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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Former SEC-registered adviser
H•••••• C•••••• M••••••••• I••
Latest filing Jun 13, 2019
First filing on the tape Mar 28, 2012 · 14 filings
RAUM
$651M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$624M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$651M as of Mar 21, 2019
Mar 28, 2012$204M then
HNW client RAUM$593M as of Mar 21, 2019
Mar 13, 2018$635M then
State-registered IARs (5.B.3)7 as of Mar 21, 2019
Mar 28, 20120 then
Employees (5.A)9 as of Mar 21, 2019
Mar 28, 20136 then
Private funds: no history
RAUM -6.0% over the last fiscal year+13% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Jun 13, 2019; every figure names its basis
- RAUM per advisor
- $93.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $891,416derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$593M92%
- Individuals$31.6M4.9%
- Charitable organizations$17.0M2.6%
- Pension and profit-sharing plans$1.9M0.3%
- Individual clients
- 76reported
- HNW clients
- 139reported
- Pension plan clients
- n/areported
- Charitable clients
- 13reported
- Accounts
- 730reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- J••• F•••••• W•••• to F•••• P••••••• W•••••• L••Nov 14, 2019 · RIA to RIA
- J••••••••• A••••••• I•••••• A••••• to F•••• P••••••• W•••••• L••Nov 14, 2019 · RIA to RIA
- B•••• J••••• P••••• to F•••• P••••••• W•••••• L••Nov 14, 2019 · RIA to RIA
- N••• G•••••• B••••••• to D•••• W•••••• A••••••••• I•••Jun 1, 2016 · Other
- S•••••• R••••• M••••• to E••••••• I••••••••• A••••••• I••Aug 24, 2015 · Other
- C•••••• E• P•••••• to C•••••••• F•••••••• M••••••••• C••••May 2, 2008 · Other
- M••••• A•• M••••••• to T••• P•••••• A•••• M••••••••• L••May 22, 2003 · Other
Joined, latest
- B•••• J••••• P••••• from C•••••• I•••••••••Aug 24, 2015 · Other
- N••• G•••••• B••••••• from R•••• L•••• C•••••• M••••••••• L••Mar 4, 2015 · Other
- J••••••••• A••••••• I•••••• A••••• from D••••••• A••••••• L••Feb 6, 2013 · Other
- J••• F•••••• W•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 21, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for F•••• P••••••• W•••••• L••Nov 14, 2019 · Concord, Nh · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• B••••• J••••• · Chief Investment Officercontrolsince 08/2018 · owns less than 5%
- R•••• M•••••••• G•••••• · President/Chief Executive Officer/Chief Compliance Officercontrolsince 09/1995 · owns 75% or more
- C•••••••• D•••• · Chief Operating Officersince 01/2015 · owns less than 5%
- F••••• J••••• A••••• · Managing Director, Chief Planning Officersince 01/2015 · owns less than 5%
- W••••• J•••• F•••••• · Managing Director, Family Wealth & Business Transition Planningsince 01/2015 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 722 to 730Aug 29, 2018 to Mar 21, 2019
- Advisory employees · 3 to 7Aug 29, 2018 to Mar 21, 2019
- Charity clients · 11 to 13Aug 29, 2018 to Mar 21, 2019
- HNW clients · 122 to 139Aug 29, 2018 to Mar 21, 2019
- Individual clients · 73 to 76Aug 29, 2018 to Mar 21, 2019
- Assets in custody · $9.6M to $91.0MAug 29, 2018 to Mar 21, 2019
- Discretionary RAUM · $692M to $651MAug 29, 2018 to Mar 21, 2019
- HNW RAUM · $635M to $593MAug 29, 2018 to Mar 21, 2019
- Individual RAUM · $31.7M to $31.6MAug 29, 2018 to Mar 21, 2019
- Pension RAUM · $2.0M to $1.9MAug 29, 2018 to Mar 21, 2019
- RAUM · $692M to $651MAug 29, 2018 to Mar 21, 2019
- Accounts · 656 to 722Nov 14, 2017 to Mar 13, 2018
- Charity clients · unset to 11.0Nov 14, 2017 to Mar 13, 2018
- HNW clients · unset to 122.0Nov 14, 2017 to Mar 13, 2018
- Individual clients · unset to 73.0Nov 14, 2017 to Mar 13, 2018
- Assets in custody · $6.8M to $9.6MNov 14, 2017 to Mar 13, 2018
- Discretionary RAUM · $532M to $692MNov 14, 2017 to Mar 13, 2018
- HNW RAUM · unset to 635025636.0Nov 14, 2017 to Mar 13, 2018
- Individual RAUM · unset to 31738669.0Nov 14, 2017 to Mar 13, 2018
- Pension RAUM · unset to 1959700.0Nov 14, 2017 to Mar 13, 2018
- RAUM · $532M to $692MNov 14, 2017 to Mar 13, 2018
- Other offices · unset to 0.0Mar 2, 2017 to Nov 14, 2017
- Accounts · 626 to 656Nov 10, 2016 to Mar 2, 2017
- Assets in custody · $5.9M to $6.8MNov 10, 2016 to Mar 2, 2017
- Discretionary RAUM · $433M to $532MNov 10, 2016 to Mar 2, 2017
- Non-discretionary RAUM · $22.2M to $0Nov 10, 2016 to Mar 2, 2017
- RAUM · $455M to $532MNov 10, 2016 to Mar 2, 2017
- Accounts · 554 to 626Mar 24, 2015 to Mar 29, 2016
- Assets in custody · $16.7M to $5.9MMar 24, 2015 to Mar 29, 2016
- Discretionary RAUM · $449M to $433MMar 24, 2015 to Mar 29, 2016
- Non-discretionary RAUM · $23.8M to $22.2MMar 24, 2015 to Mar 29, 2016
- RAUM · $473M to $455MMar 24, 2015 to Mar 29, 2016
- Accounts · 526 to 554Mar 27, 2014 to Mar 24, 2015
- Advisory employees · 2 to 3Mar 27, 2014 to Mar 24, 2015
- Assets in custody · $6.7M to $16.7MMar 27, 2014 to Mar 24, 2015
- Employees · 7 to 9Mar 27, 2014 to Mar 24, 2015
- State-registered IARs · 6 to 7Mar 27, 2014 to Mar 24, 2015
- Discretionary RAUM · $424M to $449MMar 27, 2014 to Mar 24, 2015
- Non-discretionary RAUM · $0 to $23.8MMar 27, 2014 to Mar 24, 2015
- RAUM · $424M to $473MMar 27, 2014 to Mar 24, 2015
Signals
1 dated events
- H•••••• C•••••• M••••••••• I•• reported RAUM $692.2M, up 30% from $531.8M (2017-11-14 to 2018-03-13)Mar 13, 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.
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