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

New England Investment & Retirement Group, Inc.

Former SEC-registered adviserNorth Andover, MassachusettsCRD 133096SEC 801-67679IAPD
Latest filing Jun 30, 2021
First filing on the tape Mar 19, 2012 · 33 filings
RAUM
$766M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
92%
$703M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
$21.4M gross assets
History
33 filings and snapshots on the tape
RAUM$766M as of Mar 29, 2021
Mar 19, 2012$362M then
HNW client RAUM$536M as of Mar 29, 2021
Mar 29, 2018$343M then
State-registered IARs (5.B.3)7 as of Mar 29, 2021
Jan 16, 20138 then
Employees (5.A)15 as of Mar 29, 2021
Jan 16, 201314 then
Private funds2 as of Mar 29, 2021
Mar 19, 20121 then
RAUM +17% over the last fiscal year+14% a year over threeIARs 5 to 7offices 1 to 2
Practice profile
derived from the filing of Jun 30, 2021; every figure names its basis
RAUM per advisor
$109MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
107derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$349,446derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.1derivedItem 5.A over advisors
Advisors per office
2.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+40%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.6%derived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
Custody
$372M, 340 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$536M70%
  • Individuals$167M22%
  • Corporations and businesses$41.5M5.4%
  • Pooled investment vehicles$21.4M2.8%
Individual clients
551reported
HNW clients
198reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,192reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$372M for 340 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
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
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Neinv I, LPno longer reportedOther Private Fund$3.6M15Mar 19, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Michael Robert Cowles · Chief Compliance Officercontrol
      since 03/2016 · owns less than 5%
    • John Nicholas Giacoumakis · President And Directorcontrol
      since 07/1997 · owns 75% or more
    • Christopher Brian Pirri · Partnercontrol
      since 03/2018 · owns less than 5%
    • James Christopher Wilde · Chief Operating Officercontrol
      since 06/2020 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Naples, FL3 employees
    • Windham, NH2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 2,066 to 2,192
      Oct 13, 2020 to Mar 29, 2021
    • Advisory employees · 6 to 8
      Oct 13, 2020 to Mar 29, 2021
    • Corporate clients · 7 to 10
      Oct 13, 2020 to Mar 29, 2021
    • HNW clients · 169 to 198
      Oct 13, 2020 to Mar 29, 2021
    • Individual clients · 561 to 551
      Oct 13, 2020 to Mar 29, 2021
    • Assets in custody · $325M to $372M
      Oct 13, 2020 to Mar 29, 2021
    • Employees · 14 to 15
      Oct 13, 2020 to Mar 29, 2021
    • State-registered IARs · 5 to 7
      Oct 13, 2020 to Mar 29, 2021
    • Other offices · 1 to 2
      Oct 13, 2020 to Mar 29, 2021
    • Discretionary RAUM · $654M to $751M
      Oct 13, 2020 to Mar 29, 2021
    • HNW RAUM · $462M to $536M
      Oct 13, 2020 to Mar 29, 2021
    • Individual RAUM · $172M to $167M
      Oct 13, 2020 to Mar 29, 2021
    • Non-discretionary RAUM · $2.7M to $15.2M
      Oct 13, 2020 to Mar 29, 2021
    • Pooled vehicle RAUM · $1.6M to $21.4M
      Oct 13, 2020 to Mar 29, 2021
    • RAUM · $657M to $766M
      Oct 13, 2020 to Mar 29, 2021
    • Accounts · 2,064 to 2,066
      Jun 29, 2020 to Oct 13, 2020
    • Advisory activities · 3 to 5
      Jun 29, 2020 to Oct 13, 2020
    • Pooled vehicle clients · unset to 2.0
      Jun 29, 2020 to Oct 13, 2020
    • Employees · 13 to 14
      Jun 29, 2020 to Oct 13, 2020
    • Private funds · unset to 2
      Jun 29, 2020 to Oct 13, 2020
    • Discretionary RAUM · $652M to $654M
      Jun 29, 2020 to Oct 13, 2020
    • Pooled vehicle RAUM · unset to 1650000.0
      Jun 29, 2020 to Oct 13, 2020
    • RAUM · $655M to $657M
      Jun 29, 2020 to Oct 13, 2020
    • Accounts · 1,993 to 2,064
      Jun 26, 2019 to Mar 27, 2020
    • Corporate clients · unset to 7.0
      Jun 26, 2019 to Mar 27, 2020
    • HNW clients · 136 to 169
      Jun 26, 2019 to Mar 27, 2020
    • Individual clients · 607 to 561
      Jun 26, 2019 to Mar 27, 2020
    • Assets in custody · $251M to $325M
      Jun 26, 2019 to Mar 27, 2020
    • Employees · 16 to 13
      Jun 26, 2019 to Mar 27, 2020
    • Financial planning clients · 51-100 to 101-250
      Jun 26, 2019 to Mar 27, 2020
    • State-registered IARs · 4 to 5
      Jun 26, 2019 to Mar 27, 2020
    • Other offices · 2 to 1
      Jun 26, 2019 to Mar 27, 2020
    • Discretionary RAUM · $522M to $652M
      Jun 26, 2019 to Mar 27, 2020
    • HNW RAUM · $332M to $462M
      Jun 26, 2019 to Mar 27, 2020
    • Individual RAUM · $179M to $172M
      Jun 26, 2019 to Mar 27, 2020
    • Non-discretionary RAUM · $1.0M to $2.7M
      Jun 26, 2019 to Mar 27, 2020
    • RAUM · $523M to $655M
      Jun 26, 2019 to Mar 27, 2020
    • Other offices · 1 to 2
      Mar 28, 2019 to May 6, 2019
    • Accounts · 1,832 to 1,993
      Feb 15, 2019 to Mar 28, 2019
    • HNW clients · 147 to 136
      Feb 15, 2019 to Mar 28, 2019
    Signals
    2 dated events
    • James Christopher Wilde (Chief Operating Officer) appeared on Schedule A of New England Investment & Retirement Group, Inc.
      Oct 13, 2020 · Control person joined · fact
    • New England Investment & Retirement Group, Inc. reported RAUM $655.0M, up 25% from $523.1M (2019-06-26 to 2020-03-27)
      Mar 27, 2020 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    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