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
Portland Global Advisors LLC
Latest filing Mar 26, 2026
First filing on the tape Mar 5, 2012 · 25 filings
SEC status approved since Apr 11, 1997
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$1.1B individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
13
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.2B as of Mar 26, 2026
Mar 5, 2012$365M then
HNW client RAUM$1.0B as of Mar 26, 2026
Mar 23, 2018$509M then
State-registered IARs (5.B.3)11 as of Mar 26, 2026
Mar 5, 20120 then
Employees (5.A)13 as of Mar 26, 2026
Mar 5, 20134 then
Private funds: no history
RAUM +17% over the last fiscal year+16% a year over threeIARs 9 to 11
Practice profile
derived from the filing of Mar 26, 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
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.1MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publications, otherreportedItem 5.G
- Custody
- $542M, 130 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)
- 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$1.0B87%
- Individuals$110M9.4%
- Charitable organizations$29.7M2.5%
- Corporations and businesses$12.5M1.1%
- Individual clients
- 132reported
- HNW clients
- 168reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 1,010reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $542M for 130 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| Derek Cichon Jaskulski | Portland, Me | Apr 24, 2006 | 31 y | 0 |
| John Barker Sullivan | Portland, Me | Apr 24, 2006 | 31 y | 0 |
| Richard Scott Freeman Strabley | Portland, Me | Apr 24, 2006 | 36 y | 0 |
| Heidi Noel Peterson | Portland, Me | Apr 27, 2018 | 24 y | 0 |
| Thomas Colton Wells | Portland, Me | May 24, 2018 | 11 y | 0 |
| David E Smith | Portland, Me | Feb 13, 2021 | 35 y | 0 |
| Courtney Hart Walsh | Portland, Me | Sep 15, 2021 | 16 y | 1 |
| Leslie Kathryn Klenk | Portland, Me | Mar 20, 2023 | 10 y | 0 |
| Matthew Merrill Hanson | Portland, Me | Feb 16, 2024 | 11 y | 0 |
| Kathleen Marie Hurley | Portland, Me | May 30, 2025 | 25 y | 0 |
| Anna Mckersie | Portland, Me | Jan 7, 2026 | 10 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Courtney Hart Walsh from Wells Fargo AdvisorsSep 15, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Kathryn Leslie Klenk · Chief Compliance Officer;Secretary; Units)controlsince 02/2016 · owns less than 5%
- E David Smith · Chief Financial Officer, Treasurer, Directorcontrolsince 03/2024 · owns less than 5%
- Scott Freeman Richard Strabley · President; Member (Class B Units); Elected Managercontrolsince 01/1997 · owns 25% to 50%
- Barker John Sullivan · Ceo; Member (Class B Units); Elected Managercontrolsince 11/1994 · owns 25% to 50%
- Maney Bernard Devine · Membercontrolsince 06/1996 · owns 75% or more of Craftsbury, LLC
- John Devine · Managercontrolsince 06/1996 · owns F of Craftsbury, LLC
Entity owners
- Craftsbury, Limited Liability · Member (Class A Units)direct · owns 5% to 10%
- Craftsbury, Limited Liability Company · Member (Class A Units)direct · owns 5% to 10%
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 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 26, 2026financial planning (Item 5.G.1): no on the filing of 2025-06-25, yes on the filing of 2026-03-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 26, 2026STRABLEY, RICHARD, SCOTT FREEMAN (PRESIDENT; MEMBER (CLASS B UNITS); ELECTED MANAGER) left Schedule A between the filings of 2024-03-27 and 2026-03-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 26, 2026DEVINE, JOHN (MANAGER) left Schedule A between the filings of 2024-03-27 and 2026-03-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 26, 2026DEVINE, BERNARD, MANEY (MEMBER) left Schedule A between the filings of 2024-03-27 and 2026-03-26peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 894 to 1,010Jun 25, 2025 to Mar 26, 2026
