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.

Former SEC-registered adviser

Resolute Financial, LLC

Former SEC-registered adviserNewburyport, MassachusettsCRD 125739SEC 801-67898IAPD
Latest filing Oct 3, 2022
First filing on the tape Mar 30, 2012 · 29 filings
RAUM
$444M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$443M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$444M as of Feb 8, 2022
Mar 30, 2012$92.7M then
HNW client RAUM$310M as of Feb 8, 2022
Mar 25, 2018$137M then
State-registered IARs (5.B.3)5 as of Feb 8, 2022
Mar 30, 20120 then
Employees (5.A)7 as of Feb 8, 2022
Feb 20, 20131 then
Private funds: no history
RAUM +18% over the last fiscal year+18% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Oct 3, 2022; every figure names its basis
RAUM per advisor
$88.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
66derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$303,956derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
1.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
-17%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.1%derived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$162M, 239 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$310M70%
  • Individuals$133M30%
  • Other investment advisers$882,9000.2%
Individual clients
205reported
HNW clients
124reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,460reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$162M for 239 clientsreported
Compensation
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G. Thomas Dwyer · Principal And Membercontrol
      since 10/2003 · owns 25% to 50%
    • Malcolm Charles Johnson · Chief Compliance Officer And Membercontrol
      since 04/2007 · owns 25% to 50%
    • Acker William Simpson · Managing Partner
      since 04/2016 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Portsmouth, NH2 employees
    • Lynnfield, MA1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,508 to 1,460
      Jan 4, 2022 to Feb 8, 2022
    • Advisory employees · 6 to 5
      Jan 4, 2022 to Feb 8, 2022
    • HNW clients · 123 to 124
      Jan 4, 2022 to Feb 8, 2022
    • Individual clients · 196 to 205
      Jan 4, 2022 to Feb 8, 2022
    • Assets in custody · $212M to $162M
      Jan 4, 2022 to Feb 8, 2022
    • Employees · 8 to 7
      Jan 4, 2022 to Feb 8, 2022
    • State-registered IARs · 6 to 5
      Jan 4, 2022 to Feb 8, 2022
    • Discretionary RAUM · $329M to $405M
      Jan 4, 2022 to Feb 8, 2022
    • HNW RAUM · $261M to $310M
      Jan 4, 2022 to Feb 8, 2022
    • Individual RAUM · $113M to $133M
      Jan 4, 2022 to Feb 8, 2022
    • Non-discretionary RAUM · $45.5M to $39.1M
      Jan 4, 2022 to Feb 8, 2022
    • RAUM · $375M to $444M
      Jan 4, 2022 to Feb 8, 2022
    • Accounts · 1,520 to 1,508
      Jun 29, 2020 to Mar 2, 2021
    • Advisory employees · 7 to 6
      Jun 29, 2020 to Mar 2, 2021
    • HNW clients · 67 to 123
      Jun 29, 2020 to Mar 2, 2021
    • Individual clients · 273 to 196
      Jun 29, 2020 to Mar 2, 2021
    • Assets in custody · $201M to $212M
      Jun 29, 2020 to Mar 2, 2021
    • Other offices · 4 to 3
      Jun 29, 2020 to Mar 2, 2021
    • Discretionary RAUM · $302M to $329M
      Jun 29, 2020 to Mar 2, 2021
    • HNW RAUM · $132M to $261M
      Jun 29, 2020 to Mar 2, 2021
    • Individual RAUM · $212M to $113M
      Jun 29, 2020 to Mar 2, 2021
    • Non-discretionary RAUM · $41.4M to $45.5M
      Jun 29, 2020 to Mar 2, 2021
    • RAUM · $343M to $375M
      Jun 29, 2020 to Mar 2, 2021
    • Accounts · 1,406 to 1,520
      Jan 2, 2020 to Mar 18, 2020
    • HNW clients · 105 to 67
      Jan 2, 2020 to Mar 18, 2020
    • Individual clients · 197 to 273
      Jan 2, 2020 to Mar 18, 2020
    • Assets in custody · $2.0M to $201M
      Jan 2, 2020 to Mar 18, 2020
    • Employees · 9 to 8
      Jan 2, 2020 to Mar 18, 2020
    • State-registered IARs · 7 to 6
      Jan 2, 2020 to Mar 18, 2020
    • Other offices · 3 to 4
      Jan 2, 2020 to Mar 18, 2020
    • Discretionary RAUM · $227M to $302M
      Jan 2, 2020 to Mar 18, 2020
    • HNW RAUM · $235M to $132M
      Jan 2, 2020 to Mar 18, 2020
    • Individual RAUM · $34.2M to $212M
      Jan 2, 2020 to Mar 18, 2020
    • Non-discretionary RAUM · $43.2M to $41.4M
      Jan 2, 2020 to Mar 18, 2020
    • RAUM · $270M to $343M
      Jan 2, 2020 to Mar 18, 2020
    • Accounts · 1,274 to 1,406
      Jul 26, 2018 to Mar 23, 2019
    • HNW clients · 65 to 105
      Jul 26, 2018 to Mar 23, 2019
    • Individual clients · 221 to 197
      Jul 26, 2018 to Mar 23, 2019
    • Assets in custody · $98.4M to $2.0M
      Jul 26, 2018 to Mar 23, 2019
    • Employees · 8 to 9
      Jul 26, 2018 to Mar 23, 2019
    Signals
    7 dated events
    • Thomas G. Dwyer left Resolute Financial, Llc for Ep Wealth Advisors (registered 2023-03-23)
      Mar 28, 2023 · Advisor changed firm · fact
    • Avery E Dwyer left Resolute Financial, Llc for Ep Wealth Advisors (registered 2023-03-23)
      Mar 28, 2023 · Advisor changed firm · fact
    • Charles Malcolm Johnson left Resolute Financial, Llc for Ep Wealth Advisors (registered 2023-03-16)
      Mar 28, 2023 · Advisor changed firm · fact
    • William Acker Simpson left Resolute Financial, Llc for Ep Wealth Advisors (registered 2023-03-23)
      Mar 28, 2023 · Advisor changed firm · fact
    • Resolute Financial, LLC's advisors moved to EP Wealth Advisors (Newburyport, MA): 3 of 4 registered, on the same day
      Mar 28, 2023 · Firm absorbed (people side) · derived
    • Stephanie Castonguay Griebel left Resolute Financial, Llc for Davis Wealth Advisors (registered 2022-07-29)
      Jul 26, 2022 · Advisor changed firm · fact
    • Thomas Robert Ryan (Principal And Member) no longer on Schedule A of Resolute Financial, Llc (listed 2021-10-19, absent 2022-01-03)
      Jan 3, 2022 · Control person left · inference
    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