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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SEC-registered adviser
L•••••• C•••••• C•••••••••
Latest filing Mar 9, 2026
First filing on the tape Mar 1, 2012 · 39 filings
SEC status approved since Apr 19, 1991
RAUM
$418M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$407M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$418M as of Mar 9, 2026
Mar 1, 2012$147M then
HNW client RAUM$334M as of Mar 9, 2026
Mar 8, 2018$174M then
State-registered IARs (5.B.3)3 as of Mar 9, 2026
Mar 1, 20120 then
Employees (5.A)6 as of Mar 9, 2026
Mar 8, 20135 then
Private funds: no history
RAUM +11% over the last fiscal year+11% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 9, 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
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $461,663derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$334M80%
- Individuals$72.6M17%
- Charitable organizations$7.6M1.8%
- Pension and profit-sharing plans$4.1M1.0%
- Individual clients
- 149reported
- HNW clients
- 116reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 906reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• A••••• M••••Certified Financial Planner | East Greenwich, Ri | Jul 15, 2011 | 19 y | 1 |
| S••• R• M••••••Chartered Financial Analyst | Uxbridge, Ma | Nov 16, 2015 | 10 y | 0 |
| A•••••••• R••• A•••••Certified Financial Planner | East Greenwich, Ri | Apr 6, 2016 | 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
- B••••••• A••••• M•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 15, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• A••••••••• R••• · General Manager And Chief Compliance Officercontrolsince 01/2020 · owns 10% to 25%
- A•••••• R•••••• E••••• · Presidentcontrolsince 01/1989 · owns less than 5%
- M••••• B•••••••• A••••• · Trusteecontrolsince 07/2011 · owns 75% or more
- M••••••• S••• · Senior Research Analystsince 01/2020 · owns 10% to 25%
Entity owners
- B••••••• M•••• R•••••••• T•••• · Shareholderdirect · owns 10% to 25%
- T•• A•••••••• R••• A••••• L••••• T•••• · Shareholderdirect · owns 10% to 25%
- T•• R••••• E• A••••• T•••• · Shareholderdirect · owns 50% to 75%
- T•• S••• M•••••• L••••• T•••• · Shareholderdirect · 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 |
|---|---|---|---|---|---|
| East Greenwich, Ri · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 859 to 906Dec 16, 2025 to Mar 9, 2026
- Advisory employees · 4 to 3Dec 16, 2025 to Mar 9, 2026
- Charity clients · 4.0 to unsetDec 16, 2025 to Mar 9, 2026
- HNW clients · 105 to 116Dec 16, 2025 to Mar 9, 2026
- Individual clients · 151 to 149Dec 16, 2025 to Mar 9, 2026
- Pension plan clients · 6 to 5Dec 16, 2025 to Mar 9, 2026
- State-registered IARs · 4 to 3Dec 16, 2025 to Mar 9, 2026
- Discretionary RAUM · $368M to $408MDec 16, 2025 to Mar 9, 2026
- HNW RAUM · $287M to $334MDec 16, 2025 to Mar 9, 2026
- Individual RAUM · $74.9M to $72.6MDec 16, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $9.9M to $10.6MDec 16, 2025 to Mar 9, 2026
- Pension RAUM · $8.5M to $4.1MDec 16, 2025 to Mar 9, 2026
- RAUM · $378M to $418MDec 16, 2025 to Mar 9, 2026
- Financial planning clients · 51-100 to 51-100Mar 18, 2025 to Jun 18, 2025
- Accounts · 839 to 859Oct 14, 2024 to Mar 18, 2025
- Advisory employees · 3 to 4Oct 14, 2024 to Mar 18, 2025
- Advisory activities · 2 to 3Oct 14, 2024 to Mar 18, 2025
- HNW clients · 101 to 105Oct 14, 2024 to Mar 18, 2025
- Individual clients · 159 to 151Oct 14, 2024 to Mar 18, 2025
- State-registered IARs · 3 to 4Oct 14, 2024 to Mar 18, 2025
- Discretionary RAUM · $348M to $368MOct 14, 2024 to Mar 18, 2025
- HNW RAUM · $268M to $287MOct 14, 2024 to Mar 18, 2025
- Individual RAUM · $69.2M to $74.9MOct 14, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $1.6M to $9.9MOct 14, 2024 to Mar 18, 2025
- Pension RAUM · $7.0M to $8.5MOct 14, 2024 to Mar 18, 2025
- RAUM · $350M to $378MOct 14, 2024 to Mar 18, 2025
- Advisory employees · 4 to 3Feb 21, 2024 to Feb 28, 2024
- State-registered IARs · 4 to 3Feb 21, 2024 to Feb 28, 2024
- Other offices · 5 to 3Feb 21, 2024 to Feb 28, 2024
- Accounts · 815 to 839Jun 29, 2023 to Feb 21, 2024
- Charity clients · 3 to 4Jun 29, 2023 to Feb 21, 2024
- HNW clients · 91 to 101Jun 29, 2023 to Feb 21, 2024
- Individual clients · 143 to 159Jun 29, 2023 to Feb 21, 2024
- Discretionary RAUM · $301M to $348MJun 29, 2023 to Feb 21, 2024
- HNW RAUM · $238M to $268MJun 29, 2023 to Feb 21, 2024
- Individual RAUM · $54.5M to $69.2MJun 29, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $2.0M to $1.6MJun 29, 2023 to Feb 21, 2024
- Pension RAUM · $5.7M to $7.0MJun 29, 2023 to Feb 21, 2024
- RAUM · $303M to $350MJun 29, 2023 to Feb 21, 2024
- Other offices · 1 to 5Mar 15, 2023 to Jun 29, 2023
Signals
No event on the tape.
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
- 401-453-0678reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 401-454-3040reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 855-768-3040reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/lincoln-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- lincolncapitalcorp.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (401) 454-3040reportedpublic record, Form ADV, Mar 9, 2026
- Contact form
- lincolncapitalcorp.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
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026