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
N•••••••• F•••••••• P•••••••• L••
Latest filing Feb 3, 2026
First filing on the tape Mar 8, 2012 · 24 filings
SEC status approved since May 11, 2018
RAUM
$276M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$272M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$55.2M
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
24 filings and snapshots on the tape
RAUM$276M as of Feb 3, 2026
Mar 8, 2012$75.0M then
HNW client RAUM$226M as of Feb 3, 2026
Mar 7, 2019$95.8M then
State-registered IARs (5.B.3)6 as of Feb 3, 2026
Mar 8, 20120 then
Employees (5.A)6 as of Feb 3, 2026
Mar 7, 20198 then
Private funds: no history
RAUM +5.1% over the last fiscal year+14% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Feb 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
- $55.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $567,422derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%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
- +5.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$226M82%
- Individuals$46.1M17%
- Pension and profit-sharing plans$3.8M1.4%
- Individual clients
- 80reported
- HNW clients
- 92reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 486reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $160,000 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 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 |
|---|---|---|---|---|
| R•••• A•• Y••••Certified Financial Planner | Windham, Nh | Dec 1, 2003 | 32 y | 0 |
| A•••• F•••• D••••Certified Financial Planner | Windham, Nh | Jul 2, 2007 | 19 y | 0 |
| J•••• E•••• F•••••Certified Financial Planner | Windham, Nh | Jan 27, 2016 | 10 y | 0 |
| R••••• N••••• D••••••••Certified Financial Planner | Windham, Nh | Dec 15, 2017 | 11 y | 1 |
| N•••••• B••••• M••••Certified Financial Planner | Windham, Nh | Apr 20, 2022 | 12 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- J••••••• W•••••• to S•••••••• A••••••• L••Aug 20, 2026 · RIA to affiliated broker-dealer or bank
- M•••••• K•• D•••• to D•••• W••••• A•••••••May 8, 2017 · Other
Joined, latest
- J••••••• W•••••• from N••••••••• M••••• I••••••••• S•••••••••Jul 9, 2025 · Other
- N•••••• B••••• M•••• from P•••••• A•••••••• L••Apr 20, 2022 · RIA to RIA
- R••••• N••••• D•••••••• from P•••••••• A••••••• G••••• L••Dec 15, 2017 · Other
- M•••••• K•• D•••• from P•••• S••••••••• L••May 2, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Y••••• R••••• A•• · Managing Member/Chief Compliance Officercontrolsince 04/2008 · owns 50% to 75%
- D••••• A••••• F•••• · Membersince 10/2020 · owns 5% to 10%
- D••••••••• R•••••• N••••• · Membersince 10/2020 · owns 5% to 10%
- F•••••• J••••• E•••• · Wealth Manager, Membersince 10/2020 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Windham, Nh · principal | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Feb 3, 2026accounts (Item 5.F.2.f) moved from 834.0 to 486.0 (-42.0%) between the annual amendments of 2025-04-01 and 2026-02-03; the peer median change was +5.0% (3686 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 3.7% percentile
What changed
consecutive filings, newest first
- Accounts · 798 to 486Dec 8, 2025 to Feb 3, 2026
- Advisory employees · 5 to 6Dec 8, 2025 to Feb 3, 2026
- HNW clients · 84 to 92Dec 8, 2025 to Feb 3, 2026
- Individual clients · 72 to 80Dec 8, 2025 to Feb 3, 2026
- Pension plan clients · 5.0 to unsetDec 8, 2025 to Feb 3, 2026
- State-registered IARs · 5 to 6Dec 8, 2025 to Feb 3, 2026
- Discretionary RAUM · $245M to $276MDec 8, 2025 to Feb 3, 2026
- HNW RAUM · $198M to $226MDec 8, 2025 to Feb 3, 2026
- Individual RAUM · $34.4M to $46.1MDec 8, 2025 to Feb 3, 2026
- Pension RAUM · $12.3M to $3.8MDec 8, 2025 to Feb 3, 2026
- RAUM · $245M to $276MDec 8, 2025 to Feb 3, 2026
- Wrap assets (manager) · $133,000 to $160,000Dec 8, 2025 to Feb 3, 2026
- RAUM · $263M to $245MApr 1, 2025 to Dec 8, 2025
- Accounts · 834 to 798Apr 1, 2025 to Dec 8, 2025
- HNW RAUM · $207M to $198MApr 1, 2025 to Dec 8, 2025
- Individual RAUM · $43.2M to $34.4MApr 1, 2025 to Dec 8, 2025
- Non-discretionary RAUM · $17.8M to $0Apr 1, 2025 to Dec 8, 2025
- Accounts · 513 to 834Jun 27, 2024 to Apr 1, 2025
- HNW clients · 71 to 84Jun 27, 2024 to Apr 1, 2025
- Individual clients · 70 to 72Jun 27, 2024 to Apr 1, 2025
- Pension plan clients · 3 to 5Jun 27, 2024 to Apr 1, 2025
- Assets in custody · 2155489.0 to unsetJun 27, 2024 to Apr 1, 2025
- Custody of client assets · true to falseJun 27, 2024 to Apr 1, 2025
- Employees · 8 to 6Jun 27, 2024 to Apr 1, 2025
- Financial planning clients · 1-10 to 101-250Jun 27, 2024 to Apr 1, 2025
- Discretionary RAUM · $208M to $245MJun 27, 2024 to Apr 1, 2025
- HNW RAUM · $177M to $207MJun 27, 2024 to Apr 1, 2025
- Individual RAUM · $43.1M to $43.2MJun 27, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $21.3M to $17.8MJun 27, 2024 to Apr 1, 2025
- Pension RAUM · $9.2M to $12.3MJun 27, 2024 to Apr 1, 2025
- RAUM · $229M to $263MJun 27, 2024 to Apr 1, 2025
- Wrap assets (manager) · unset to 133000.0Jun 27, 2024 to Apr 1, 2025
- Wrap assets (sponsor) · unset to 0.0Jun 27, 2024 to Apr 1, 2025
- Discretionary RAUM · $21.3M to $208MMay 3, 2024 to Jun 27, 2024
- Non-discretionary RAUM · $208M to $21.3MMay 3, 2024 to Jun 27, 2024
- Accounts · 489 to 513Feb 27, 2024 to May 3, 2024
- Individual clients · 68 to 70Feb 27, 2024 to May 3, 2024
- Discretionary RAUM · $201M to $21.3MFeb 27, 2024 to May 3, 2024
- HNW RAUM · $171M to $177MFeb 27, 2024 to May 3, 2024
- Individual RAUM · $42.0M to $43.1MFeb 27, 2024 to May 3, 2024
Signals
3 dated events
- J••••••• W•••••• left N•••••••• F•••••••• P•••••••• L•• for S•••••••• A••••••• L•• (registered 2026-09-03)Aug 20, 2026 · Advisor changed firm · fact
- N•••••••• F•••••••• P•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 19, 2020 · Succession (Item 4) · fact
- N•••••••• F•••••••• P•••••••• I••• filed its initial SEC registration (Form ADV)Apr 13, 2018 · First SEC registration · 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
- Firm profile
- LINKEDIN.COM/COMPANY/N••••••••-FINANCIAL-P•••••••reportedpublic record, Form ADV, Sep 19, 2026
- Website
- N••••••••FP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 603-458-2776reportedpublic record, Form ADV, Feb 3, 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
- $55.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026