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.
Former SEC-registered adviser
Nauset Wealth Management, LLC
Latest filing Mar 8, 2022
First filing on the tape Feb 13, 2012 · 13 filings
RAUM
$328M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$328M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$328M as of Mar 8, 2022
Feb 13, 2012$69.5M then
HNW client RAUM$158M as of Mar 8, 2022
Mar 23, 2018$150M then
State-registered IARs (5.B.3)2 as of Mar 8, 2022
Feb 13, 20120 then
Employees (5.A)3 as of Mar 8, 2022
Mar 22, 20163 then
Private funds: no history
RAUM +21% over the last fiscal year+24% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 8, 2022; every figure names its basis
- RAUM per advisor
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.5MderivedHNW RAUM over HNW clients
- Average account
- $550,821derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- Individuals$171M52%
- High-net-worth individuals$158M48%
- Individual clients
- 94reported
- HNW clients
- 21reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 596reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
Left, latest
- Michael Robert Lombardo to Perigon Wealth Management, LLCJan 13, 2023 · RIA to RIA
- David J Bauer to Perigon Wealth Management, LLCJan 13, 2023 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Perigon Wealth Management, LLCJan 13, 2023 · Westport, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Robert Michael Lombardo · Chief Compliance Officercontrolsince 02/2000 · owns less than 5%
- Robert Michael Lombardo · Presidentcontrolsince 02/2000 · owns 50% to 75% of Nauset Strategic Partners, Inc.
- Lynn Karen Swanson · Vice Presidentcontrolsince 02/2000 · owns 50% to 75% of Nauset Strategic Partners, Inc.
Entity owners
- Nauset Strategic Partners, Inc. · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 557 to 596Mar 14, 2021 to Mar 8, 2022
- HNW clients · 20 to 21Mar 14, 2021 to Mar 8, 2022
- Individual clients · 92 to 94Mar 14, 2021 to Mar 8, 2022
- Discretionary RAUM · $272M to $328MMar 14, 2021 to Mar 8, 2022
- HNW RAUM · $135M to $158MMar 14, 2021 to Mar 8, 2022
- Individual RAUM · $136M to $171MMar 14, 2021 to Mar 8, 2022
- RAUM · $272M to $328MMar 14, 2021 to Mar 8, 2022
- Accounts · 526 to 557Jun 18, 2020 to Mar 14, 2021
- HNW clients · 19 to 20Jun 18, 2020 to Mar 14, 2021
- Individual clients · 88 to 92Jun 18, 2020 to Mar 14, 2021
- Discretionary RAUM · $223M to $272MJun 18, 2020 to Mar 14, 2021
- HNW RAUM · $108M to $135MJun 18, 2020 to Mar 14, 2021
- Individual RAUM · $115M to $136MJun 18, 2020 to Mar 14, 2021
- RAUM · $223M to $272MJun 18, 2020 to Mar 14, 2021
- Accounts · 497 to 526Mar 6, 2019 to Mar 5, 2020
- HNW clients · 17 to 19Mar 6, 2019 to Mar 5, 2020
- Individual clients · 82 to 88Mar 6, 2019 to Mar 5, 2020
- Other offices · 1 to 0Mar 6, 2019 to Mar 5, 2020
- Discretionary RAUM · $174M to $223MMar 6, 2019 to Mar 5, 2020
- HNW RAUM · $86.3M to $108MMar 6, 2019 to Mar 5, 2020
- Individual RAUM · $87.9M to $115MMar 6, 2019 to Mar 5, 2020
- RAUM · $174M to $223MMar 6, 2019 to Mar 5, 2020
- Accounts · 459 to 497Mar 23, 2018 to Mar 6, 2019
- HNW clients · 52 to 17Mar 23, 2018 to Mar 6, 2019
- Individual clients · 38 to 82Mar 23, 2018 to Mar 6, 2019
- Discretionary RAUM · $169M to $174MMar 23, 2018 to Mar 6, 2019
- HNW RAUM · $150M to $86.3MMar 23, 2018 to Mar 6, 2019
- Individual RAUM · $18.7M to $87.9MMar 23, 2018 to Mar 6, 2019
- RAUM · $169M to $174MMar 23, 2018 to Mar 6, 2019
- Accounts · 423 to 459Mar 15, 2017 to Mar 23, 2018
- Charity clients · unset to 0.0Mar 15, 2017 to Mar 23, 2018
- Corporate clients · unset to 0.0Mar 15, 2017 to Mar 23, 2018
- HNW clients · unset to 52.0Mar 15, 2017 to Mar 23, 2018
- Individual clients · unset to 38.0Mar 15, 2017 to Mar 23, 2018
- Pension plan clients · unset to 0.0Mar 15, 2017 to Mar 23, 2018
- Pooled vehicle clients · unset to 0.0Mar 15, 2017 to Mar 23, 2018
- Financial planning clients · 26-50 to 51-100Mar 15, 2017 to Mar 23, 2018
- Other offices · unset to 1.0Mar 15, 2017 to Mar 23, 2018
- Discretionary RAUM · $136M to $169MMar 15, 2017 to Mar 23, 2018
- HNW RAUM · unset to 150136333.0Mar 15, 2017 to Mar 23, 2018
Signals
4 dated events
- David J Bauer left Nauset Wealth Management, Llc for Perigon Wealth Management, Llc (registered 2022-11-15)Jan 13, 2023 · Advisor changed firm · fact
- Michael Robert Lombardo left Nauset Wealth Management, Llc for Perigon Wealth Management, Llc (registered 2022-11-15)Jan 13, 2023 · Advisor changed firm · fact
- 2 advisors left Nauset Wealth Management, LLC (Westport, CT) for Perigon Wealth Management, LLC on the same dayJan 13, 2023 · Team lift-out · derived
- Nauset Wealth Management, Llc filed its initial SEC registration (Form ADV)May 13, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Nauset Wealth Management, LLC · Private Equityshared crd · intermediary
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