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
I•••• A•••• M••••••••• L••
Latest filing Dec 22, 2025
First filing on the tape Jan 25, 2012 · 24 filings
SEC status approved since Mar 24, 1972
RAUM
$8.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$8.9B
derived; firm RAUM over IAPD count
Employees
93
30 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$8.9B as of Dec 22, 2025
Jan 25, 2012$2.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 22, 2025
Jan 30, 20137 then
Employees (5.A)93 as of Dec 22, 2025
Jan 30, 201346 then
Private funds: no history
RAUM -1.5% over the last fiscal year+1.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 22, 2025; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $8.9BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $331MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 93.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$7.8B87%
- Pooled investment vehicles$1.0B11%
- Other investment advisers$128M1.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 27reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=19.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• H••••• B•••• | Portsmouth, Nh | Jun 23, 2004 | 39 y | 1 |
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
- C••••••••• H••••• B•••• from H• G• W••••••••• • C••• I•••Jun 23, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••• A•••••• · Chief Compliance Officercontrolsince 01/2006 · owns less than 5%
- C•••••••• K•••• · Elected Managercontrolsince 12/2022 · owns less than 5%
- F••••••••• E•••••• J••••• · President, Elected Managercontrolsince 02/2024 · owns less than 5%
- P••••• V••••••• M•••• · Chief Financial Officer, Elected Managercontrolsince 04/2024 · owns less than 5%
- S•••• I•• · Elected Managercontrolsince 01/2018 · owns less than 5%
Entity owners
- I•••• A•••• M••••••••• G•••• P•• · Parentdirect · owns 75% or more
Related persons
Schedule D 7.A
- I•••• A•••• M•••••••••investment advisernRAUM $2.0B
- I•••• A•••• M••••••••• •••• K•••• L•••investment advisern
- I•••• A•••• M••••••••• I•••••• L••investment advisern
- I•••• A•••• M••••••••• L•••investment advisernRAUM $26B
- I••• I• G• ••• L••investment adviserpooled vehicle sponsorn
- I••• I• G• ••• L••investment adviserpooled vehicle sponsorn
- I••• I•• G• ••• L••investment adviserpooled vehicle sponsorn
- I••• I• G• ••• L••investment adviserpooled vehicle sponsorn
Advisers that list I•••• A•••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY6 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Dec 22, 2025portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2024-12-20, yes on the filing of 2025-12-22peers: asset managers, $5B to $20B (684)
What changed
consecutive filings, newest first
- Accounts · 19 to 27Dec 20, 2024 to Dec 22, 2025
- Advisory employees · 36 to 30Dec 20, 2024 to Dec 22, 2025
- Advisory activities · 2 to 3Dec 20, 2024 to Dec 22, 2025
- BD registered reps · 21 to 19Dec 20, 2024 to Dec 22, 2025
- Pooled vehicle clients · unset to 7.0Dec 20, 2024 to Dec 22, 2025
- Employees · 113 to 93Dec 20, 2024 to Dec 22, 2025
- Financial planning clients · unset to Dec 20, 2024 to Dec 22, 2025
- Discretionary RAUM · $9.6B to $8.9BDec 20, 2024 to Dec 22, 2025
- Non-discretionary RAUM · $22.8M to $0Dec 20, 2024 to Dec 22, 2025
- Pooled vehicle RAUM · unset to 1024868402.0Dec 20, 2024 to Dec 22, 2025
- RAUM · $9.6B to $8.9BDec 20, 2024 to Dec 22, 2025
- Accounts · 21 to 19Apr 2, 2024 to Dec 20, 2024
- Advisory employees · 27 to 36Apr 2, 2024 to Dec 20, 2024
- BD registered reps · 22 to 21Apr 2, 2024 to Dec 20, 2024
