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

Old North Advisors, LLC

Former SEC-registered adviserBoston, MassachusettsCRD 132848SEC 801-63571IAPD
Latest filing May 13, 2015
First filing on the tape Mar 26, 2012 · 11 filings
RAUM
$228M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$464M as of Mar 26, 2015
Mar 26, 2012$195M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2015
Mar 22, 20131 then
Employees (5.A)0 as of Mar 26, 2015
Mar 22, 20132 then
Private funds: no history
RAUM +6.4% over the last fiscal year+5.3% a year over threeIARs 1 to 0
Practice profile
derived from the filing of May 13, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$709,836derivedRAUM over accounts (5.F.2.f)
Discretionary
81%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+117%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
321reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
    • Jennifer Christian Murtie · Presidentcontrol
      since 09/2014 · owns less than 5%
    • Lynn Kristin Fafard · Ciocontrol
      since 01/2013 · owns less than 5%
    • James Eric Godes · Coo And Chief Wealth Advisory Officercontrol
      since 09/2014 · owns less than 5%
    • Robert John Lapann · Chairmancontrol
      since 09/2004 · owns less than 5%
    • Kelly Maregni · Directorcontrol
      since 01/2013 · owns less than 5%
    • Robert John Lapann · Director, Chairman, Shareholdercontrol
      since 05/1991 · owns 75% or more of Federal Street Advisors, Inc.
    • Miles Richard Tardiff · Cco
      since 01/2013 · owns less than 5%
    Entity owners
    • Federal Street Advisors Inc · Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Advisers that list Old North Advisors, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 378 to 321
      Mar 26, 2015 to May 13, 2015
    • Discretionary RAUM · $394M to $184M
      Mar 26, 2015 to May 13, 2015
    • Non-discretionary RAUM · $69.8M to $44.2M
      Mar 26, 2015 to May 13, 2015
    • RAUM · $464M to $228M
      Mar 26, 2015 to May 13, 2015
    • Accounts · 324 to 378
      Sep 3, 2014 to Mar 26, 2015
    • Advisory employees · 1 to 0
      Sep 3, 2014 to Mar 26, 2015
    • Employees · 3 to 0
      Sep 3, 2014 to Mar 26, 2015
    • State-registered IARs · 1 to 0
      Sep 3, 2014 to Mar 26, 2015
    • Discretionary RAUM · $174M to $394M
      Sep 3, 2014 to Mar 26, 2015
    • Non-discretionary RAUM · $39.7M to $69.8M
      Sep 3, 2014 to Mar 26, 2015
    • RAUM · $214M to $464M
      Sep 3, 2014 to Mar 26, 2015
    • Accounts · 372 to 324
      Nov 8, 2013 to Mar 20, 2014
    • Employees · 2 to 3
      Nov 8, 2013 to Mar 20, 2014
    • Financial planning clients · 26-50 to 11-25
      Nov 8, 2013 to Mar 20, 2014
    • Discretionary RAUM · $196M to $174M
      Nov 8, 2013 to Mar 20, 2014
    • Non-discretionary RAUM · $0 to $39.7M
      Nov 8, 2013 to Mar 20, 2014
    • RAUM · $196M to $214M
      Nov 8, 2013 to Mar 20, 2014
    • Accounts · 428 to 372
      Jan 17, 2013 to Mar 22, 2013
    • Financial planning clients · 11-25 to 26-50
      Jan 17, 2013 to Mar 22, 2013
    • Discretionary RAUM · $195M to $196M
      Jan 17, 2013 to Mar 22, 2013
    • RAUM · $195M to $196M
      Jan 17, 2013 to Mar 22, 2013
    • Advisory employees · unset to 1.0
      Aug 13, 2012 to Jan 17, 2013
    • Employees · unset to 2.0
      Aug 13, 2012 to Jan 17, 2013
    • State-registered IARs · unset to 1.0
      Aug 13, 2012 to Jan 17, 2013
    Signals
    No event on the tape.
    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