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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
D•••• W•••••• A••••••••• I•••
Legal name W•••••• D•••• A••••••••• I••
Latest filing Mar 19, 2026
First filing on the tape Nov 15, 2011 · 33 filings
SEC status approved since Aug 10, 1994
RAUM
$1.3B
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
81%
$1.1B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$266M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.3B as of Mar 19, 2026
Mar 5, 2012$495M then
HNW client RAUM$988M as of Mar 19, 2026
Mar 12, 2018$562M then
State-registered IARs (5.B.3)5 as of Mar 19, 2026
Mar 5, 20120 then
Employees (5.A)5 as of Mar 19, 2026
Mar 13, 20137 then
Private funds: no history
RAUM -1.1% over the last fiscal year+6.5% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 19, 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
- $266MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $2.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$988M74%
- Charitable organizations$122M9.2%
- Individuals$89.5M6.7%
- Pension and profit-sharing plans$88.2M6.6%
- Banks and thrifts$41.6M3.1%
- Corporations and businesses$780,0000.1%
- Individual clients
- 234reported
- HNW clients
- 208reported
- Pension plan clients
- n/areported
- Charitable clients
- 17reported
- Accounts
- 465reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• •••• W•••••• | Portsmouth, Nh | Mar 19, 2001 | 31 y | 0 |
| W•••••• H•••• L••••• M••••••• | Portsmouth, Nh | Jan 3, 2011 | 43 y | 1 |
| N••• G•••••• B••••••• | Portsmouth, Nh | Jun 2, 2016 | 14 y | 2 |
| R••• V•••• S••••Chartered Financial Analyst | Portsmouth, Nh | Sep 8, 2023 | 35 y | 2 |
| T•••••• P•••••• R•••••• | Portsmouth, Nh | Aug 28, 2024 | 17 y | 1 |
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
- K•••••• E•••••••• S••• to C••• S••• L••Sep 14, 2023 · RIA to a state-registered adviser
- R••• V•••• S•••• to R• M• D•••• I••Apr 29, 2016 · Other
Joined, latest
- T•••••• P•••••• R•••••• from W•••••• O••••• • C••••••Aug 28, 2024 · Other
- R••• V•••• S•••• from R• M• D•••• I••Sep 8, 2023 · RIA to RIA
- N••• G•••••• B••••••• from H•••••• C•••••• M••••••••• I••Jun 2, 2016 · Other
- W•••••• H•••• L••••• M••••••• from J••••••• R••• • M••••••• I••Jan 3, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• N•••• G•••••• · Senior Vice Presidentcontrolsince 07/2023 · owns less than 5%
- F•••••• A•••• F•••••• · Senior Vice President Operations And Secretarycontrolsince 07/2023 · owns less than 5%
- M•••••••• W••••••• H•••• L••••• · Chairmancontrolsince 07/2017 · owns less than 5%
- R••••••• T••••••• P•••••• · Vice Presidentcontrolsince 08/2024 · owns less than 5%
- S••••• R•••• V•••• · Senior Vice Presidentcontrolsince 09/2023 · owns less than 5%
- W••••••• K••••• •••• · Ceo, President, Treasurer & Chief Compliance Officercontrolsince 07/2017 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Portsmouth, Nh · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 19, 2026R••••••• T••••••• P•••••• (VICE PRESIDENT) appeared on Schedule A between the filings of 2019-03-11 and 2026-03-19peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 19, 2026F•••••• A•••• F•••••• (SENIOR VICE PRESIDENT OPERATIONS AND SECRETARY) left Schedule A between the filings of 2019-03-11 and 2026-03-19peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 19, 2026W••••••• K••••• •••• (CEO, PRESIDENT, TREASURER & CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2019-03-11 and 2026-03-19peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 482 to 465Mar 25, 2025 to Mar 19, 2026
- HNW clients · 220 to 208Mar 25, 2025 to Mar 19, 2026
- Individual clients · 239 to 234Mar 25, 2025 to Mar 19, 2026
