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
P••• H•••• I••••••••• C••••••• I•••
Latest filing Feb 20, 2026
First filing on the tape Mar 9, 2012 · 25 filings
SEC status approved since May 28, 2010
RAUM
$193M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
94%
$183M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$96.7M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$193M as of Feb 20, 2026
Mar 9, 2012$91.8M then
HNW client RAUM$166M as of Feb 20, 2026
Mar 28, 2018$113M then
State-registered IARs (5.B.3)2 as of Feb 20, 2026
Mar 9, 20120 then
Employees (5.A)3 as of Feb 20, 2026
Mar 28, 20132 then
Private funds: no history
RAUM +14% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 20, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $96.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $598,908derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 5.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 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
- +5.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- 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$166M86%
- Individuals$16.7M8.6%
- Charitable organizations$10.9M5.6%
- Individual clients
- 43reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 323reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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 |
|---|---|---|---|---|
| P•••• J•••••• R•••Chartered Financial Analyst | Fairh••••, Ma | Jul 19, 2001 | 32 y | 0 |
| C•••• E•••••••• F•••••••Certified Financial Planner | Fairh••••, Ma | Sep 11, 2023 | 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
- K••• L••• A•••• to P•••• W••••• L••Apr 25, 2019 · RIA to RIA
Joined, latest
- K••• L••• A•••• from C••••••••• W••••• M•••••••••Jul 16, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• P••••• J•••••• · President, Chief Executive Officer And Chief Compliance Officercontrolsince 09/1999 · 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 |
|---|---|---|---|---|---|
| Fairh••••, Ma | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 297 to 323Aug 15, 2025 to Feb 20, 2026
- Advisory activities · 2 to 3Aug 15, 2025 to Feb 20, 2026
- HNW clients · 36 to 41Aug 15, 2025 to Feb 20, 2026
- Individual clients · 44 to 43Aug 15, 2025 to Feb 20, 2026
- Discretionary RAUM · $158M to $178MAug 15, 2025 to Feb 20, 2026
- HNW RAUM · $144M to $166MAug 15, 2025 to Feb 20, 2026
- Individual RAUM · $16.1M to $16.7MAug 15, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $12.1M to $15.8MAug 15, 2025 to Feb 20, 2026
- RAUM · $170M to $193MAug 15, 2025 to Feb 20, 2026
- Accounts · 286 to 297Jan 17, 2025 to Mar 11, 2025
- HNW clients · 34 to 36Jan 17, 2025 to Mar 11, 2025
- Individual clients · 45 to 44Jan 17, 2025 to Mar 11, 2025
- Financial planning clients · 51-100 to 51-100Jan 17, 2025 to Mar 11, 2025
- Discretionary RAUM · $141M to $158MJan 17, 2025 to Mar 11, 2025
- HNW RAUM · $127M to $144MJan 17, 2025 to Mar 11, 2025
- Individual RAUM · $16.3M to $16.1MJan 17, 2025 to Mar 11, 2025
- Non-discretionary RAUM · $11.6M to $12.1MJan 17, 2025 to Mar 11, 2025
- RAUM · $152M to $170MJan 17, 2025 to Mar 11, 2025
- HQ city · unset to Apr 18, 2024 to Jan 17, 2025
- HQ state · unset to Apr 18, 2024 to Jan 17, 2025
- Accounts · 294 to 286Aug 29, 2023 to Mar 25, 2024
- HNW clients · 33 to 34Aug 29, 2023 to Mar 25, 2024
- Individual clients · 47 to 45Aug 29, 2023 to Mar 25, 2024
- Employees · 2 to 3Aug 29, 2023 to Mar 25, 2024
- Discretionary RAUM · $132M to $141MAug 29, 2023 to Mar 25, 2024
- HNW RAUM · $109M to $127MAug 29, 2023 to Mar 25, 2024
- Individual RAUM · $16.1M to $16.3MAug 29, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $2.1M to $11.6MAug 29, 2023 to Mar 25, 2024
- RAUM · $134M to $152MAug 29, 2023 to Mar 25, 2024
- Employees · 3 to 2Feb 20, 2023 to Aug 29, 2023
- State-registered IARs · 1 to 2Feb 20, 2023 to Aug 29, 2023
- Other offices · 0 to 1Feb 20, 2023 to Aug 29, 2023
- Accounts · 297 to 294Mar 21, 2022 to Feb 20, 2023
- Advisory employees · 1 to 2Mar 21, 2022 to Feb 20, 2023
- Advisory activities · 3 to 2Mar 21, 2022 to Feb 20, 2023
- HNW clients · 38 to 33Mar 21, 2022 to Feb 20, 2023
- Individual clients · 42 to 47Mar 21, 2022 to Feb 20, 2023
- Discretionary RAUM · $155M to $132MMar 21, 2022 to Feb 20, 2023
- HNW RAUM · $134M to $109MMar 21, 2022 to Feb 20, 2023
- Individual RAUM · $12.7M to $16.1MMar 21, 2022 to Feb 20, 2023
Signals
1 dated events
- Linn Kori Allen (Chief Compliance Officer / Partner) no longer on Schedule A of P••• H•••• I••••••••• C••••••• I••• (listed 2018-03-28, absent 2019-02-01)Feb 1, 2019 · 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.
How to reach
public business contact points only, each with its source
- Business email
- a••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- i•••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-396-2749reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-764-6760reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 508-993-0336reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/pine-haven-investment-counselreportedpublic record, Form ADV, Sep 18, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (508) 993-0336reportedpublic record, Form ADV, Feb 20, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- p•••••••••.comreportedpublished 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
- $96.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026