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
1• N•••• W••••• S•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jan 25, 2012 · 34 filings
SEC status approved since Feb 22, 2002
RAUM
$320M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$306M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$64.1M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$320M as of Mar 27, 2026
Mar 29, 2012$141M then
HNW client RAUM$213M as of Mar 27, 2026
Mar 2, 2018$83.1M then
State-registered IARs (5.B.3)6 as of Mar 27, 2026
Mar 29, 20120 then
Employees (5.A)6 as of Mar 27, 2026
Mar 6, 20136 then
Private funds: no history
RAUM +15% over the last fiscal year+9.6% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 27, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $64.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $484,033derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $104M, 156 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$213M66%
- Individuals$93.5M29%
- Corporations and businesses$10.4M3.2%
- Charitable organizations$3.9M1.2%
- Individual clients
- 136reported
- HNW clients
- 81reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 662reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $104M for 156 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• L•••••• H••••• | Annapolis, Md | Apr 1, 2009 | 21 y | 0 |
| K•••••• L•••• P•••• | Annapolis, Md | Jun 10, 2013 | 15 y | 0 |
| J••• E••••• M•••••••• | Annapolis, Md | Aug 7, 2020 | 10 y | 0 |
| J•••• E••••• B••••••Certified Financial Planner | Annapolis, Md | Nov 20, 2023 | 29 y | 0 |
| D•••••• S••••••••• | Annapolis, Md | Apr 10, 2025 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- A••••••••• J••••• S•••••••• to C•••• A•••••••Apr 28, 2026 · RIA to a state-registered adviser
- M••••••••• A••••••••• C••• to R••••••••• C•••••• P•••••••Aug 1, 2023 · RIA to RIA
- J•• C•••• M•••••••• to O•••• V••• A•••••••Feb 2, 2018 · Other
- R••• J•••••• G•••••••• to R••••••• O•••••• C•••••• M••••••••• L••Jul 29, 2013 · Other
- R••• C••••••••• H••••• to O•••• F•• I•••Feb 14, 2005 · Other
Joined, latest
- R••• J•••••• G•••••••• from L••• M•••• W••• W•••••• I•••••••••Nov 20, 2008 · Other
- R••• C••••••••• H••••• from L••• M•••• W••• W•••••• I•••••••••Jan 13, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• J••••• E••••• · Principal/Chief Compliance Officercontrolsince 02/2018 · 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 |
|---|---|---|---|---|---|
| Annapolis, Md · principal | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 647 to 662Mar 17, 2025 to Mar 27, 2026
- Corporate clients · 4 to 3Mar 17, 2025 to Mar 27, 2026
- HNW clients · 79 to 81Mar 17, 2025 to Mar 27, 2026
- Individual clients · 127 to 136Mar 17, 2025 to Mar 27, 2026
- Assets in custody · $179M to $104MMar 17, 2025 to Mar 27, 2026
- State-registered IARs · 5 to 6Mar 17, 2025 to Mar 27, 2026
- Discretionary RAUM · $278M to $320MMar 17, 2025 to Mar 27, 2026
- HNW RAUM · $185M to $213MMar 17, 2025 to Mar 27, 2026
- Individual RAUM · $78.1M to $93.5MMar 17, 2025 to Mar 27, 2026
- RAUM · $278M to $320MMar 17, 2025 to Mar 27, 2026
- Accounts · 687 to 647Mar 29, 2024 to Mar 17, 2025
- Advisory employees · 4 to 6Mar 29, 2024 to Mar 17, 2025
- Charity clients · 1 to 2Mar 29, 2024 to Mar 17, 2025
- Corporate clients · 5 to 4Mar 29, 2024 to Mar 17, 2025
- HNW clients · 77 to 79Mar 29, 2024 to Mar 17, 2025
- Individual clients · 135 to 127Mar 29, 2024 to Mar 17, 2025
- Assets in custody · $86.1M to $179MMar 29, 2024 to Mar 17, 2025
- Employees · 4 to 6Mar 29, 2024 to Mar 17, 2025
- Financial planning clients · 11-25 to 11-25Mar 29, 2024 to Mar 17, 2025
- State-registered IARs · 4 to 5Mar 29, 2024 to Mar 17, 2025
- Discretionary RAUM · $273M to $278MMar 29, 2024 to Mar 17, 2025
- HNW RAUM · $179M to $185MMar 29, 2024 to Mar 17, 2025
- Individual RAUM · $79.6M to $78.1MMar 29, 2024 to Mar 17, 2025
- RAUM · $273M to $278MMar 29, 2024 to Mar 17, 2025
- Accounts · 702 to 687Aug 1, 2023 to Mar 29, 2024
- HNW clients · 79 to 77Aug 1, 2023 to Mar 29, 2024
- Individual clients · 140 to 135Aug 1, 2023 to Mar 29, 2024
- Assets in custody · $117M to $86.1MAug 1, 2023 to Mar 29, 2024
- Discretionary RAUM · $261M to $273MAug 1, 2023 to Mar 29, 2024
- HNW RAUM · $174M to $179MAug 1, 2023 to Mar 29, 2024
- Individual RAUM · $73.3M to $79.6MAug 1, 2023 to Mar 29, 2024
- RAUM · $261M to $273MAug 1, 2023 to Mar 29, 2024
- Accounts · 685 to 702Mar 30, 2023 to Aug 1, 2023
- Advisory employees · 5 to 4Mar 30, 2023 to Aug 1, 2023
- Individual clients · 139 to 140Mar 30, 2023 to Aug 1, 2023
- Employees · 5 to 4Mar 30, 2023 to Aug 1, 2023
- State-registered IARs · 5 to 4Mar 30, 2023 to Aug 1, 2023
- Discretionary RAUM · $243M to $261MMar 30, 2023 to Aug 1, 2023
- HNW RAUM · $166M to $174MMar 30, 2023 to Aug 1, 2023
- Individual RAUM · $65.4M to $73.3MMar 30, 2023 to Aug 1, 2023
Signals
2 dated events
- A••••••••• J••••• S•••••••• left 1• N•••• W••••• S•••••••• L•• for C•••• A••••••• (registered 2026-07-14)Apr 28, 2026 · Advisor changed firm · fact
- M••••••••• A••••••••• C••• left 1• N•••• W••••• S•••••••• L•• for R••••••••• C•••••• P••••••• (registered 2023-11-08)Aug 1, 2023 · Advisor changed firm · fact
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
- 410-975-0099reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- 1N••••WEALTHSERVICES.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 410-975-0099reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- 1northwealthservices.com/contact-1-north-wealthreportedpublished 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
- $64.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026