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
The Foundry Financial Group, Inc.
Latest filing Feb 20, 2026
First filing on the tape Dec 20, 2011 · 20 filings
SEC status approved since Jan 10, 2024
RAUM
$284M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$275M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$40.6M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$284M as of Feb 20, 2026
Dec 20, 2011$65.8M then
HNW client RAUM$240M as of Feb 20, 2026
Dec 12, 2023$139M then
State-registered IARs (5.B.3)6 as of Feb 20, 2026
Dec 20, 20110 then
Employees (5.A)11 as of Feb 20, 2026
Dec 12, 20239 then
Private funds: no history
RAUM +37% over the last fiscal yearIARs 6 to 6offices 1 to 0
Practice profile
derived from the filing of Feb 20, 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
- $40.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $235,667derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +37%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $5.9M, 12 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$240M85%
- Individuals$34.8M12%
- Pension and profit-sharing plans$9.1M3.2%
- Individual clients
- 149reported
- HNW clients
- 145reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 1,206reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.9M for 12 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Harrington FogartyCertified Financial Planner, Chartered Financial Consultant | Laconia, Nh | Jul 25, 2001 | 34 y | 1 |
| Daniel Joseph RivetCertified Financial Planner | Laconia, Nh | Jun 19, 2018 | 13 y | 1 |
| Sarah Margaret Anderson | Laconia, Nh | Jul 8, 2020 | 12 y | 1 |
| Joshua Roger AllenCertified Financial Planner | Laconia, Nh | Feb 8, 2024 | 13 y | 1 |
| Rachel Annalyse Dadian | Laconia, Nh | Aug 28, 2024 | 12 y | 1 |
| Brady Michael Martin | Laconia, Nh | Jul 26, 2025 | 11 y | 0 |
| Ava Louise Clark | Laconia, Nh | Dec 5, 2025 | 10 y | 0 |
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
- Neil Kevin Flaherty to Cambridge Investment Research Advisors, Inc.Apr 19, 2023 · Other
- Jennifer Currier Williams to LPL Financial LLCNov 14, 2022 · Other
- Joel Peter Arsenault to Cambridge Investment Research Advisors, Inc.Jan 19, 2022 · Other
- Jaimie L. Sousa to Cambridge Investment Research Advisors, Inc.Jul 19, 2019 · Other
- Luca Anthony D Italia to Morgan StanleyOct 23, 2012 · Other
Joined, latest
- Rachel Annalyse Dadian from Cambridge Investment Research Advisors, Inc.Aug 28, 2024 · Affiliated broker-dealer or bank to independent RIA
- Joshua Roger Allen from Osaic Institutions, Inc.Feb 8, 2024 · Affiliated broker-dealer or bank to independent RIA
- Neil Kevin Flaherty from Advice And Planning ServicesNov 4, 2020 · Other
- Jennifer Currier Williams from Cambridge Investment Research Advisors, Inc.Aug 20, 2020 · Other
- Sarah Margaret Anderson from Cambridge Investment Research Advisors, Inc.Jul 8, 2020 · Other
- Daniel Joseph Rivet from Cambridge Investment Research Advisors, Inc.Jun 19, 2018 · Other
- Joel Peter Arsenault from LPL Financial LLCMar 8, 2013 · Other
- Luca Anthony D Italia from Waddell & ReedJul 5, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Cambridge Investment Research Advisors, Inc.Oct 9, 2023 · Laconia, Nh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Harrington Michael Fogarty · President/Owner/Chief Compliance Officercontrolsince 03/2005 · 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 |
|---|---|---|---|---|---|
| Laconia, Nh · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Feb 20, 2026RAUM (Item 5.F) moved from $207,895,358 to $284,214,253 (+37.0%) between the annual amendments of 2025-01-27 and 2026-02-20; the peer median change was +15.0% (4551 comparable advisers, 91.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 91% percentile
What changed
consecutive filings, newest first
- Accounts · 1,108 to 1,206Dec 18, 2025 to Feb 20, 2026
