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
Woodstock Corporation
Latest filing Jun 29, 2026
First filing on the tape Mar 29, 2012 · 22 filings
SEC status approved since Apr 4, 1968
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$1.2B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$161M
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.3B as of Jun 29, 2026
Jun 29, 2012$524M then
HNW client RAUM$1.2B as of Jun 29, 2026
Jun 29, 2018$566M then
State-registered IARs (5.B.3)7 as of Jun 29, 2026
Jun 29, 20120 then
Employees (5.A)10 as of Jun 29, 2026
Jun 27, 20139 then
Private funds: no history
RAUM +16% over the last fiscal year+9.0% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Jun 29, 2026; every figure names its basis
- RAUM per advisor
- $161MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.4MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $1.3B, 239 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)
- 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$1.2B91%
- Individuals$46.3M3.6%
- Charitable organizations$30.3M2.3%
- Corporations and businesses$23.1M1.8%
- Pension and profit-sharing plans$21.4M1.7%
- Individual clients
- 90reported
- HNW clients
- 140reported
- Pension plan clients
- n/areported
- Charitable clients
- 8reported
- Accounts
- 577reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 239 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Adrian Gregory DaviesChartered Financial Analyst | Boston, Ma | Jul 14, 2014 | 22 y | 0 |
| Thomas Charles StakemChartered Financial Analyst | Boston, Ma | Nov 3, 2014 | 32 y | 0 |
| Robert B. SandersChartered Financial Analyst | Boston, Ma | Jan 23, 2018 | 25 y | 1 |
| Lisa Marie Supple | Boston, Ma | Dec 14, 2018 | 36 y | 1 |
| Benjamin Gardner Dawson | Boston, Ma | Dec 16, 2021 | 42 y | 1 |
| David Michael Layden | Boston, Ma | Dec 23, 2021 | 17 y | 0 |
| James H. GarrettChartered Financial Analyst | Boston, Ma | Mar 27, 2025 | 18 y | 0 |
| Charles A Mcdonald | Boston, Ma | Aug 21, 2026 | 11 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
- Lawrence Francis Dooley to Capital Wealth Management, LLCMar 16, 2017 · Other
Joined, latest
- Benjamin Gardner Dawson from Alpha Windward LLCDec 16, 2021 · RIA to RIA
- Lisa Marie Supple from Laurel Capital Advisors LlpDec 14, 2018 · Other
- Robert B. Sanders from Howland Capital Management LLCJan 23, 2018 · Other
- Lawrence Francis Dooley from Nixon Peabody Financial Advisors LLCJul 5, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Alan Edward Benjamin · Directorcontrolsince 10/2003 · owns less than 5%
- Henry William Darling · Chairman, Ceocontrolsince 03/2003 · owns less than 5%
- Gregory Adrian Davies · President, Chief Investment Officercontrolsince 03/2020 · owns less than 5%
- M Christopher Leich · Directorcontrolsince 03/2019 · owns less than 5%
- Martin David Levesque · Svp, Administration, Treasurer, Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- Paine Henry Phippen · Secretarycontrolsince 06/1987 · owns less than 5%
- Dunleigh Paul Simpson · Vice Chairmancontrolsince 04/2013 · owns less than 5%
- Henry William Darling · Trusteecontrolsince 10/2003 · owns F of The Susanne Lacroix Phippen 1985 Appointive Property Trust
- Henry William Darling · Elected Managercontrolsince 12/2016 · owns F of Sagamore Operations & Management Company LLC
- Paine Henry Phippen · Elected Managercontrolsince 12/2016 · owns F of Sagamore Operations & Management Company LLC
- Paine Henry Phippen · Trusteecontrolsince 05/1985 · owns F of The Susanne Lacroix Phippen 1985 Appointive Property Trust
- Lacroix William Phippen · Trusteecontrolsince 06/2010 · owns F of The Suzanne Lacroix Phippen 1985 Appointive Property Trust
- Dunleigh Paul Simpson · Elected Managercontrolsince 12/2016 · owns F of Sagamore Operations & Management Company LLC
Entity owners
- Sagamore Operations & · Stockholderdirect · owns 75% or more
- Sagamore Operations & Management Company LLC · Stockholderdirect · owns 75% or more
- The Susanne Lacroix Phippen 1985 Appointive Property Trust · Memberindirect · owns 25% to 50% of Sagamore Operations & Management Company LLC
Related persons
Schedule D 7.A
- Agawam Trust And Management, LLCn
- William H. Darlinginsurancen
