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

M•••••••• • C••••••• I•••

Former SEC-registered adviserHampton, New HampshireCRD 107937SEC 801-55188IAPD
Latest filing Mar 30, 2016
First filing on the tape Feb 13, 2012 · 13 filings
RAUM
$156M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$156M as of Mar 30, 2016
Feb 13, 2012$102M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 30, 2016
Feb 13, 20120 then
Employees (5.A)3 as of Mar 30, 2016
Apr 1, 20132 then
Private funds: no history
RAUM -5.4% over the last fiscal year+7.5% a year over threeIARs 0 to 3
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
$52.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$283,122derivedRAUM over accounts (5.F.2.f)
Discretionary
82%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-5.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
551reported
Financial planning clients
101-250reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M••••• D••••• T••••• · Chief Compliance Officercontrol
      since 07/2014 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • New London, NH
    What changed
    consecutive filings, newest first
    • Accounts · 564 to 551
      Sep 25, 2015 to Mar 30, 2016
    • Discretionary RAUM · $152M to $129M
      Sep 25, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $8.7M to $27.5M
      Sep 25, 2015 to Mar 30, 2016
    • RAUM · $160M to $156M
      Sep 25, 2015 to Mar 30, 2016
    • Accounts · 568 to 564
      Aug 3, 2015 to Sep 25, 2015
    • Financial planning clients · 51-100 to 101-250
      Aug 3, 2015 to Sep 25, 2015
    • Discretionary RAUM · $156M to $152M
      Aug 3, 2015 to Sep 25, 2015
    • Non-discretionary RAUM · $9.1M to $8.7M
      Aug 3, 2015 to Sep 25, 2015
    • RAUM · $165M to $160M
      Aug 3, 2015 to Sep 25, 2015
    • State-registered IARs · 0 to 3
      Sep 25, 2015 to Sep 25, 2015
    • Accounts · 533 to 568
      Nov 20, 2014 to Mar 31, 2015
    • Discretionary RAUM · $133M to $156M
      Nov 20, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · $9.1M to $9.1M
      Nov 20, 2014 to Mar 31, 2015
    • RAUM · $142M to $165M
      Nov 20, 2014 to Mar 31, 2015
    • Accounts · 523 to 533
      Apr 1, 2013 to Mar 24, 2014
    • Advisory employees · 2 to 3
      Apr 1, 2013 to Mar 24, 2014
    • Employees · 2 to 3
      Apr 1, 2013 to Mar 24, 2014
    • Discretionary RAUM · $117M to $133M
      Apr 1, 2013 to Mar 24, 2014
    • Non-discretionary RAUM · $8.9M to $9.1M
      Apr 1, 2013 to Mar 24, 2014
    • RAUM · $126M to $142M
      Apr 1, 2013 to Mar 24, 2014
    • Accounts · 510 to 523
      Feb 21, 2013 to Apr 1, 2013
    • Business name · M•••••••• • C• I•• to M•••••••• • C••••••• I•••
      Feb 21, 2013 to Apr 1, 2013
    • Legal name · M•••••••• • C• I•• to M•••••••• • C••••••• I•••
      Feb 21, 2013 to Apr 1, 2013
    • Discretionary RAUM · $92.5M to $117M
      Feb 21, 2013 to Apr 1, 2013
    • Non-discretionary RAUM · $9.5M to $8.9M
      Feb 21, 2013 to Apr 1, 2013
    • RAUM · $102M to $126M
      Feb 21, 2013 to Apr 1, 2013
    • Advisory employees · unset to 2.0
      Jul 27, 2012 to Feb 21, 2013
    • Employees · unset to 2.0
      Jul 27, 2012 to Feb 21, 2013
    • Succession · true to false
      Jul 27, 2012 to Feb 21, 2013
    • Succession · false to true
      Feb 13, 2012 to Jul 27, 2012
    Signals
    1 dated events
    • M•••••••• • C• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jul 27, 2012 · 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.
    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