- HNW clients · 111 to 145Dec 18, 2025 to Feb 20, 2026
- Individual clients · 189 to 149Dec 18, 2025 to Feb 20, 2026
- Pension plan clients · 44 to 2Dec 18, 2025 to Feb 20, 2026
- Assets in custody · $6.2M to $5.9MDec 18, 2025 to Feb 20, 2026
- Employees · 10 to 11Dec 18, 2025 to Feb 20, 2026
- Discretionary RAUM · $247M to $281MDec 18, 2025 to Feb 20, 2026
- HNW RAUM · $199M to $240MDec 18, 2025 to Feb 20, 2026
- Individual RAUM · $50.3M to $34.8MDec 18, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $3.4M to $3.3MDec 18, 2025 to Feb 20, 2026
- Pension RAUM · $0 to $9.1MDec 18, 2025 to Feb 20, 2026
- RAUM · $250M to $284MDec 18, 2025 to Feb 20, 2026
- Accounts · 1,009 to 1,108Jun 3, 2025 to Dec 18, 2025
- Advisory employees · 5 to 6Jun 3, 2025 to Dec 18, 2025
- Charity clients · 0.0 to unsetJun 3, 2025 to Dec 18, 2025
- Corporate clients · 1.0 to unsetJun 3, 2025 to Dec 18, 2025
- HNW clients · 89 to 111Jun 3, 2025 to Dec 18, 2025
- Individual clients · 167 to 189Jun 3, 2025 to Dec 18, 2025
- Pension plan clients · 41 to 44Jun 3, 2025 to Dec 18, 2025
- Pooled vehicle clients · 0.0 to unsetJun 3, 2025 to Dec 18, 2025
- Assets in custody · unset to 6163968.0Jun 3, 2025 to Dec 18, 2025
- Custody of client assets · false to trueJun 3, 2025 to Dec 18, 2025
- Employees · 9 to 10Jun 3, 2025 to Dec 18, 2025
- Financial planning clients · 101-250 to 251-500Jun 3, 2025 to Dec 18, 2025
- Discretionary RAUM · $204M to $247MJun 3, 2025 to Dec 18, 2025
- HNW RAUM · $157M to $199MJun 3, 2025 to Dec 18, 2025
- Individual RAUM · $50.3M to $50.3MJun 3, 2025 to Dec 18, 2025
- Non-discretionary RAUM · $3.4M to $3.4MJun 3, 2025 to Dec 18, 2025
- Pooled vehicle RAUM · 0.0 to unsetJun 3, 2025 to Dec 18, 2025
- RAUM · $208M to $250MJun 3, 2025 to Dec 18, 2025
- Financial planning clients · 101-250 to 101-250Jan 27, 2025 to Jun 3, 2025
- Other offices · 1 to 0Jan 27, 2025 to Jun 3, 2025
- Accounts · 745 to 1,009Sep 10, 2024 to Dec 20, 2024
- Advisory employees · 8 to 5Sep 10, 2024 to Dec 20, 2024
- Corporate clients · 0 to 1Sep 10, 2024 to Dec 20, 2024
- HNW clients · 124 to 89Sep 10, 2024 to Dec 20, 2024
- Individual clients · 139 to 167Sep 10, 2024 to Dec 20, 2024
- Pension plan clients · 20 to 41Sep 10, 2024 to Dec 20, 2024
- State-registered IARs · 5 to 6Sep 10, 2024 to Dec 20, 2024
- Other offices · 0 to 1Sep 10, 2024 to Dec 20, 2024
Signals
6 dated events
- The Foundry Financial Group, Inc. reported RAUM $198.8M, up 202% from $65.8M (2012-06-29 to 2023-12-11)Dec 11, 2023 · RAUM change · derived
- The Foundry Financial Group, Inc. filed its initial SEC registration (Form ADV)Dec 11, 2023 · First SEC registration · fact
- 3 advisors left Cambridge Investment Research Advisors, Inc. (Laconia, NH) for The Foundry Financial Group, Inc. on the same dayOct 9, 2023 · Team lift-out · derived
- Neil Kevin Flaherty left The Foundry Financial Group, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2020-11-05)Apr 19, 2023 · Advisor changed firm · fact
- Jennifer Currier Williams left The Foundry Financial Group, Inc. for Lpl Financial Llc (registered 2023-03-16)Nov 14, 2022 · Advisor changed firm · fact
- Joel Peter Arsenault left The Foundry Financial Group, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2016-10-03)Jan 19, 2022 · 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 email
- support@foundryadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 603-524-0769reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 603-528-5171reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 833-620-2502reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/foundryfinancialgroupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- FOUNDRYADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 603-528-5171reportedpublic record, Form ADV, Feb 20, 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
- $40.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026