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.

SEC-registered adviser

Old Port Advisors

Independent wealth managerPortland, MaineCRD 108228SEC 801-60130website IAPD

Legal name Old Port Advisors, Inc

Latest filing Aug 31, 2026

First filing on the tape Apr 9, 2012 · 39 filings

SEC status approved since Apr 6, 2001

RAUM

$783M

reported, Item 5.F

Discretionary

93%

of RAUM

Private clients

87%

$681M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$71.2M

derived; firm RAUM over IAPD count

Employees

10 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

39 filings and snapshots on the tape

RAUM$783M as of Aug 31, 2026

Apr 9, 2012$148M then

HNW client RAUM$392M as of Aug 31, 2026

Mar 30, 2018$177M then

State-registered IARs (5.B.3)10 as of Aug 31, 2026

Apr 9, 20120 then

Employees (5.A)14 as of Aug 31, 2026

Apr 1, 20139 then

Private funds: no history

RAUM +4.9% over the last fiscal year+6.3% a year over threeIARs 11 to 10offices 2 to 0

Practice profile

derived from the filing of Aug 31, 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
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
Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients

RAUM per advisor: $71.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 74derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.8MderivedHNW RAUM over HNW clients
Average account: $348,681derivedRAUM over accounts (5.F.2.f)
Discretionary: 93%derivedof RAUM
Institutional: 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 11.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +4.9%derivedbetween the last two annual amendments
Advisor growth, one year: -18%derivedItem 5.B.3 between annual amendments
Client growth, one year: -11%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody: $75.5M, 134 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$392M50%
Individuals$289M37%
Pension and profit-sharing plans$97.4M12%
Charitable organizations$2.9M0.4%
Corporations and businesses$1.9M0.2%

Individual clients: 601reported
HNW clients: 215reported
Pension plan clients: 34reported
Charitable clients: n/areported
Accounts: 2,245reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $75.5M for 134 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

11 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Tracy Warren Rogers	Portland, Me	Nov 10, 2004	26 y	1
Francis J Davies	Portland, Me	Jan 11, 2006	42 y	0
Fredric Wallace Williams	Portland, Me	Dec 4, 2008	44 y	0
Ben Weylin Daigle	Portland, Me	Apr 7, 2011	21 y	1
Jason Edward Foster	Portland, Me	May 25, 2012	27 y	2
Lawrence John BowlanChartered Financial Consultant	Portland, Me	Apr 17, 2014	34 y	2
Richard Atwood Harlow	Portland, Me	Feb 29, 2016	28 y	2
Erica Morgan Bly	Portland, Me	Nov 6, 2017	18 y	4
Jake Thomas Kenyon	Portland, Me	Oct 21, 2019	11 y	0
Nan Margaret Pendleton	Portland, Me	Dec 18, 2024	15 y	1
Dylan FrankChartered Financial Analyst	Portland, Me	Jul 8, 2026	13 y	0

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 headcount2 left over 36 months

Left, latest

Clifford Patrick Ryan to LPL Financial LLC
Jun 25, 2025 · RIA to affiliated broker-dealer or bank
Sharon Perkins Bunker to Cambridge Investment Research Advisors, Inc.
Mar 8, 2024 · RIA to affiliated broker-dealer or bank
James Olver Flower to H.M. Payson
Oct 7, 2015 · Other
John Eric Warme to Citigroup Global Markets Inc.
Oct 8, 2013 · Other

Joined, latest

Nan Margaret Pendleton from Robert W. Baird & Co. Incorporated
Dec 18, 2024 · RIA to RIA
Clifford Patrick Ryan from Elder Planning Advisors Of Maine, Inc.
Sep 9, 2021 · Other
Erica Morgan Bly from Morgan Stanley
Nov 6, 2017 · Other
Sharon Perkins Bunker from Commonwealth Financial Network
Mar 31, 2017 · Other
Richard Atwood Harlow from Ameriprise Financial Services, LLC
Feb 29, 2016 · Other
Lawrence John Bowlan from Cambridge Investment Research Advisors, Inc.
Apr 17, 2014 · Other
Jason Edward Foster from Morgan Stanley
May 25, 2012 · Other
James Olver Flower from Morgan Stanley
May 25, 2012 · Other
Ben Weylin Daigle from Ameriprise Financial Services, LLC
Apr 7, 2011 · Other
Tracy Warren Rogers from Cambridge Investment Research, Inc.
Nov 10, 2004 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Lindquist Karen Mangino · Chief Compliance Officercontrol
since 03/2024 · owns less than 5%
Wallace Fredric Williams · President, Treasurer, And Secretarycontrol
since 01/1995 · owns 50% to 75%
Weylin Ben Daigle · Executive Vice President
since 01/2024 · owns 5% to 10%
Edward Jason Foster · Executive Vice President
since 01/2024 · owns 10% to 25%
Thomas Jake Kenyon · Executive Vice President
since 01/2024 · owns less than 5%
Warren Tracy Rogers · Executive Vice President
since 01/2024 · owns 10% to 25%

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
Portland, Me · principal	11	1	0
St Petersburg, Fl	0	0	0

