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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Former SEC-registered adviser
C•••••• • N••••••• F•••••••• G••••• L••
Latest filing Nov 25, 2025
First filing on the tape Mar 7, 2012 · 18 filings
SEC status approved since Jul 2, 2004
RAUM
$282M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$266M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$282M as of Nov 25, 2025
Mar 7, 2012$145M then
HNW client RAUM$208M as of Nov 25, 2025
Mar 15, 2018$117M then
State-registered IARs (5.B.3)2 as of Nov 25, 2025
Mar 7, 20120 then
Employees (5.A)2 as of Nov 25, 2025
Mar 7, 20132 then
Private funds: no history
RAUM +13% over the last fiscal year+7.1% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Nov 25, 2025; every figure names its basis
- RAUM per advisor
- $141MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $767,217derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.7%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$208M74%
- Individuals$57.1M20%
- Pension and profit-sharing plans$15.8M5.6%
- Corporations and businesses$215,9570.1%
- Individual clients
- 86reported
- HNW clients
- 64reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 367reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- R••••• M•••••• C•••••• to C•••••• • A•••••••••Mar 24, 2026 · RIA to a state-registered adviser
- S••••• C• N••••••• to C•• W••••• M••••••••• L••Mar 24, 2026 · RIA to RIA
- R••• S•••••• C•••••• to S•••••••• G••••• F•••••••• G•••• L••Jan 6, 2025 · RIA to a state-registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• R•••••• M•••••• · Membercontrolsince 03/2000 · owns 50% to 75%
- N•••••••• S•••••• C• · Member/Chief Compliance Officercontrolsince 03/2000 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Portsmouth, Nh · principal | 0 | 0 | 0 | ||
| Stratham, Nh | 0 | 0 | 1 | ||
| Westford, Ma | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
What changed
consecutive filings, newest first
- Accounts · 359 to 367Nov 29, 2024 to Mar 14, 2025
- Advisory employees · 3 to 2Nov 29, 2024 to Mar 14, 2025
- HNW clients · 65 to 64Nov 29, 2024 to Mar 14, 2025
- Individual clients · 84 to 86Nov 29, 2024 to Mar 14, 2025
- Employees · 3 to 2Nov 29, 2024 to Mar 14, 2025
- Financial planning clients · 26-50 to 26-50Nov 29, 2024 to Mar 14, 2025
- State-registered IARs · 3 to 2Nov 29, 2024 to Mar 14, 2025
- Discretionary RAUM · $249M to $282MNov 29, 2024 to Mar 14, 2025
- HNW RAUM · $187M to $208MNov 29, 2024 to Mar 14, 2025
- Individual RAUM · $47.4M to $57.1MNov 29, 2024 to Mar 14, 2025
- Pension RAUM · $14.6M to $15.8MNov 29, 2024 to Mar 14, 2025
- RAUM · $249M to $282MNov 29, 2024 to Mar 14, 2025
- Accounts · 348 to 359Mar 17, 2023 to Mar 15, 2024
- Advisory employees · 2 to 3Mar 17, 2023 to Mar 15, 2024
- Individual clients · 79 to 84Mar 17, 2023 to Mar 15, 2024
- Employees · 2 to 3Mar 17, 2023 to Mar 15, 2024
- State-registered IARs · 2 to 3Mar 17, 2023 to Mar 15, 2024
- Discretionary RAUM · $226M to $249MMar 17, 2023 to Mar 15, 2024
- HNW RAUM · $183M to $187MMar 17, 2023 to Mar 15, 2024
- Individual RAUM · $29.1M to $47.4MMar 17, 2023 to Mar 15, 2024
- Pension RAUM · $13.2M to $14.6MMar 17, 2023 to Mar 15, 2024
- RAUM · $226M to $249MMar 17, 2023 to Mar 15, 2024
- HNW clients · 59 to 65Mar 18, 2022 to Mar 17, 2023
- Individual clients · 82 to 79Mar 18, 2022 to Mar 17, 2023
- Discretionary RAUM · $229M to $226MMar 18, 2022 to Mar 17, 2023
- HNW RAUM · $165M to $183MMar 18, 2022 to Mar 17, 2023
- Individual RAUM · $48.1M to $29.1MMar 18, 2022 to Mar 17, 2023
- Pension RAUM · $15.6M to $13.2MMar 18, 2022 to Mar 17, 2023
- RAUM · $229M to $226MMar 18, 2022 to Mar 17, 2023
- Accounts · 359 to 348Mar 15, 2021 to Mar 18, 2022
- HNW clients · 56 to 59Mar 15, 2021 to Mar 18, 2022
- Individual clients · 93 to 82Mar 15, 2021 to Mar 18, 2022
- Discretionary RAUM · $199M to $229MMar 15, 2021 to Mar 18, 2022
- HNW RAUM · $141M to $165MMar 15, 2021 to Mar 18, 2022
- Individual RAUM · $43.9M to $48.1MMar 15, 2021 to Mar 18, 2022
- Pension RAUM · $13.3M to $15.6MMar 15, 2021 to Mar 18, 2022
- RAUM · $199M to $229MMar 15, 2021 to Mar 18, 2022
- Accounts · 360 to 359Jun 29, 2020 to Mar 15, 2021
- HNW clients · 51 to 56Jun 29, 2020 to Mar 15, 2021
- Individual clients · 82 to 93Jun 29, 2020 to Mar 15, 2021
Signals
4 dated events
- C•••••• • N••••••• F•••••••• G••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $281.6M)Apr 1, 2026 · Left the SEC roster · derived
- S••••• C• N••••••• left C•••••• • N••••••• F•••••••• G••••• L•• for C•• W••••• M••••••••• L•• (registered 2026-03-13)Mar 24, 2026 · Advisor changed firm · fact
- R••••• M•••••• C•••••• left C•••••• • N••••••• F•••••••• G••••• L•• for C•••••• • A••••••••• (registered 2026-01-05)Mar 24, 2026 · Advisor changed firm · fact
- R••• S•••••• C•••••• left C•••••• • N••••••• F•••••••• G••••• L•• for S•••••••• G••••• F•••••••• G•••• L•• (registered 2025-04-18)Jan 6, 2025 · 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.
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