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
Appleton Partners, Inc.
Latest filing Mar 23, 2026
First filing on the tape Mar 30, 2012 · 39 filings
SEC status approved since Feb 10, 1987
RAUM
$13B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
18%
$2.2B individuals and HNW
Advisors
31
registered through the firm on IAPD
RAUM per advisor
$405M
derived; firm RAUM over IAPD count
Employees
59
31 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$13B as of Mar 23, 2026
Mar 30, 2012$4.9B then
HNW client RAUM$1.8B as of Mar 23, 2026
Mar 22, 2018$1.2B then
State-registered IARs (5.B.3)23 as of Mar 23, 2026
Mar 27, 20132 then
Employees (5.A)59 as of Mar 23, 2026
Mar 27, 201335 then
Private funds: no history
RAUM -6.7% over the last fiscal year+1.1% a year over threeIARs 23 to 23
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
- RAUM per advisor
- $405MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 31.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $1.6B, 402 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.8B80%
- Individuals$358M16%
- Charitable organizations$78.9M3.4%
- Corporations and businesses$27.6M1.2%
- State and municipal entities$412,9330.0%
- Individual clients
- 339reported
- HNW clients
- 443reported
- Pension plan clients
- 0reported
- Charitable clients
- 11reported
- Accounts
- 7,106reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $2.1B managedreported
- Custody of client assets
- $1.6B for 402 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.18 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
31 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Nancy Hacker Place | Boston, Ma | Jan 29, 2018 | 27 y | 1 |
| James Lockwood BoslandChartered Financial Analyst | Boston, Ma | Jan 29, 2018 | 39 y | 2 |
| James C. QuealyChartered Financial Analyst | Boston, Ma | Jan 29, 2018 | 22 y | 1 |
| Daniel Thomas Anthony BuckleyChartered Financial Analyst | Boston, Ma | Jan 29, 2018 | 22 y | 1 |
| Geoffrey Daniel ChamberlainChartered Financial Analyst | Boston, Ma | Jan 29, 2018 | 25 y | 1 |
| Whitney Pearce FittsChartered Financial Analyst | Boston, Ma | Jan 29, 2018 | 23 y | 1 |
| Kelly C Mckernan | Boston, Ma | Jan 29, 2018 | 30 y | 2 |
| Anson Crawford CloughCertified Financial Planner, Chartered Financial Analyst | Boston, Ma | Jan 29, 2018 | 33 y | 1 |
| Douglas Campbell ChamberlainChartered Financial Analyst | Boston, Ma | Jan 29, 2018 | 37 y | 1 |
| Benjamin Peter Holcombe | Boston, Ma | Jan 29, 2018 | 15 y | 6 |
| Christopher Neil SutherlandCertified Financial Planner | Boston, Ma | Jan 3, 2019 | 14 y | 1 |
| James Michael O'Neil | Boston, Ma | Jan 8, 2020 | 6 y | 0 |
| H.L. J Johnson | Boston, Ma | Jan 8, 2020 | 43 y | 0 |
| Jennifer HallCertified Financial Planner | Boston, Ma | Jun 24, 2021 | 10 y | 0 |
| Ryan Tracy | Boston, Ma | Feb 18, 2022 | 16 y | 0 |
| Jesse Charles Martin | Boston, Ma | Mar 24, 2022 | 27 y | 0 |
| Gregory Lally | Boston, Ma | Nov 22, 2022 | 29 y | 0 |
| Sarah Marie Brodeur | Boston, Ma | Apr 25, 2023 | 11 y | 1 |
| Vincent Marc Capolupo | Boston, Ma | Aug 30, 2023 | 20 y | 3 |
| Thomas William HagstromChartered Financial Analyst | Boston, Ma | May 15, 2024 | 35 y | 3 |
| Nathan Walsh HarrisChartered Financial Analyst | Boston, Ma | Jan 27, 2025 | 14 y | 0 |
| Oana BandarChartered Financial Analyst | Boston, Ma | Feb 5, 2025 | 19 y | 0 |
| Andrew PetersonChartered Financial Analyst | Boston, Ma | Mar 25, 2025 | 14 y | 0 |
| Jack Telman | Boston, Ma | May 16, 2025 | 11 y | 0 |
| David Melanson | Boston, Ma | May 22, 2025 | 13 y | 0 |
| Margaret Brennan | Boston, Ma | Jun 3, 2025 | 12 y | 0 |
| Stephen Anthony MichienziChartered Financial Analyst | Boston, Ma | Mar 4, 2026 | 11 y | 0 |
| Jason Roger CookChartered Financial Analyst | Boston, Ma | Mar 16, 2026 | 13 y | 0 |
| Timothy DelaneyChartered Financial Analyst | Boston, Ma | Mar 16, 2026 | 26 y | 0 |
| Ian Walsh | Boston, Ma | Apr 16, 2026 | 11 y | 0 |
| Matthew Casieri | Boston, Ma | May 11, 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Thomas William Hagstrom from Charles Schwab Investment Advisory, IncMay 15, 2024 · Other
- Vincent Marc Capolupo from Svb WealthAug 30, 2023 · Other
- Sarah Marie Brodeur from Equitable Advisors, LLCApr 25, 2023 · Other
- Christopher Neil Sutherland from Advice And Planning ServicesJan 3, 2019 · Other
- Kelly C Mckernan from Alliancebernstein L.P.Dec 15, 2017 · Other
