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

Abaris Financial Group, LLC

Former SEC-registered adviserConcord, MassachusettsCRD 116355SEC 801-64527IAPD
Latest filing Apr 15, 2019
First filing on the tape Mar 28, 2012 · 15 filings
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$141M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$146M as of Mar 22, 2019
Mar 28, 2012$90.6M then
HNW client RAUM$88.5M as of Mar 22, 2019
Mar 24, 2018$96.8M then
State-registered IARs (5.B.3)4 as of Mar 22, 2019
Mar 28, 20120 then
Employees (5.A)6 as of Mar 22, 2019
Mar 8, 20134 then
Private funds: no history
RAUM -1.0% over the last fiscal year+6.1% a year over threeIARs 4 to 4offices 1 to 0
Practice profile
derived from the filing of Apr 15, 2019; every figure names its basis
RAUM per advisor
$36.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
35derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$267,987derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-5.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$115M, 75 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$88.5M61%
  • Individuals$52.9M36%
  • Pension and profit-sharing plans$3.2M2.2%
  • Charitable organizations$740,4000.5%
  • Corporations and businesses$261,1000.2%
Individual clients
92reported
HNW clients
47reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
543reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$115M for 75 clientsreported
Compensation
% of AUM, fixed, 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Lee Abbey Henderson · Managing Member / Chief Compliance Officercontrol
        since 09/2001 · 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
      • Insurance-licensed employees · 0 to 4
        Mar 22, 2019 to Apr 15, 2019
      • Accounts · 547 to 543
        Mar 24, 2018 to Mar 22, 2019
      • HNW clients · 55 to 47
        Mar 24, 2018 to Mar 22, 2019
      • Assets in custody · $67.4M to $115M
        Mar 24, 2018 to Mar 22, 2019
      • Other offices · 1 to 0
        Mar 24, 2018 to Mar 22, 2019
      • Discretionary RAUM · $146M to $146M
        Mar 24, 2018 to Mar 22, 2019
      • HNW RAUM · $96.8M to $88.5M
        Mar 24, 2018 to Mar 22, 2019
      • Individual RAUM · $45.3M to $52.9M
        Mar 24, 2018 to Mar 22, 2019
      • Non-discretionary RAUM · $1.5M to $0
        Mar 24, 2018 to Mar 22, 2019
      • Pension RAUM · $1.3M to $3.2M
        Mar 24, 2018 to Mar 22, 2019
      • RAUM · $147M to $146M
        Mar 24, 2018 to Mar 22, 2019
      • Accounts · 590 to 547
        Nov 8, 2017 to Mar 24, 2018
      • Advisory activities · 4 to 5
        Nov 8, 2017 to Mar 24, 2018
      • HNW clients · 40 to 55
        Nov 8, 2017 to Mar 24, 2018
      • Individual clients · 120 to 92
        Nov 8, 2017 to Mar 24, 2018
      • Assets in custody · unset to 67419009.0
        Nov 8, 2017 to Mar 24, 2018
      • Custody of client assets · false to true
        Nov 8, 2017 to Mar 24, 2018
      • Employees · 4 to 6
        Nov 8, 2017 to Mar 24, 2018
      • Discretionary RAUM · $132M to $146M
        Nov 8, 2017 to Mar 24, 2018
      • HNW RAUM · $67.7M to $96.8M
        Nov 8, 2017 to Mar 24, 2018
      • Individual RAUM · $58.4M to $45.3M
        Nov 8, 2017 to Mar 24, 2018
      • Non-discretionary RAUM · $0 to $1.5M
        Nov 8, 2017 to Mar 24, 2018
      • Pension RAUM · unset to 1334102.0
        Nov 8, 2017 to Mar 24, 2018
      • RAUM · $132M to $147M
        Nov 8, 2017 to Mar 24, 2018
      • Advisory activities · 3 to 4
        Sep 13, 2017 to Nov 8, 2017
      • HNW clients · unset to 40.0
        Sep 13, 2017 to Nov 8, 2017
      • Individual clients · unset to 120.0
        Sep 13, 2017 to Nov 8, 2017
      • Other offices · unset to 1.0
        Sep 13, 2017 to Nov 8, 2017
      • HNW RAUM · unset to 67662200.0
        Sep 13, 2017 to Nov 8, 2017
      • Individual RAUM · unset to 58363500.0
        Sep 13, 2017 to Nov 8, 2017
      • Advisory activities · 4 to 3
        Mar 16, 2017 to Sep 13, 2017
      • Accounts · 591 to 590
        Mar 21, 2016 to Mar 16, 2017
      • Employees · 5 to 4
        Mar 21, 2016 to Mar 16, 2017
      • Financial planning clients · 251-500 to 101-250
        Mar 21, 2016 to Mar 16, 2017
      • Discretionary RAUM · $122M to $132M
        Mar 21, 2016 to Mar 16, 2017
      • RAUM · $122M to $132M
        Mar 21, 2016 to Mar 16, 2017
      • Accounts · 565 to 591
        Sep 4, 2015 to Mar 21, 2016
      • Discretionary RAUM · $122M to $122M
        Sep 4, 2015 to Mar 21, 2016
      • RAUM · $122M to $122M
        Sep 4, 2015 to Mar 21, 2016
      • Accounts · 556 to 565
        Mar 5, 2014 to Jan 19, 2015
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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