- Employees · 6 to 5Mar 25, 2025 to Mar 19, 2026
- Discretionary RAUM · $1.2B to $1.1BMar 25, 2025 to Mar 19, 2026
- HNW RAUM · $1.0B to $988MMar 25, 2025 to Mar 19, 2026
- Individual RAUM · $89.6M to $89.5MMar 25, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $184M to $188MMar 25, 2025 to Mar 19, 2026
- Pension RAUM · $87.2M to $88.2MMar 25, 2025 to Mar 19, 2026
- RAUM · $1.3B to $1.3BMar 25, 2025 to Mar 19, 2026
- Accounts · 487 to 482Sep 16, 2024 to Mar 25, 2025
- Advisory employees · 4 to 5Sep 16, 2024 to Mar 25, 2025
- Charity clients · 16 to 17Sep 16, 2024 to Mar 25, 2025
- Individual clients · 245 to 239Sep 16, 2024 to Mar 25, 2025
- Employees · 5 to 6Sep 16, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Sep 16, 2024 to Mar 25, 2025
- State-registered IARs · 4 to 5Sep 16, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.1B to $1.2BSep 16, 2024 to Mar 25, 2025
- HNW RAUM · $963M to $1.0BSep 16, 2024 to Mar 25, 2025
- Individual RAUM · $92.7M to $89.6MSep 16, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $209M to $184MSep 16, 2024 to Mar 25, 2025
- Pension RAUM · $79.4M to $87.2MSep 16, 2024 to Mar 25, 2025
- RAUM · $1.3B to $1.3BSep 16, 2024 to Mar 25, 2025
- Accounts · 470 to 487Sep 21, 2023 to Mar 5, 2024
- Charity clients · 15 to 16Sep 21, 2023 to Mar 5, 2024
- HNW clients · 193 to 220Sep 21, 2023 to Mar 5, 2024
- Individual clients · 256 to 245Sep 21, 2023 to Mar 5, 2024
- Discretionary RAUM · $926M to $1.1BSep 21, 2023 to Mar 5, 2024
- HNW RAUM · $816M to $963MSep 21, 2023 to Mar 5, 2024
- Individual RAUM · $102M to $92.7MSep 21, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $175M to $209MSep 21, 2023 to Mar 5, 2024
- Pension RAUM · $70.5M to $79.4MSep 21, 2023 to Mar 5, 2024
- RAUM · $1.1B to $1.3BSep 21, 2023 to Mar 5, 2024
- Advisory employees · 5 to 4Mar 9, 2023 to Jul 6, 2023
- Employees · 6 to 5Mar 9, 2023 to Jul 6, 2023
- State-registered IARs · 5 to 4Mar 9, 2023 to Jul 6, 2023
- Accounts · 476 to 470Jul 19, 2022 to Mar 9, 2023
- HNW clients · 226 to 193Jul 19, 2022 to Mar 9, 2023
- Individual clients · 229 to 256Jul 19, 2022 to Mar 9, 2023
- Discretionary RAUM · $1.1B to $926MJul 19, 2022 to Mar 9, 2023
Signals
7 dated events
- "Nmn" Karen Wendell (Ceo, President, Treasurer & Chief Compliance Officer) no longer on Schedule A of D•••• W•••••• A••••••••• I••• (listed 2019-03-11, absent 2026-03-19)Mar 19, 2026 · Control person left · inference
- Vaile Reid Smith (Senior Vice President) appeared on Schedule A of D•••• W•••••• A••••••••• I•••Sep 21, 2023 · Control person joined · fact
- Elizabeth Kathryn Shea (Executive Vice President) no longer on Schedule A of D•••• W•••••• A••••••••• I••• (listed 2023-07-06, absent 2023-09-21)Sep 21, 2023 · Control person left · inference
- K•••••• E•••••••• S••• left D•••• W•••••• A••••••••• I••• for C••• S••• L•• (registered 2025-02-07)Sep 14, 2023 · Advisor changed firm · fact
- James Peter Boland (President) no longer on Schedule A of D•••• W•••••• A••••••••• I••• (listed 2023-03-09, absent 2023-07-06)Jul 6, 2023 · Control person left · inference
- D•••• W•••••• A••••••••• I••• reported RAUM $972.6M, up 27% from $765.3M (2019-03-11 to 2020-03-03)Mar 3, 2020 · RAUM change · derived
- Fleming Anne Farris (Vice President Operations And Secretary) appeared on Schedule A of D•••• W•••••• A••••••••• I•••Mar 11, 2019 · Control person joined · 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 phone
- 603-427-0200reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-545-4791reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 603-427-0200reportedpublic record, Form ADV, Mar 19, 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
- $266Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026