- Employees · 115 to 113Apr 2, 2024 to Dec 20, 2024
- Discretionary RAUM · $9.0B to $9.6BApr 2, 2024 to Dec 20, 2024
- Non-discretionary RAUM · $30.1M to $22.8MApr 2, 2024 to Dec 20, 2024
- RAUM · $9.1B to $9.6BApr 2, 2024 to Dec 20, 2024
- Accounts · 20 to 21Jan 18, 2023 to Dec 18, 2023
- Advisory employees · 29 to 27Jan 18, 2023 to Dec 18, 2023
- BD registered reps · 23 to 22Jan 18, 2023 to Dec 18, 2023
- Employees · 104 to 115Jan 18, 2023 to Dec 18, 2023
- Discretionary RAUM · $7.5B to $9.0BJan 18, 2023 to Dec 18, 2023
- Non-discretionary RAUM · $0 to $30.1MJan 18, 2023 to Dec 18, 2023
- RAUM · $7.5B to $9.1BJan 18, 2023 to Dec 18, 2023
- Accounts · 17 to 20Apr 12, 2022 to Dec 13, 2022
- Advisory employees · 25 to 29Apr 12, 2022 to Dec 13, 2022
- BD registered reps · 19 to 23Apr 12, 2022 to Dec 13, 2022
- Employees · 77 to 104Apr 12, 2022 to Dec 13, 2022
- Discretionary RAUM · $8.5B to $7.5BApr 12, 2022 to Dec 13, 2022
- RAUM · $8.5B to $7.5BApr 12, 2022 to Dec 13, 2022
- Other offices · 0 to 1Dec 23, 2021 to Apr 12, 2022
- Advisory employees · 22 to 25Dec 23, 2020 to Dec 23, 2021
- BD registered reps · 16 to 19Dec 23, 2020 to Dec 23, 2021
- Employees · 62 to 77Dec 23, 2020 to Dec 23, 2021
- State-registered IARs · 16 to 0Dec 23, 2020 to Dec 23, 2021
- Discretionary RAUM · $5.3B to $8.5BDec 23, 2020 to Dec 23, 2021
- RAUM · $5.3B to $8.5BDec 23, 2020 to Dec 23, 2021
- Accounts · 14 to 17Dec 23, 2019 to Dec 23, 2020
- Advisory employees · 20 to 22Dec 23, 2019 to Dec 23, 2020
Signals
10 dated events
- Francis Joseph Keefe (President, Elected Manager) no longer on Schedule A of I•••• A•••• M••••••••• L•• (listed 2024-04-02, absent 2024-12-20)Dec 20, 2024 · Control person left · inference
- Joseph Edward Farrington (President, Elected Manager) appeared on Schedule A of I•••• A•••• M••••••••• L••Dec 20, 2024 · Control person joined · fact
- Megan Vanessa Pearl (Chief Financial Officer, Elected Manager) appeared on Schedule A of I•••• A•••• M••••••••• L••Dec 20, 2024 · Control person joined · fact
- K Alicia Dubois (Chief Financial Officer, Elected Manager) no longer on Schedule A of I•••• A•••• M••••••••• L•• (listed 2024-04-02, absent 2024-12-20)Dec 20, 2024 · Control person left · inference
- David Charles Ridge (Elected Manager) no longer on Schedule A of I•••• A•••• M••••••••• L•• (listed 2023-01-18, absent 2023-12-18)Dec 18, 2023 · Control person left · inference
- Patricia Mary Alexander (Elected Manager) no longer on Schedule A of I•••• A•••• M••••••••• L•• (listed 2023-01-18, absent 2023-12-18)Dec 18, 2023 · Control person left · inference
- Patricia Mary Alexander (Elected Manager) appeared on Schedule A of I•••• A•••• M••••••••• L••Jan 18, 2023 · Control person joined · fact
- K•••• C••••••• (Elected Manager) appeared on Schedule A of I•••• A•••• M••••••••• L••Dec 13, 2022 · Control person joined · fact
- I•••• A•••• M••••••••• L•• reported 0 state-registered advisory representatives, down from 16 (2020-12-23 to 2021-12-23)Dec 23, 2021 · Advisor headcount change · derived
- I•••• A•••• M••••••••• L•• reported RAUM $8.5B, up 60% from $5.3B (2020-12-23 to 2021-12-23)Dec 23, 2021 · RAUM change · derived
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
- Firm profile
- linkedin.com/company/impax-funds-usreportedpublic record, Form ADV, Sep 18, 2026
- Website
- i••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 603-431-8022reportedpublic record, Form ADV, Dec 22, 2025
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $8.9Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026