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
Investmark Advisory Group LLC
Latest filing Mar 5, 2026
First filing on the tape Apr 5, 2012 · 51 filings
SEC status approved since Apr 23, 2012
RAUM
$930M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$816M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$84.5M
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$930M as of Mar 5, 2026
Apr 4, 2013$190M then
HNW client RAUM$674M as of Mar 5, 2026
Apr 2, 2018$270M then
State-registered IARs (5.B.3)9 as of Mar 5, 2026
Apr 4, 20136 then
Employees (5.A)10 as of Mar 5, 2026
Apr 4, 201311 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 5, 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
- RAUM per advisor
- $84.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $453,939derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 2.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $67.8MreportedItem 5.I
- Custody
- $197M, 129 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$674M73%
- Individuals$142M15%
- Corporations and businesses$114M12%
- Individual clients
- 373reported
- HNW clients
- 225reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,048reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $197M for 129 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jay Marc Diamond | Shelton, Ct | Feb 25, 1992 | 42 y | 0 |
| Michael Christopher KusickCertified Financial Planner | Shelton, Ct | Oct 31, 2000 | 32 y | 0 |
| Nicholas Thomas ChristieCertified Financial Planner | Shelton, Ct | Feb 18, 2003 | 26 y | 0 |
| Joseph Patrick JandreauChartered Financial Analyst | Glastonbury, Ct | May 10, 2004 | 22 y | 0 |
| Drew Nichols Bowman | Shelton, Ct | Jul 9, 2007 | 29 y | 0 |
| James Mahoney | Glastonbury, Ct | Jan 29, 2008 | 36 y | 0 |
| Douglas Elliott Kerr | Shelton, Ct | Mar 10, 2014 | 20 y | 1 |
| Robert Paul Iannazzo | Shelton, Ct | Jun 13, 2019 | 42 y | 4 |
| Nicholas GiammatteiCertified Financial Planner | Shelton, Ct | Oct 2, 2019 | 13 y | 0 |
| Scott K Williams | Shelton, Ct | Nov 18, 2025 | 15 y | 0 |
| Jason Thomas Arena | Shelton, Ct | Aug 19, 2026 | 20 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Mark Raymond Vida to Osaic Institutions, Inc.Jan 2, 2019 · RIA to affiliated broker-dealer or bank
- Anthony Croce to Altium Wealth Management LLCNov 21, 2018 · RIA to RIA
- Michael Thomas Lee to Altium Wealth Management LLCSep 24, 2018 · RIA to RIA
- Matthew Parker Gachi to Commonwealth Financial NetworkApr 4, 2016 · Other
Joined, latest
- Jason Thomas Arena from Catum Advisory Group, LLC.Aug 19, 2026 · RIA to RIA
- Mark Raymond Vida from Commonwealth Financial NetworkSep 13, 2018 · Affiliated broker-dealer or bank to independent RIA
- Michael Thomas Lee from Commonwealth Financial NetworkFeb 3, 2017 · Other
- Anthony Croce from Commonwealth Financial NetworkMar 15, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas Nicholas Christie · Membercontrolsince 11/2016 · owns 10% to 25%
- Marc Jay Diamond · Membercontrolsince 11/2016 · owns 25% to 50%
- Christopher Michael Kusick · Managing Membercontrolsince 11/2016 · owns 25% to 50%
- K Scott Williams · Chief Compliance Officercontrolsince 01/2011 · owns less than 5%
Related persons
Schedule D 7.A
- James Mahoneyinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Shelton, Ct · principal | 11 | 3 | 0 | ||
| Glastonbury, Ct | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Glastonbury, CT2 employees
- Bristol, CT1 employees
- Lebanon, NH1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,863 to 2,048Nov 25, 2025 to Mar 5, 2026
- Corporate clients · 79 to 92Nov 25, 2025 to Mar 5, 2026
- HNW clients · 198 to 225Nov 25, 2025 to Mar 5, 2026
- Individual clients · 408 to 373Nov 25, 2025 to Mar 5, 2026
- Assets in custody · $109M to $197MNov 25, 2025 to Mar 5, 2026
- Discretionary RAUM · $812M to $930MNov 25, 2025 to Mar 5, 2026
- HNW RAUM · $567M to $674MNov 25, 2025 to Mar 5, 2026
- Individual RAUM · $157M to $142MNov 25, 2025 to Mar 5, 2026
- RAUM · $812M to $930MNov 25, 2025 to Mar 5, 2026
- Accounts · 1,788 to 1,863Mar 5, 2024 to Apr 24, 2025
- Corporate clients · 18 to 79Mar 5, 2024 to Apr 24, 2025
- HNW clients · 169 to 198Mar 5, 2024 to Apr 24, 2025
- Individual clients · 431 to 408Mar 5, 2024 to Apr 24, 2025
- Assets in custody · $188M to $109MMar 5, 2024 to Apr 24, 2025
- Financial planning clients · 251-500 to 251-500Mar 5, 2024 to Apr 24, 2025
- Discretionary RAUM · $712M to $812MMar 5, 2024 to Apr 24, 2025
- HNW RAUM · $527M to $567MMar 5, 2024 to Apr 24, 2025
- Individual RAUM · $173M to $157MMar 5, 2024 to Apr 24, 2025
- RAUM · $712M to $812MMar 5, 2024 to Apr 24, 2025
- Accounts · 1,748 to 1,788Feb 9, 2024 to Mar 5, 2024
- Corporate clients · 56 to 18Feb 9, 2024 to Mar 5, 2024
- HNW clients · 144 to 169Feb 9, 2024 to Mar 5, 2024
- Individual clients · 447 to 431Feb 9, 2024 to Mar 5, 2024
- Assets in custody · $92.5M to $188MFeb 9, 2024 to Mar 5, 2024
- Discretionary RAUM · $623M to $712MFeb 9, 2024 to Mar 5, 2024
- HNW RAUM · $425M to $527MFeb 9, 2024 to Mar 5, 2024
- Individual RAUM · $167M to $173MFeb 9, 2024 to Mar 5, 2024
- RAUM · $623M to $712MFeb 9, 2024 to Mar 5, 2024
- Accounts · 1,667 to 1,748Oct 10, 2022 to Feb 28, 2023
- Corporate clients · unset to 56.0Oct 10, 2022 to Feb 28, 2023
- HNW clients · 189 to 144Oct 10, 2022 to Feb 28, 2023
- Individual clients · 394 to 447Oct 10, 2022 to Feb 28, 2023
- Assets in custody · $4.9M to $92.5MOct 10, 2022 to Feb 28, 2023
- Insurance-licensed employees · 7 to 8Oct 10, 2022 to Feb 28, 2023
- Other offices · 3 to 4Oct 10, 2022 to Feb 28, 2023
- Discretionary RAUM · $653M to $623MOct 10, 2022 to Feb 28, 2023
- HNW RAUM · $508M to $425MOct 10, 2022 to Feb 28, 2023
- Individual RAUM · $146M to $167MOct 10, 2022 to Feb 28, 2023
- RAUM · $653M to $623MOct 10, 2022 to Feb 28, 2023
- Accounts · 1,555 to 1,667Jan 7, 2022 to Mar 2, 2022
Signals
1 dated events
- Investmark Advisory Services, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 3, 2017 · Succession (Item 4) · 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
- info@investmark.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-820-3595reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-953-3777reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 603-865-1077reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/INVESTMARKreportedpublic record, Form ADV, Sep 17, 2026
- Website
- INVESTMARK.NETreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 203-953-3777reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- investmark.net/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- investmark.net/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $84.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026