Offices

Schedule D 1.F, the 25 largest

Portland, ME1 employees
, 1 employees

What changed

consecutive filings, newest first

Advisory employees · 9 to 10
Mar 25, 2026 to May 13, 2026
Employees · 13 to 14
Mar 25, 2026 to May 13, 2026
State-registered IARs · 9 to 10
Mar 25, 2026 to May 13, 2026
Accounts · 2,442 to 2,245
Jul 29, 2025 to Mar 25, 2026
Advisory employees · 11 to 9
Jul 29, 2025 to Mar 25, 2026
Corporate clients · 5 to 6
Jul 29, 2025 to Mar 25, 2026
HNW clients · 176 to 215
Jul 29, 2025 to Mar 25, 2026
Individual clients · 742 to 601
Jul 29, 2025 to Mar 25, 2026
Pension plan clients · 29 to 34
Jul 29, 2025 to Mar 25, 2026
Assets in custody · $40.2M to $75.5M
Jul 29, 2025 to Mar 25, 2026
Employees · 16 to 13
Jul 29, 2025 to Mar 25, 2026
State-registered IARs · 11 to 9
Jul 29, 2025 to Mar 25, 2026
Other offices · 2 to 0
Jul 29, 2025 to Mar 25, 2026
Discretionary RAUM · $701M to $729M
Jul 29, 2025 to Mar 25, 2026
HNW RAUM · $379M to $392M
Jul 29, 2025 to Mar 25, 2026
Individual RAUM · $287M to $289M
Jul 29, 2025 to Mar 25, 2026
Non-discretionary RAUM · $45.3M to $54.1M
Jul 29, 2025 to Mar 25, 2026
Pension RAUM · $74.6M to $97.4M
Jul 29, 2025 to Mar 25, 2026
RAUM · $746M to $783M
Jul 29, 2025 to Mar 25, 2026
Financial planning clients · 1-10 to 1-10
Apr 29, 2025 to Jul 29, 2025
Accounts · 2,276 to 2,442
Jun 28, 2024 to Apr 29, 2025
Advisory employees · 9 to 11
Jun 28, 2024 to Apr 29, 2025
HNW clients · 168 to 176
Jun 28, 2024 to Apr 29, 2025
Individual clients · 718 to 742
Jun 28, 2024 to Apr 29, 2025
Pension plan clients · 25 to 29
Jun 28, 2024 to Apr 29, 2025
Pooled vehicle clients · 0.0 to unset
Jun 28, 2024 to Apr 29, 2025
Employees · 12 to 16
Jun 28, 2024 to Apr 29, 2025
State-registered IARs · 8 to 11
Jun 28, 2024 to Apr 29, 2025
Discretionary RAUM · $646M to $701M
Jun 28, 2024 to Apr 29, 2025
HNW RAUM · $333M to $379M
Jun 28, 2024 to Apr 29, 2025
Individual RAUM · $241M to $287M
Jun 28, 2024 to Apr 29, 2025
Non-discretionary RAUM · $52.0M to $45.3M
Jun 28, 2024 to Apr 29, 2025
Pension RAUM · $118M to $74.6M
Jun 28, 2024 to Apr 29, 2025
Pooled vehicle RAUM · 0.0 to unset
Jun 28, 2024 to Apr 29, 2025
RAUM · $698M to $746M
Jun 28, 2024 to Apr 29, 2025
Succession · true to false
Mar 26, 2024 to Jun 13, 2024
Accounts · 2,213 to 2,276
Apr 1, 2023 to Mar 26, 2024
HNW clients · 170 to 168
Apr 1, 2023 to Mar 26, 2024
Individual clients · 698 to 718
Apr 1, 2023 to Mar 26, 2024
Pension plan clients · 27 to 25
Apr 1, 2023 to Mar 26, 2024

Signals

10 dated events

Clifford Patrick Ryan left Old Port Advisors for Lpl Financial Llc (registered 2025-05-27)
Jun 25, 2025 · Advisor changed firm · fact
Morgan Erica Bly (Chief Compliance Officer) no longer on Schedule A of Old Port Advisors (listed 2024-03-26, absent 2024-06-13)
Jun 13, 2024 · Control person left · inference
Karen Mangino (Chief Compliance Officer) appeared on Schedule A of Old Port Advisors
Jun 13, 2024 · Control person joined · fact
Old Port Advisors reported succeeding to the business of Another Adviser (Form ADV Item 4)
Mar 26, 2024 · Succession (Item 4) · fact
Sharon Perkins Bunker left Old Port Advisors for Cambridge Investment Research Advisors, Inc. (registered 2024-04-24)
Mar 8, 2024 · Advisor changed firm · fact
Warren Tracy Rogers (Vice President) no longer on Schedule A of Old Port Advisors (listed 2022-03-08, absent 2023-03-30)
Mar 30, 2023 · Control person left · inference
Old Port Advisors reported RAUM $651.0M, down 41% from $1.1B (2022-03-08 to 2023-03-30)
Mar 30, 2023 · RAUM change · derived
Old Port Advisors reported RAUM $834.3M, up 30% from $640.5M (2019-10-16 to 2020-02-24)
Feb 24, 2020 · RAUM change · derived
Morgan Erica Bly (Chief Compliance Officer) appeared on Schedule A of Old Port Advisors
Mar 4, 2019 · Control person joined · fact
Old Port Advisors reported RAUM $716.1M, up 34% from $533.2M (2017-03-28 to 2018-03-30)
Mar 30, 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.

How to reach

public business contact points only, each with its source

Business email: web@oldportadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 207-774-6552reportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 207-775-2969reportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 800-605-6552reportedpublished by the firm, firm site, Sep 17, 2026
Firm profile: LINKEDIN.COM/COMPANY/INVESTMENT-MANAGEMENT-&-CONSULTING-GROUreportedpublic record, Form ADV, Sep 17, 2026
Website: OLDPORTADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 207-774-6552reportedpublic record, Form ADV, Aug 31, 2026
Contact form: oldportadvisors.com/contactreportedpublished by the firm, firm site, Sep 17, 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: $71.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026