rothmann to Cerity Partners LLC
Feb 4, 2021 · RIA to RIA
Michael D Keating to Cerity Partners LLC
Feb 4, 2021 · RIA to RIA
Drew Louis Kootman to Cerity Partners LLC
Feb 4, 2021 · RIA to RIA
Michael Syer to Cerity Partners LLC
Feb 4, 2021 · RIA to RIA
Gregory Francis Mcsweeney to Crestwood Advisors
Mar 23, 2020 · RIA to RIA
Nakia A Maddox-Eubanks to Trillium Asset Management
Nov 7, 2019 · RIA to RIA
Kathleen Horigan O'Malley to Loomis, Sayles & Company, L.P.
May 17, 2019 · Other
Kayla Christine Hammen to Crestwood Advisors
Oct 3, 2018 · RIA to RIA
Mark Joseph Alaimo to Lcw Planning And Investments, LLC
Oct 2, 2018 · RIA to a state-registered adviser
Seth David Corkin to Single Point Partners
Sep 13, 2017 · Other
Susan Elizabeth Dahl to Levatus LLC
Mar 29, 2017 · Other
Abigail Marr Psyhogeos to F L Putnam Investment Management Co.
Dec 31, 2016 · Other

Joined, latest

Sawyer T Rothmann from Goldman Sachs Wealth Services, L.P.
Aug 25, 2020 · Affiliated broker-dealer or bank to independent RIA
Drew Louis Kootman from Northwestern Mutual Investment Services,LLC
Jul 7, 2020 · Other
Michael D Keating from Morgan Stanley
May 28, 2019 · Wirehouse to independent RIA
Mark Joseph Alaimo from Lion Street Advisors, LLC
Nov 21, 2017 · Other
Jeffrey Matthew Mortimer from Charles Schwab & Co., Inc.
Sep 20, 2010 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

7 left for Cerity Partners LLC
Feb 4, 2021 · Boston, Ma · Firm absorbed

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Eugene Samuel Bain · Managing Membercontrol
since 04/1998 · owns 50% to 75%
Joseph Justin Dumouchelle · Member/Chief Investment Officercontrol
since 01/2018 · owns less than 5%
B Jessica Foley · Member/Chief Compliance Officercontrol
since 07/2019 · owns less than 5%
Gary Robert Katz · Membercontrol
since 04/1998 · owns 5% to 10%
Douglas Mark O'Keefe · Member, Chief Financial Officercontrol
since 04/2005 · owns 5% to 10%
Rosen Isabel Scharmer · Membercontrol
since 01/2018 · owns less than 5%
G. Janet Bain · Trustee
since 06/2020 · owns F of Bain Family Trust 2020 Uad 6/26/20
Eugene Samuel Bain · Trustee
since 06/2020 · owns F of Bain Grandchildren'S Trust 2020 Uad 6/26/2020
Matthew Steven Burke · Trustee
since 06/2020 · owns F of Bain Family Trust 2020 Uad 6/26/20
B Jessica Foley · Trustee
since 12/2014 · owns F of Bain Family 2009 Irrevocable Trust
James Fontanella · Trustee
since 12/2014 · owns F of Bain Family 2009 Irrevocable Trust

Entity owners

Bain Family 2009 Irrevocable Trust · Member
direct · owns 5% to 10%
Bain Family Trust 2020 Uad 6/26/20 · Member
direct · owns 10% to 25%
Bain Grandchildren'S Trust 2020 Uad 6/26/2020 · Member
direct · owns 5% to 10%

Related persons

Schedule D 7.A

2014 Rfid LLC
pooled vehicle sponsorn
372 Clay, LLC
pooled vehicle sponsorn
372 Rfid, LLC
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 680 to 663
Jul 17, 2019 to Mar 30, 2020
Advisory employees · 14 to 13
Jul 17, 2019 to Mar 30, 2020
HNW clients · 74 to 78
Jul 17, 2019 to Mar 30, 2020
Individual clients · 12 to 7
Jul 17, 2019 to Mar 30, 2020
Assets in custody · $136M to $155M
Jul 17, 2019 to Mar 30, 2020
Employees · 18 to 16
Jul 17, 2019 to Mar 30, 2020
State-registered IARs · 11 to 9
Jul 17, 2019 to Mar 30, 2020
Other offices · 1 to 0
Jul 17, 2019 to Mar 30, 2020
Discretionary RAUM · $775M to $911M
Jul 17, 2019 to Mar 30, 2020
HNW RAUM · $850M to $995M
Jul 17, 2019 to Mar 30, 2020
Individual RAUM · $6.2M to $5.0M
Jul 17, 2019 to Mar 30, 2020
Non-discretionary RAUM · $127M to $116M
Jul 17, 2019 to Mar 30, 2020
RAUM · $902M to $1.0B
Jul 17, 2019 to Mar 30, 2020
Accounts · 601 to 680
Jul 25, 2018 to Mar 26, 2019
Advisory employees · 15 to 14
Jul 25, 2018 to Mar 26, 2019
HNW clients · 77 to 74
Jul 25, 2018 to Mar 26, 2019
Assets in custody · $222M to $136M
Jul 25, 2018 to Mar 26, 2019
State-registered IARs · 12 to 11
Jul 25, 2018 to Mar 26, 2019
Discretionary RAUM · $891M to $775M
Jul 25, 2018 to Mar 26, 2019
HNW RAUM · $949M to $850M
Jul 25, 2018 to Mar 26, 2019
Individual RAUM · $5.8M to $6.2M
Jul 25, 2018 to Mar 26, 2019
Non-discretionary RAUM · $109M to $127M
Jul 25, 2018 to Mar 26, 2019
RAUM · $1.0B to $902M
Jul 25, 2018 to Mar 26, 2019
Other offices · 0 to 1
Apr 2, 2018 to Jul 25, 2018
Accounts · 559 to 601
Feb 22, 2018 to Mar 29, 2018
Advisory employees · 9 to 15
Feb 22, 2018 to Mar 29, 2018
HNW clients · unset to 77.0
Feb 22, 2018 to Mar 29, 2018
Individual clients · unset to 12.0
Feb 22, 2018 to Mar 29, 2018
Assets in custody · $33.1M to $222M
Feb 22, 2018 to Mar 29, 2018
Employees · 17 to 18
Feb 22, 2018 to Mar 29, 2018
State-registered IARs · 11 to 12
Feb 22, 2018 to Mar 29, 2018
Discretionary RAUM · $763M to $891M
Feb 22, 2018 to Mar 29, 2018
HNW RAUM · unset to 949439017.0
Feb 22, 2018 to Mar 29, 2018
Individual RAUM · unset to 5793504.0
Feb 22, 2018 to Mar 29, 2018
Non-discretionary RAUM · $80.4M to $109M
Feb 22, 2018 to Mar 29, 2018
RAUM · $844M to $1.0B
Feb 22, 2018 to Mar 29, 2018
Other offices · unset to 0.0
Mar 31, 2017 to Nov 13, 2017
Accounts · 117 to 559
Feb 13, 2017 to Mar 31, 2017
Advisory employees · 10 to 9
Feb 13, 2017 to Mar 31, 2017
BD registered reps · 13 to 0
Feb 13, 2017 to Mar 31, 2017

Signals

No event on the tape.

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026