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
Financial Navigators Inc.
Latest filing Jul 15, 2024
First filing on the tape Jun 18, 2021 · 10 filings
RAUM
$182M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$181M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$182M as of Feb 15, 2024
Mar 16, 2022$194M then
HNW client RAUM$123M as of Feb 15, 2024
Mar 16, 2022$141M then
State-registered IARs (5.B.3)6 as of Feb 15, 2024
Mar 16, 20224 then
Employees (5.A)6 as of Feb 15, 2024
Mar 16, 20224 then
Private funds: no history
RAUM +9.4% over the last fiscal yearIARs 4 to 6offices 5 to 4
Practice profile
derived from the filing of Jul 15, 2024; every figure names its basis
- RAUM per advisor
- $30.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $298,138derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$123M68%
- Individuals$58.2M32%
- Pension and profit-sharing plans$796,5280.4%
- Individual clients
- 144reported
- HNW clients
- 53reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 611reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- Mariah Marie Maines to Montis Financial, LLCOct 8, 2024 · RIA to RIA
- Christopher Mark Tilden to Montis Financial, LLCOct 8, 2024 · RIA to RIA
- Casandra Ann Johnson to Montis Financial, LLCOct 8, 2024 · RIA to RIA
- Roman Shlyakhetko to Henssler FinancialJul 15, 2024 · RIA to RIA
- Leif Kt Daulaire to Wadsworth & Daulaire Financial PlannersDec 26, 2019 · RIA to a state-registered adviser
- Karen Patricia Kelly to Grimes & CompanyNov 19, 2019 · RIA to RIA
- Eric Booth Wadsworth to Wadsworth & Daulaire Financial PlannersSep 16, 2019 · RIA to a state-registered adviser
Joined, latest
- Mariah Marie Maines from PathstoneDec 6, 2023 · RIA to RIA
- Roman Shlyakhetko from Odyssey Personal Financial Advisors, LLCSep 7, 2023 · RIA to RIA
- Casandra Ann Johnson from Advice And Planning ServicesApr 16, 2019 · Affiliated broker-dealer or bank to independent RIA
- Eric Booth Wadsworth from Wadsworth & Daulaire Financial PlannersFeb 11, 2019 · Other
- Christopher Mark Tilden from Strategic Advisers LLCJan 20, 2017 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Montis Financial, LLCOct 8, 2024 · Littleton, Ma · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ann Casandra Johnson · Executive Vice President And Cfocontrolsince 01/2022 · owns less than 5%
- Susan Cynthia Legault · Ceocontrolsince 03/2005 · owns 75% or more
- Mark Christopher Tilden · President And Ciocontrolsince 01/2019 · owns 5% to 10%
- Marie Mariah Maines · Ccosince 01/2024 · owns less than 5%
- A Jennifer Versoy · Senior Client Service Managersince 02/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Littleton, Ma | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 6 to 4Apr 11, 2024 to Jul 15, 2024
- Other offices · 7 to 6Feb 15, 2024 to Apr 11, 2024
- Accounts · 595 to 611Aug 25, 2023 to Feb 15, 2024
- Advisory employees · 4 to 6Aug 25, 2023 to Feb 15, 2024
- HNW clients · 47 to 53Aug 25, 2023 to Feb 15, 2024
- Individual clients · 154 to 144Aug 25, 2023 to Feb 15, 2024
- Pension plan clients · 1 to 2Aug 25, 2023 to Feb 15, 2024
- Employees · 4 to 6Aug 25, 2023 to Feb 15, 2024
- State-registered IARs · 4 to 6Aug 25, 2023 to Feb 15, 2024
- Other offices · 5 to 7Aug 25, 2023 to Feb 15, 2024
- Discretionary RAUM · $167M to $182MAug 25, 2023 to Feb 15, 2024
- HNW RAUM · $109M to $123MAug 25, 2023 to Feb 15, 2024
- Individual RAUM · $57.3M to $58.2MAug 25, 2023 to Feb 15, 2024
- Pension RAUM · $601,908 to $796,528Aug 25, 2023 to Feb 15, 2024
- RAUM · $167M to $182MAug 25, 2023 to Feb 15, 2024
- Accounts · 686 to 595Aug 22, 2022 to Mar 6, 2023
- HNW clients · 61 to 47Aug 22, 2022 to Mar 6, 2023
- Individual clients · 143 to 154Aug 22, 2022 to Mar 6, 2023
- Pension plan clients · unset to 1.0Aug 22, 2022 to Mar 6, 2023
- Financial planning clients · More than 500 to 1-10Aug 22, 2022 to Mar 6, 2023
- Discretionary RAUM · $194M to $167MAug 22, 2022 to Mar 6, 2023
- HNW RAUM · $141M to $109MAug 22, 2022 to Mar 6, 2023
- Individual RAUM · $48.5M to $57.3MAug 22, 2022 to Mar 6, 2023
- Pension RAUM · $3.7M to $601,908Aug 22, 2022 to Mar 6, 2023
- RAUM · $194M to $167MAug 22, 2022 to Mar 6, 2023
- Accounts · 406 to 686Sep 16, 2021 to Mar 16, 2022
- HNW clients · 23 to 61Sep 16, 2021 to Mar 16, 2022
- Individual clients · 112 to 143Sep 16, 2021 to Mar 16, 2022
- Discretionary RAUM · $112M to $194MSep 16, 2021 to Mar 16, 2022
- HNW RAUM · $58.5M to $141MSep 16, 2021 to Mar 16, 2022
- Individual RAUM · $50.6M to $48.5MSep 16, 2021 to Mar 16, 2022
- Pension RAUM · $2.9M to $3.7MSep 16, 2021 to Mar 16, 2022
- RAUM · $112M to $194MSep 16, 2021 to Mar 16, 2022
- Other offices · 4 to 5Jun 18, 2021 to Sep 16, 2021
Signals
7 dated events
- Christopher Mark Tilden left Financial Navigators Inc. for Montis Financial, Llc (registered 2024-10-11)Oct 8, 2024 · Advisor changed firm · fact
- Casandra Ann Johnson left Financial Navigators Inc. for Montis Financial, Llc (registered 2024-11-05)Oct 8, 2024 · Advisor changed firm · fact
- Financial Navigators Inc.'s advisors moved to Montis Financial, LLC (Littleton, MA): 3 of 3 registered, on the same dayOct 8, 2024 · Firm absorbed (people side) · derived
- Mariah Marie Maines left Financial Navigators Inc. for Montis Financial, Llc (registered 2024-11-05)Oct 8, 2024 · Advisor changed firm · fact
- Roman Shlyakhetko left Financial Navigators Inc. for Henssler Financial (registered 2025-03-03)Jul 15, 2024 · Advisor changed firm · fact
- Louise Marcia Lewis (Executive Vice President) no longer on Schedule A of Financial Navigators Inc. (listed 2024-04-11, absent 2024-07-15)Jul 15, 2024 · Control person left · inference
- Financial Navigators Inc. filed its initial SEC registration (Form ADV)Jun 18, 2021 · 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.
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