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
Cornerstone Financial Planning, LLC
Latest filing Aug 19, 2026
First filing on the tape Jan 19, 2012 · 31 filings
SEC status approved since Apr 27, 2016
RAUM
$401M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$401M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$57.2M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$401M as of Aug 19, 2026
Jan 19, 2012$63.4M then
HNW client RAUM$368M as of Aug 19, 2026
Feb 28, 2018$138M then
State-registered IARs (5.B.3)6 as of Aug 19, 2026
Jan 19, 20120 then
Employees (5.A)6 as of Aug 19, 2026
Feb 15, 20173 then
Private funds: no history
RAUM +19% over the last fiscal year+16% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Aug 19, 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
- $57.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $390,918derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $149M, 98 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$368M92%
- Individuals$32.7M8.2%
- Individual clients
- 80reported
- HNW clients
- 167reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,025reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $149M for 98 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mackenzie Holly Theodora ParsonsCertified Financial Planner | Portsmouth, Nh | May 1, 2014 | 16 y | 1 |
| Christina Clara TraurigCertified Financial Planner | Portsmouth, Nh | Jun 9, 2017 | 12 y | 1 |
| Sara Anne CasaleCertified Financial Planner | Portland, Me | Feb 1, 2021 | 12 y | 1 |
| Barry Keck BettersCertified Financial Planner | Portsmouth, Nh | Sep 16, 2021 | 15 y | 2 |
| Danielle S PensingerCertified Financial Planner | Portland, Me | Jan 6, 2022 | 12 y | 0 |
| Derek Bonneau | Portsmouth, Nh | Dec 17, 2025 | 12 y | 0 |
| Jillian Elizabeth Wagner | Portsmouth, Nh | Mar 7, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount3 left over 36 months
Left, latest
- Bethany Goodrich to LPL Financial LLCNov 13, 2025 · RIA to affiliated broker-dealer or bank
- Chelsea Julie Polhemus to UBS Financial Services Inc.Jun 9, 2025 · RIA to wirehouse
- Kristen Nicole Vernace to Pathways Financial PlanningOct 24, 2024 · RIA to a state-registered adviser
- Adam John Bergeron to The Harbor Group, Inc.Apr 4, 2022 · RIA to RIA
- Michelle Marie Lamb to Maine Advisory Associates, Inc.Apr 8, 2020 · Other
Joined, latest
- Chelsea Julie Polhemus from Fidelity Personal And Workplace AdvisorsMar 14, 2025 · Affiliated broker-dealer or bank to independent RIA
- Barry Keck Betters from Paladin Advisors, LLCSep 16, 2021 · RIA to RIA
- Sara Anne Casale from Goldman Sachs Wealth Services, L.P.Feb 1, 2021 · Affiliated broker-dealer or bank to independent RIA
- Michelle Marie Lamb from Aurora Financial Group, LLCJun 4, 2019 · Other
- Christina Clara Traurig from Winebrenner Capital Management LLCJun 9, 2017 · Other
- Mackenzie Holly Theodora Parsons from Smi Management & Research LLCMay 1, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Mackenzie Arsenault · Member/Principalcontrolsince 07/2022 · owns 50% to 75%
- Clara Christina Traurig · Chief Compliance Officer/Member/Principalcontrolsince 07/2022 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Portsmouth, Nh · principal | 7 | 2 | 0 | ||
| Portland, Me | 3 | 0 | 0 | ||
| North Hampton, Nh | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Portland, ME3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Aug 19, 2026custody of client assets (Item 9.A): no on the filing of 2026-03-23, yes on the filing of 2026-08-19peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Custody of client assets · false to trueMar 23, 2026 to Aug 19, 2026
- Accounts · 968 to 1,025Aug 22, 2025 to Mar 23, 2026
- HNW clients · 131 to 167Aug 22, 2025 to Mar 23, 2026
- Individual clients · 102 to 80Aug 22, 2025 to Mar 23, 2026
- Assets in custody · $116M to $149MAug 22, 2025 to Mar 23, 2026
- Employees · 7 to 6Aug 22, 2025 to Mar 23, 2026
- Discretionary RAUM · $328M to $398MAug 22, 2025 to Mar 23, 2026
- HNW RAUM · $285M to $368MAug 22, 2025 to Mar 23, 2026
- Individual RAUM · $51.0M to $32.7MAug 22, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $8.2M to $2.4MAug 22, 2025 to Mar 23, 2026
