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
E•••• F•••••••• S•••••••••
Legal name A•••• C•••••• A•••••••• I•••
Latest filing Mar 19, 2026
First filing on the tape Jan 25, 2012 · 19 filings
SEC status approved since Feb 24, 2021
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$139M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$48.7M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$146M as of Mar 19, 2026
Mar 3, 2021$116M then
HNW client RAUM$82.2M as of Mar 19, 2026
Mar 3, 2021$57.7M then
State-registered IARs (5.B.3)3 as of Mar 19, 2026
Mar 3, 20213 then
Employees (5.A)6 as of Mar 19, 2026
Mar 3, 20215 then
Private funds: no history
RAUM +13% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- i••••••••• 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $48.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $289,660derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $143MreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- 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$82.2M56%
- Individuals$57.0M39%
- Pension and profit-sharing plans$6.1M4.2%
- Corporations and businesses$754,7810.5%
- Individual clients
- 249reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 504reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• M••••• N•••••••• | Bangor, Me | Feb 15, 2019 | 27 y | 5 |
| A••••• M••••• N••••••••Chartered Financial Consultant | Bangor, Me | Sep 23, 2019 | 10 y | 1 |
| D•••• M• R•••••• | Bangor, Me | Jan 24, 2023 | 31 y | 5 |
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
- S••••• D•••• H••••••• to A••••••• F•••••••• G••••• L••Oct 30, 2013 · Other
- L•••••• E••• M•••• to R•••• F••• M••••••••• L••Jun 26, 2013 · Other
Joined, latest
- D•••• M• R•••••• from A••••••• I••••••••• S••••••••• G••••• L••Jan 24, 2023 · RIA to RIA
- A••••• M••••• N•••••••• from W•••• F•••• A•••••••Sep 23, 2019 · Other
- R•••••• M••••• N•••••••• from L•• F•••••••• L••Feb 15, 2019 · Other
- S••••• D•••• H••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 11, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••••• R••••••• M••••• · President, Coo, Treasurer, Cco, And Cfocontrolsince 08/2021 · 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 |
|---|---|---|---|---|---|
| Bangor, Me · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- RAUM · $130M to $146MFeb 27, 2025 to Mar 19, 2026
- Accounts · 497 to 504Feb 27, 2025 to Mar 19, 2026
- HNW clients · 35 to 45Feb 27, 2025 to Mar 19, 2026
- Individual clients · 261 to 249Feb 27, 2025 to Mar 19, 2026
- Discretionary RAUM · $130M to $146MFeb 27, 2025 to Mar 19, 2026
- HNW RAUM · $65.2M to $82.2MFeb 27, 2025 to Mar 19, 2026
- Individual RAUM · $58.6M to $57.0MFeb 27, 2025 to Mar 19, 2026
- Pension RAUM · $5.3M to $6.1MFeb 27, 2025 to Mar 19, 2026
- HNW clients · 26 to 35Feb 8, 2024 to Feb 27, 2025
- Individual clients · 263 to 261Feb 8, 2024 to Feb 27, 2025
- Financial planning clients · 1-10 to 1-10Feb 8, 2024 to Feb 27, 2025
- Legal name · ALPHA CAPITAL ADVISORS, INC to ALPHA CAPITAL ADVISORS, INC.Feb 8, 2024 to Feb 27, 2025
- Discretionary RAUM · $117M to $130MFeb 8, 2024 to Feb 27, 2025
- HNW RAUM · $51.1M to $65.2MFeb 8, 2024 to Feb 27, 2025
- Individual RAUM · $60.0M to $58.6MFeb 8, 2024 to Feb 27, 2025
- Pension RAUM · $5.7M to $5.3MFeb 8, 2024 to Feb 27, 2025
- RAUM · $117M to $130MFeb 8, 2024 to Feb 27, 2025
- Accounts · 475 to 497Mar 2, 2023 to Feb 8, 2024
- Advisory employees · 2 to 3Mar 2, 2023 to Feb 8, 2024
- HNW clients · 22 to 26Mar 2, 2023 to Feb 8, 2024
- Individual clients · 255 to 263Mar 2, 2023 to Feb 8, 2024
- Employees · 5 to 6Mar 2, 2023 to Feb 8, 2024
- State-registered IARs · 2 to 3Mar 2, 2023 to Feb 8, 2024
- Discretionary RAUM · $103M to $117MMar 2, 2023 to Feb 8, 2024
- HNW RAUM · $41.3M to $51.1MMar 2, 2023 to Feb 8, 2024
- Individual RAUM · $56.4M to $60.0MMar 2, 2023 to Feb 8, 2024
- Pension RAUM · $5.1M to $5.7MMar 2, 2023 to Feb 8, 2024
- RAUM · $103M to $117MMar 2, 2023 to Feb 8, 2024
- Wrap assets (manager) · $99.6M to $0Mar 2, 2023 to Feb 8, 2024
- Wrap assets (sponsor) · $99.6M to $0Mar 2, 2023 to Feb 8, 2024
- Accounts · 498 to 475Mar 10, 2022 to Mar 2, 2023
- HNW clients · 28 to 22Mar 10, 2022 to Mar 2, 2023
- Individual clients · 256 to 255Mar 10, 2022 to Mar 2, 2023
- Discretionary RAUM · $128M to $103MMar 10, 2022 to Mar 2, 2023
- HNW RAUM · $58.5M to $41.3MMar 10, 2022 to Mar 2, 2023
- Individual RAUM · $62.4M to $56.4MMar 10, 2022 to Mar 2, 2023
- Pension RAUM · $6.1M to $5.1MMar 10, 2022 to Mar 2, 2023
- RAUM · $128M to $103MMar 10, 2022 to Mar 2, 2023
- Wrap assets (manager) · $123M to $99.6MMar 10, 2022 to Mar 2, 2023
- Wrap assets (sponsor) · $123M to $99.6MMar 10, 2022 to Mar 2, 2023
Signals
3 dated events
- O••• P••• J•••••• (President, Chief Compliance Officer, Chief Financial Officer) no longer on Schedule A of E•••• F•••••••• S••••••••• (listed 2021-05-12, absent 2021-10-26)Oct 26, 2021 · Control person left · inference
- E•••• F•••••••• S••••••••• filed its initial SEC registration (Form ADV)Jan 25, 2021 · First SEC registration · fact
- M••••• R•••••• N•••••••• (Managing Partner & Chief Operating Officer) appeared on Schedule A of E•••• F•••••••• S•••••••••Jan 25, 2021 · Control person joined · 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 phone
- 207-989-5522reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- eaglefinancialstrategies.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 207-989-5522reportedpublic record, Form ADV, Mar 19, 2026
- Team page
- eaglefinancialstrategies.com/our-teamreportedpublished 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
- $48.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026