- Advisory employees · 9 to 11Jun 25, 2025 to Mar 26, 2026
- Advisory activities · 4 to 5Jun 25, 2025 to Mar 26, 2026
- HNW clients · 157 to 168Jun 25, 2025 to Mar 26, 2026
- Individual clients · 130 to 132Jun 25, 2025 to Mar 26, 2026
- Assets in custody · $470M to $542MJun 25, 2025 to Mar 26, 2026
- Financial planning clients · to 26-50Jun 25, 2025 to Mar 26, 2026
- State-registered IARs · 9 to 11Jun 25, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.0B to $1.2BJun 25, 2025 to Mar 26, 2026
- HNW RAUM · $881M to $1.0BJun 25, 2025 to Mar 26, 2026
- Individual RAUM · $98.5M to $110MJun 25, 2025 to Mar 26, 2026
- RAUM · $1.0B to $1.2BJun 25, 2025 to Mar 26, 2026
- Financial planning clients · unset to Mar 28, 2025 to Jun 25, 2025
- Accounts · 813 to 894Jan 9, 2025 to Mar 28, 2025
- Corporate clients · 0 to 2Jan 9, 2025 to Mar 28, 2025
- HNW clients · 149 to 157Jan 9, 2025 to Mar 28, 2025
- Individual clients · 107 to 130Jan 9, 2025 to Mar 28, 2025
- Assets in custody · $355M to $470MJan 9, 2025 to Mar 28, 2025
- Employees · 11 to 13Jan 9, 2025 to Mar 28, 2025
- Discretionary RAUM · $895M to $1.0BJan 9, 2025 to Mar 28, 2025
- HNW RAUM · $789M to $881MJan 9, 2025 to Mar 28, 2025
- Individual RAUM · $83.2M to $98.5MJan 9, 2025 to Mar 28, 2025
- RAUM · $895M to $1.0BJan 9, 2025 to Mar 28, 2025
- Accounts · 754 to 813Mar 29, 2023 to Mar 27, 2024
- Advisory employees · 8 to 9Mar 29, 2023 to Mar 27, 2024
- Corporate clients · 1 to 0Mar 29, 2023 to Mar 27, 2024
- HNW clients · 153 to 149Mar 29, 2023 to Mar 27, 2024
- Individual clients · 103 to 107Mar 29, 2023 to Mar 27, 2024
- Assets in custody · $296M to $355MMar 29, 2023 to Mar 27, 2024
- Employees · 10 to 11Mar 29, 2023 to Mar 27, 2024
- State-registered IARs · 8 to 9Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $757M to $895MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $694M to $789MMar 29, 2023 to Mar 27, 2024
- Individual RAUM · $58.5M to $83.2MMar 29, 2023 to Mar 27, 2024
- RAUM · $757M to $895MMar 29, 2023 to Mar 27, 2024
- Accounts · 700 to 754Jan 12, 2023 to Mar 29, 2023
- Advisory employees · 7 to 8Jan 12, 2023 to Mar 29, 2023
- Charity clients · 1 to 2Jan 12, 2023 to Mar 29, 2023
- HNW clients · 151 to 153Jan 12, 2023 to Mar 29, 2023
- Individual clients · 88 to 103Jan 12, 2023 to Mar 29, 2023
Signals
3 dated events
- Cichon Derek Jaskulski (Member) no longer on Schedule A of Portland Global Advisors Llc (listed 2024-03-27, absent 2024-07-23)Jul 23, 2024 · Control person left · inference
- E David Smith (Chief Financial Officer) appeared on Schedule A of Portland Global Advisors LlcMar 27, 2024 · Control person joined · fact
- Portland Global Advisors Llc reported RAUM $865.5M, up 27% from $680.2M (2021-03-26 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Portland Global Advisors LLC · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Website
- PORTLANDGLOBAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 207-773-2773reportedpublic record, Form ADV, Mar 26, 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
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026