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
Sweeney Financial Advisors
Legal name Sfm, LLC
Latest filing Aug 3, 2026
First filing on the tape Mar 27, 2012 · 29 filings
SEC status approved since Apr 7, 2014
RAUM
$403M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$394M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$67.2M
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
29 filings and snapshots on the tape
RAUM$403M as of Aug 3, 2026
Mar 27, 2012$81.4M then
HNW client RAUM$343M as of Aug 3, 2026
Mar 15, 2018$122M then
State-registered IARs (5.B.3)4 as of Aug 3, 2026
Mar 27, 20120 then
Employees (5.A)6 as of Aug 3, 2026
Mar 10, 20155 then
Private funds: no history
RAUM +25% over the last fiscal year+19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Aug 3, 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
- $67.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $500,230derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$343M85%
- Individuals$51.0M13%
- Pension and profit-sharing plans$8.8M2.2%
- Corporations and businesses$369,7490.1%
- Individual clients
- 147reported
- HNW clients
- 100reported
- Pension plan clients
- 11reported
- Charitable clients
- n/areported
- Accounts
- 806reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Glenn Patrick SweeneyChartered Financial Analyst | Manchester, Nh | Jun 1, 2012 | 28 y | 1 |
| Christopher John JuneCertified Financial Planner | Bedford, Nh | Apr 7, 2015 | 24 y | 0 |
| David Kenneth SnyderCertified Financial Planner | Bedford, Nh | Jan 3, 2022 | 11 y | 2 |
| Samuel Gallagher GrahamCertified Financial Planner | Bedford, Nh | Mar 5, 2024 | 11 y | 0 |
| Travis Jason Broadhurst | Bedford, Nh | Aug 3, 2026 | 10 y | 2 |
| Logan B Pettus | Bedford, Nh | Sep 11, 2026 | 10 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Logan B Pettus from Amherst Financial Group, LLCSep 11, 2026 · Other
- Travis Jason Broadhurst from Scs Capital Management LLCAug 3, 2026 · RIA to RIA
- David Kenneth Snyder from Citizens Securities, Inc.Jan 3, 2022 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John Christopher June · Partner, Chief Investment Officercontrolsince 07/2018 · owns 25% to 50%
- Kenneth David Snyder · Partner, Wealth Advisorcontrolsince 07/2023 · owns 10% to 25%
- Patrick Glenn Sweeney · President/Managing Partner/Chief Compliance Officercontrolsince 06/1998 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Bedford, Nh · principal | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Business name · SFM, LLC to SWEENEY FINANCIAL ADVISORSMar 31, 2026 to Aug 3, 2026
- HQ city · MANCHESTER to BEDFORDMar 31, 2026 to Aug 3, 2026
- Accounts · 711 to 806Aug 12, 2025 to Mar 31, 2026
- HNW clients · 76 to 100Aug 12, 2025 to Mar 31, 2026
- Individual clients · 188 to 147Aug 12, 2025 to Mar 31, 2026
- Pension plan clients · 5 to 11Aug 12, 2025 to Mar 31, 2026
- Financial planning clients · 101-250 to 51-100Aug 12, 2025 to Mar 31, 2026
- Discretionary RAUM · $323M to $403MAug 12, 2025 to Mar 31, 2026
- HNW RAUM · $249M to $343MAug 12, 2025 to Mar 31, 2026
- Individual RAUM · $67.1M to $51.0MAug 12, 2025 to Mar 31, 2026
- Pension RAUM · $7.5M to $8.8MAug 12, 2025 to Mar 31, 2026
- RAUM · $323M to $403MAug 12, 2025 to Mar 31, 2026
- Accounts · 627 to 711Aug 9, 2024 to Mar 31, 2025
- HNW clients · 95 to 76Aug 9, 2024 to Mar 31, 2025
- Individual clients · 112 to 188Aug 9, 2024 to Mar 31, 2025
- Pension plan clients · unset to 5.0Aug 9, 2024 to Mar 31, 2025
- Employees · 5 to 6Aug 9, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Aug 9, 2024 to Mar 31, 2025
- State-registered IARs · 3 to 4Aug 9, 2024 to Mar 31, 2025
- Discretionary RAUM · $275M to $323MAug 9, 2024 to Mar 31, 2025
- HNW RAUM · $239M to $249MAug 9, 2024 to Mar 31, 2025
- Individual RAUM · $35.6M to $67.1MAug 9, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $5.1M to $0Aug 9, 2024 to Mar 31, 2025
- Pension RAUM · $5.1M to $7.5MAug 9, 2024 to Mar 31, 2025
- RAUM · $280M to $323MAug 9, 2024 to Mar 31, 2025
- Accounts · 600 to 627Jan 5, 2024 to Mar 7, 2024
- HNW clients · 96 to 95Jan 5, 2024 to Mar 7, 2024
- Individual clients · 92 to 112Jan 5, 2024 to Mar 7, 2024
- Financial planning clients · 51-100 to 101-250Jan 5, 2024 to Mar 7, 2024
- Discretionary RAUM · $236M to $275MJan 5, 2024 to Mar 7, 2024
- HNW RAUM · $211M to $239MJan 5, 2024 to Mar 7, 2024
- Individual RAUM · $25.2M to $35.6MJan 5, 2024 to Mar 7, 2024
- Non-discretionary RAUM · $3.8M to $5.1MJan 5, 2024 to Mar 7, 2024
- Pension RAUM · $3.8M to $5.1MJan 5, 2024 to Mar 7, 2024
- RAUM · $240M to $280MJan 5, 2024 to Mar 7, 2024
- Accounts · 520 to 600Mar 14, 2022 to Mar 7, 2023
- HNW clients · 61 to 96Mar 14, 2022 to Mar 7, 2023
- Individual clients · 79 to 92Mar 14, 2022 to Mar 7, 2023
- Financial planning clients · 26-50 to 51-100Mar 14, 2022 to Mar 7, 2023
- Discretionary RAUM · $262M to $236MMar 14, 2022 to Mar 7, 2023
Signals
3 dated events
- Kenneth David Snyder (Partner, Wealth Advisor) appeared on Schedule A of Sweeney Financial AdvisorsMar 7, 2024 · Control person joined · fact
- Sfm, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 15, 2018 · Succession (Item 4) · fact
- Sfm, Llc filed its initial SEC registration (Form ADV)Mar 18, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- SFM, LLC · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 603-625-8400reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/3650519/adminreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SFMLLC.NETreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 603-625-8400reportedpublic record, Form ADV, Aug 3, 2026
- Contact form
- sweeneyfinancialadvisors.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- $67.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026