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
B•••••• F•••••••• A•••••••• L••
Latest filing Jul 10, 2026
First filing on the tape May 7, 2021 · 12 filings
SEC status approved since Jun 7, 2021
RAUM
$152M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
94%
$142M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$75.8M
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$152M as of Jul 10, 2026
Feb 18, 2022$114M then
HNW client RAUM$109M as of Jul 10, 2026
Feb 18, 2022$86.6M then
State-registered IARs (5.B.3)1 as of Jul 10, 2026
Feb 18, 20221 then
Employees (5.A)5 as of Jul 10, 2026
Feb 18, 20224 then
Private funds: no history
RAUM +8.3% over the last fiscal year+9.3% a year over threeIARs 1 to 1offices 1 to 2
Practice profile
derived from the filing of Jul 10, 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
- $75.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $304,992derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $13.1M, 35 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)
- 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$109M72%
- Individuals$32.9M22%
- Pension and profit-sharing plans$6.7M4.4%
- Charitable organizations$2.6M1.7%
- Corporations and businesses$266,2420.2%
- Individual clients
- 52reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 497reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13.1M for 35 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• C•••••• B••••••Certified Financial Planner | North Andover, Ma | Oct 13, 2000 | 29 y | 0 |
| D••••• M•••• M••••• | White Plains, Md | Jul 10, 2026 | 11 y | 1 |
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
- T••••• H•••• C•••• to B•••••••• A•••• M••••••••• L••Sep 20, 2016 · Other
- J•••••• L••• K••••• to R••••••• S•••• W••••• A•••••••• L••Jul 4, 2016 · Other
Joined, latest
- D••••• M•••• M••••• from C•••••• W••••• P•••••••Jul 10, 2026 · RIA to RIA
- T••••• H•••• C•••• from O•••• F•• I•••Aug 25, 2016 · Other
- J•••••• L••• K••••• from S••••••• F•••••••• P••••••• A•• M••••••••• L••Jan 12, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• R•••••• C•••••• · Managing Member And Chief Compliance Officercontrolsince 09/2000 · owns 75% or more
- B••••••• K••••••• M•••• · Membercontrolsince 06/2022 · owns 25% to 50% of S••••• I••••••••• L••
- B••••••• K•••••• S••• · Membercontrolsince 06/2022 · owns 25% to 50% of S••••• I••••••••• L••
- B••••••• R•••••• C•••••• · Trusteecontrolsince 05/2010 · owns F of R••••• C• B•••••• T••••
- B••••••• S••••• R••••• · Membercontrolsince 06/2022 · owns 25% to 50% of S••••• I••••••••• L••
Entity owners
- R••••• C• B•••••• T•••• · Memberdirect · owns 75% or more
- S••••• I••••••••• L•• · Memberdirect · owns 10% to 25%
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 | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Andover, MA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 1 to 2Mar 19, 2026 to Jul 10, 2026
- Accounts · 597 to 497Nov 3, 2025 to Mar 19, 2026
- Corporate clients · 0.0 to unsetNov 3, 2025 to Mar 19, 2026
- HNW clients · 45 to 46Nov 3, 2025 to Mar 19, 2026
- Individual clients · 51 to 52Nov 3, 2025 to Mar 19, 2026
- Assets in custody · $14.3M to $13.1MNov 3, 2025 to Mar 19, 2026
- Employees · 3 to 5Nov 3, 2025 to Mar 19, 2026
- Discretionary RAUM · $113M to $126MNov 3, 2025 to Mar 19, 2026
- HNW RAUM · $101M to $109MNov 3, 2025 to Mar 19, 2026
- Individual RAUM · $31.0M to $32.9MNov 3, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $26.8M to $25.6MNov 3, 2025 to Mar 19, 2026
- Pension RAUM · $5.9M to $6.7MNov 3, 2025 to Mar 19, 2026
- RAUM · $140M to $152MNov 3, 2025 to Mar 19, 2026
- Assets in custody · unset to 14335342.0Mar 17, 2025 to Nov 3, 2025
- Custody of client assets · false to trueMar 17, 2025 to Nov 3, 2025
- Accounts · 509 to 597Jan 31, 2025 to Mar 17, 2025
- Advisory employees · 2 to 1Jan 31, 2025 to Mar 17, 2025
- Individual clients · 50 to 51Jan 31, 2025 to Mar 17, 2025
- Employees · 4 to 3Jan 31, 2025 to Mar 17, 2025
- Financial planning clients · 51-100 to 51-100Jan 31, 2025 to Mar 17, 2025
- State-registered IARs · 2 to 1Jan 31, 2025 to Mar 17, 2025
- Other offices · 2 to 1Jan 31, 2025 to Mar 17, 2025
- Discretionary RAUM · $106M to $113MJan 31, 2025 to Mar 17, 2025
- HNW RAUM · $93.4M to $101MJan 31, 2025 to Mar 17, 2025
- Individual RAUM · $27.3M to $31.0MJan 31, 2025 to Mar 17, 2025
- Non-discretionary RAUM · $22.8M to $26.8MJan 31, 2025 to Mar 17, 2025
- Pension RAUM · $5.5M to $5.9MJan 31, 2025 to Mar 17, 2025
- RAUM · $128M to $140MJan 31, 2025 to Mar 17, 2025
- Accounts · 453 to 509Aug 25, 2023 to Mar 6, 2024
- Advisory employees · 1 to 2Aug 25, 2023 to Mar 6, 2024
- HNW clients · 40 to 45Aug 25, 2023 to Mar 6, 2024
- Individual clients · 47 to 50Aug 25, 2023 to Mar 6, 2024
- Employees · 3 to 4Aug 25, 2023 to Mar 6, 2024
- State-registered IARs · 1 to 2Aug 25, 2023 to Mar 6, 2024
- Discretionary RAUM · $94.6M to $106MAug 25, 2023 to Mar 6, 2024
- HNW RAUM · $83.6M to $93.4MAug 25, 2023 to Mar 6, 2024
- Individual RAUM · $24.4M to $27.3MAug 25, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $21.4M to $22.8MAug 25, 2023 to Mar 6, 2024
- Pension RAUM · $6.0M to $5.5MAug 25, 2023 to Mar 6, 2024
- RAUM · $116M to $128MAug 25, 2023 to Mar 6, 2024
Signals
3 dated events
- Robert Shane Bartley (Member) appeared on Schedule A of B•••••• F•••••••• A•••••••• L••Mar 22, 2023 · Control person joined · fact
- Shae Keirra Bartley (Member) appeared on Schedule A of B•••••• F•••••••• A•••••••• L••Mar 22, 2023 · Control person joined · fact
- B•••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 7, 2021 · 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
- Business phone
- 603-625-9900reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 603-625-9908reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 978-806-2228reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/bartley-financial-advisors-inc-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- bartleyfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 603-625-9900reportedpublic record, Form ADV, Jul 10, 2026
- Contact form
- bartleyfinancial.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- bartleyfinancial.com/meet-the-teamreportedpublished 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
- $75.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026