- Woodstock Services Company, LLCinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 29, 2026SIMPSON, PAUL, DUNLEIGH (ELECTED MANAGER) left Schedule A between the filings of 2021-07-07 and 2026-06-29peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jun 29, 2026BENJAMIN, EDWARD, ALAN (DIRECTOR) left Schedule A between the filings of 2021-07-07 and 2026-06-29peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jun 29, 2026PHIPPEN, WILLIAM, LACROIX (TRUSTEE) left Schedule A between the filings of 2021-07-07 and 2026-06-29peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 568 to 577Jan 13, 2026 to Jun 29, 2026
- Advisory employees · 7 to 8Jan 13, 2026 to Jun 29, 2026
- Individual clients · 93 to 90Jan 13, 2026 to Jun 29, 2026
- Assets in custody · $1.2B to $1.3BJan 13, 2026 to Jun 29, 2026
- Employees · 7 to 10Jan 13, 2026 to Jun 29, 2026
- Financial planning clients · 0 to Jan 13, 2026 to Jun 29, 2026
- State-registered IARs · 6 to 7Jan 13, 2026 to Jun 29, 2026
- Discretionary RAUM · $1.2B to $1.3BJan 13, 2026 to Jun 29, 2026
- HNW RAUM · $1.1B to $1.2BJan 13, 2026 to Jun 29, 2026
- Individual RAUM · $44.1M to $46.3MJan 13, 2026 to Jun 29, 2026
- Pension RAUM · $16.7M to $21.4MJan 13, 2026 to Jun 29, 2026
- RAUM · $1.2B to $1.3BJan 13, 2026 to Jun 29, 2026
- Accounts · 560 to 568Oct 11, 2024 to Jun 18, 2025
- Advisory employees · 8 to 7Oct 11, 2024 to Jun 18, 2025
- HNW clients · 136 to 140Oct 11, 2024 to Jun 18, 2025
- Assets in custody · $1.1B to $1.2BOct 11, 2024 to Jun 18, 2025
- Employees · 8 to 7Oct 11, 2024 to Jun 18, 2025
- Financial planning clients · 0 to 0Oct 11, 2024 to Jun 18, 2025
- State-registered IARs · 7 to 6Oct 11, 2024 to Jun 18, 2025
- Discretionary RAUM · $1.1B to $1.2BOct 11, 2024 to Jun 18, 2025
- HNW RAUM · $1.0B to $1.1BOct 11, 2024 to Jun 18, 2025
- Individual RAUM · $42.5M to $44.1MOct 11, 2024 to Jun 18, 2025
- Pension RAUM · $15.5M to $16.7MOct 11, 2024 to Jun 18, 2025
- RAUM · $1.1B to $1.2BOct 11, 2024 to Jun 18, 2025
- Accounts · 547 to 560Jun 14, 2023 to Jun 24, 2024
- HNW clients · 120 to 136Jun 14, 2023 to Jun 24, 2024
- Individual clients · 109 to 93Jun 14, 2023 to Jun 24, 2024
- Assets in custody · $905M to $1.1BJun 14, 2023 to Jun 24, 2024
- Discretionary RAUM · $922M to $1.1BJun 14, 2023 to Jun 24, 2024
- HNW RAUM · $817M to $1.0BJun 14, 2023 to Jun 24, 2024
- Individual RAUM · $52.4M to $42.5MJun 14, 2023 to Jun 24, 2024
- Pension RAUM · $13.1M to $15.5MJun 14, 2023 to Jun 24, 2024
- RAUM · $922M to $1.1BJun 14, 2023 to Jun 24, 2024
- Accounts · 554 to 547Jun 29, 2022 to Jun 14, 2023
- HNW clients · 135 to 120Jun 29, 2022 to Jun 14, 2023
- Individual clients · 97 to 109Jun 29, 2022 to Jun 14, 2023
- Assets in custody · $979M to $905MJun 29, 2022 to Jun 14, 2023
- Discretionary RAUM · $994M to $922MJun 29, 2022 to Jun 14, 2023
- HNW RAUM · $897M to $817MJun 29, 2022 to Jun 14, 2023
- Individual RAUM · $44.0M to $52.4MJun 29, 2022 to Jun 14, 2023
Signals
7 dated events
- Ward Thomas Darling (Trustee) no longer on Schedule A of Woodstock Corporation (listed 2023-06-14, absent 2024-06-24)Jun 24, 2024 · Control person left · inference
- Martin David Levesque (Svp, Administration, Treasurer) appeared on Schedule A of Woodstock CorporationJul 7, 2021 · Control person joined · fact
- M Christopher Leich (Director) appeared on Schedule A of Woodstock CorporationJul 7, 2021 · Control person joined · fact
- Woodstock Corporation reported RAUM $940.7M, up 51% from $624.2M (2021-01-06 to 2021-07-07)Jul 7, 2021 · RAUM change · derived
- Elena Marie Gillespie (Senior Vice President, Chief Compliance Officer, Treasurer) no longer on Schedule A of Woodstock Corporation (listed 2021-01-06, absent 2021-07-07)Jul 7, 2021 · Control person left · inference
- J Nelson Darling (Trustee) no longer on Schedule A of Woodstock Corporation (listed 2021-01-06, absent 2021-07-07)Jul 7, 2021 · Control person left · inference
- Darling Sarah Pruett (Trustee) no longer on Schedule A of Woodstock Corporation (listed 2021-01-06, absent 2021-07-07)Jul 7, 2021 · Control person left · inference
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
- info@woodstockcorp.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 617-227-0600reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/WOODSTOCK-CORPORATIONreportedpublic record, Form ADV, Sep 17, 2026
- Website
- WOODSTOCKCORP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 617-227-0600reportedpublic record, Form ADV, Jun 29, 2026
- Contact form
- woodstockcorp.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- woodstockcorp.com/who-we-arereportedpublished by the firm, firm site, Sep 15, 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
- $161Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026