- RAUM · $336M to $401MAug 22, 2025 to Mar 23, 2026
- Accounts · 934 to 968May 2, 2024 to Mar 26, 2025
- Advisory employees · 7 to 6May 2, 2024 to Mar 26, 2025
- HNW clients · 130 to 131May 2, 2024 to Mar 26, 2025
- Individual clients · 95 to 102May 2, 2024 to Mar 26, 2025
- Assets in custody · $103M to $116MMay 2, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250May 2, 2024 to Mar 26, 2025
- State-registered IARs · 7 to 6May 2, 2024 to Mar 26, 2025
- Discretionary RAUM · $300M to $328MMay 2, 2024 to Mar 26, 2025
- HNW RAUM · $264M to $285MMay 2, 2024 to Mar 26, 2025
- Individual RAUM · $42.5M to $51.0MMay 2, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $6.2M to $8.2MMay 2, 2024 to Mar 26, 2025
- RAUM · $306M to $336MMay 2, 2024 to Mar 26, 2025
- Accounts · 902 to 934Jan 24, 2024 to Feb 7, 2024
- Advisory employees · 6 to 7Jan 24, 2024 to Feb 7, 2024
- HNW clients · 111 to 130Jan 24, 2024 to Feb 7, 2024
- Individual clients · 106 to 95Jan 24, 2024 to Feb 7, 2024
- Assets in custody · $93.1M to $103MJan 24, 2024 to Feb 7, 2024
- State-registered IARs · 6 to 7Jan 24, 2024 to Feb 7, 2024
- Other offices · 2 to 1Jan 24, 2024 to Feb 7, 2024
- Discretionary RAUM · $249M to $300MJan 24, 2024 to Feb 7, 2024
- HNW RAUM · $208M to $264MJan 24, 2024 to Feb 7, 2024
- Individual RAUM · $46.3M to $42.5MJan 24, 2024 to Feb 7, 2024
- Non-discretionary RAUM · $5.2M to $6.2MJan 24, 2024 to Feb 7, 2024
- RAUM · $254M to $306MJan 24, 2024 to Feb 7, 2024
- Accounts · 820 to 902Aug 3, 2022 to Mar 23, 2023
- Advisory employees · 8 to 6Aug 3, 2022 to Mar 23, 2023
- HNW clients · 113 to 111Aug 3, 2022 to Mar 23, 2023
- Individual clients · 85 to 106Aug 3, 2022 to Mar 23, 2023
- Assets in custody · $88.6M to $93.1MAug 3, 2022 to Mar 23, 2023
Signals
9 dated events
- Bethany Goodrich left Cornerstone Financial Planning, Llc for Lpl Financial Llc (registered 2025-11-25)Nov 13, 2025 · Advisor changed firm · fact
- Chelsea Julie Polhemus left Cornerstone Financial Planning, Llc for Ubs Financial Services Inc. (registered 2025-06-26)Jun 9, 2025 · Advisor changed firm · fact
- Kristen Nicole Vernace left Cornerstone Financial Planning, Llc for Pathways Financial Planning (registered 2025-01-08)Oct 24, 2024 · Advisor changed firm · fact
- Mackenzie Arsenault (Member/Principal) appeared on Schedule A of Cornerstone Financial Planning, LlcJul 26, 2022 · Control person joined · fact
- Jellis Susan Veligor (Member/Principal) no longer on Schedule A of Cornerstone Financial Planning, Llc (listed 2022-03-21, absent 2022-07-26)Jul 26, 2022 · Control person left · inference
- Bangser Jill Boynton (Member/Principal) no longer on Schedule A of Cornerstone Financial Planning, Llc (listed 2022-03-21, absent 2022-07-26)Jul 26, 2022 · Control person left · inference
- Clara Christina Traurig (Chief Compliance Officer/Member/Principal) appeared on Schedule A of Cornerstone Financial Planning, LlcJul 26, 2022 · Control person joined · fact
- Adam John Bergeron left Cornerstone Financial Planning, Llc for The Harbor Group, Inc. (registered 2022-04-26)Apr 4, 2022 · Advisor changed firm · fact
- Cornerstone Financial Planning, Llc filed its initial SEC registration (Form ADV)Apr 11, 2016 · 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 email
- info@cornerstoneplanning.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- abbi@cornerstoneplanning.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- anna@cornerstoneplanning.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- dtirabassi@cornerstoneplanning.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- siobhan@cornerstoneplanning.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 207-772-8133reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 603-431-1133reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/cornerstone-financial-planning-llc-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- CORNERSTONEPLANNING.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 603-431-1133reportedpublic record, Form ADV, Aug 19, 2026
- Contact form
- cornerstoneplanning.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- cornerstoneplanning.com/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
- $57.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026