- Benjamin Peter Holcombe from Morgan StanleyMay 12, 2015 · Other
- James Lockwood Bosland from Wainwright Asset Management LLCApr 15, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Campbell Douglas Chamberlain · President, Ceo, Directorcontrolsince 10/1998 · owns less than 5%
- Thomas Michael Howard · Vp, Chief Compliance Officercontrolsince 10/2020 · owns less than 5%
- Dawn Michele Hubley · Svp - Co-Coocontrolsince 05/2004 · owns less than 5%
- Alan Robert Krantz · Svp - Co-Coocontrolsince 09/2022 · owns less than 5%
- Campbell Douglas Chamberlain · Trustee, Appleton Partners Business Trustcontrolsince 08/2001 · owns F of Appleton Partners Business Trust
- Dawn Michele Hubley · Trustee, Appleton Partners Business Trustcontrolsince 06/2020 · owns F of Appleton Partners Business Trust
- Daniel Geoffrey Chamberlain · Trustee, Appleton Partners Business Trustsince 08/2022 · owns F of Appleton Partners Business Trust
Entity owners
- Appleton Partners Business Trust · Business Trustdirect · 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 |
|---|---|---|---|---|---|
| Boston, Ma · principal | 31 | 5 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7,414 to 7,106Jul 7, 2025 to Mar 23, 2026
- Advisory employees · 32 to 31Jul 7, 2025 to Mar 23, 2026
- Charity clients · 12 to 11Jul 7, 2025 to Mar 23, 2026
- Corporate clients · unset to 4.0Jul 7, 2025 to Mar 23, 2026
- HNW clients · 459 to 443Jul 7, 2025 to Mar 23, 2026
- Individual clients · 326 to 339Jul 7, 2025 to Mar 23, 2026
- Assets in custody · $1.2B to $1.6BJul 7, 2025 to Mar 23, 2026
- Employees · 61 to 59Jul 7, 2025 to Mar 23, 2026
- Discretionary RAUM · $13B to $13BJul 7, 2025 to Mar 23, 2026
- HNW RAUM · $1.8B to $1.8BJul 7, 2025 to Mar 23, 2026
- Individual RAUM · $288M to $358MJul 7, 2025 to Mar 23, 2026
- RAUM · $13B to $13BJul 7, 2025 to Mar 23, 2026
- Wrap assets (manager) · $1.9B to $2.1BJul 7, 2025 to Mar 23, 2026
- Financial planning clients · 101-250 to 101-250Jun 30, 2025 to Jul 7, 2025
- Corporate clients · 5.0 to unsetAug 15, 2024 to Mar 25, 2025
- Accounts · 7,116 to 7,414Aug 15, 2024 to Mar 25, 2025
- Advisory employees · 28 to 32Aug 15, 2024 to Mar 25, 2025
- Charity clients · 13 to 12Aug 15, 2024 to Mar 25, 2025
- HNW clients · 482 to 459Aug 15, 2024 to Mar 25, 2025
- Individual clients · 310 to 326Aug 15, 2024 to Mar 25, 2025
- Assets in custody · $807M to $1.2BAug 15, 2024 to Mar 25, 2025
- Employees · 58 to 61Aug 15, 2024 to Mar 25, 2025
- Financial planning clients · 51-100 to 101-250Aug 15, 2024 to Mar 25, 2025
- State-registered IARs · 19 to 23Aug 15, 2024 to Mar 25, 2025
- Discretionary RAUM · $13B to $13BAug 15, 2024 to Mar 25, 2025
- HNW RAUM · $1.8B to $1.8BAug 15, 2024 to Mar 25, 2025
- Individual RAUM · $251M to $288MAug 15, 2024 to Mar 25, 2025
- RAUM · $13B to $13BAug 15, 2024 to Mar 25, 2025
- Wrap assets (manager) · $1.2B to $1.9BAug 15, 2024 to Mar 25, 2025
- Accounts · 6,827 to 7,116Mar 8, 2023 to Mar 8, 2024
- Advisory employees · 29 to 28Mar 8, 2023 to Mar 8, 2024
- Charity clients · 16 to 13Mar 8, 2023 to Mar 8, 2024
- Corporate clients · 6 to 5Mar 8, 2023 to Mar 8, 2024
- HNW clients · 489 to 482Mar 8, 2023 to Mar 8, 2024
- Individual clients · 279 to 310Mar 8, 2023 to Mar 8, 2024
- Assets in custody · $1.8B to $807MMar 8, 2023 to Mar 8, 2024
- State-registered IARs · 21 to 19Mar 8, 2023 to Mar 8, 2024
- Discretionary RAUM · $12B to $13BMar 8, 2023 to Mar 8, 2024
- HNW RAUM · $1.6B to $1.8BMar 8, 2023 to Mar 8, 2024
- Individual RAUM · $222M to $251MMar 8, 2023 to Mar 8, 2024
Signals
3 dated events
- Ira James Ladge (Senior Vice President, Coo) no longer on Schedule A of Appleton Partners, Inc. (listed 2022-11-02, absent 2023-03-08)Mar 8, 2023 · Control person left · inference
- Alan Robert Krantz (Svp - Co-Coo) appeared on Schedule A of Appleton Partners, Inc.Mar 8, 2023 · Control person joined · fact
- Thomas Michael Howard (Vp, Chief Compliance Officer) appeared on Schedule A of Appleton Partners, Inc.Apr 13, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Appleton Partners, Inc. · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/appleton-partners-inc.reportedpublic record, Form ADV, Sep 17, 2026
- Website
- APPLETONPARTNERS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 617-338-0700reportedpublic record, Form ADV, Mar 23, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $405Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026