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
Headinvest
Legal name Headinvest, LLC
Latest filing Mar 19, 2026
First filing on the tape Mar 29, 2012 · 28 filings
SEC status approved since Jun 8, 2006
RAUM
$892M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$810M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$892M as of Mar 19, 2026
Mar 29, 2012$517M then
HNW client RAUM$755M as of Mar 19, 2026
Mar 29, 2018$344M then
State-registered IARs (5.B.3)7 as of Mar 19, 2026
Apr 2, 20137 then
Employees (5.A)13 as of Mar 19, 2026
Apr 2, 201310 then
Private funds: no history
RAUM -8.0% over the last fiscal year+2.4% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Mar 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
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $805,645derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $288M, 268 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$755M85%
- Charitable organizations$77.6M8.7%
- Individuals$55.3M6.2%
- State and municipal entities$3.9M0.4%
- Individual clients
- 101reported
- HNW clients
- 322reported
- Pension plan clients
- n/areported
- Charitable clients
- 21reported
- Accounts
- 1,107reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $288M for 268 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.09 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 |
|---|---|---|---|---|
| Donna Dubois Mcconnell | Portland, Me | Jun 8, 2006 | 32 y | 1 |
| Robert Schofield Whitehead | Portland, Me | Jun 8, 2006 | 38 y | 1 |
| Kenneth Andrew Blaschke | Portland, Me | Jan 22, 2010 | 24 y | 0 |
| Benjamin Hilliard Clark | Portland, Me | Jul 17, 2018 | 30 y | 1 |
| Odette Suzanne Thurston | Portland, Me | Sep 13, 2019 | 41 y | 2 |
| Matthew John Civello | Portland, Me | Jul 30, 2024 | 13 y | 3 |
| Stephen Kenneth Reeves | Portland, Me | Sep 25, 2025 | 15 y | 5 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Stephen Daniel Poulos to Great Diamond Partners, LLCMay 19, 2025 · RIA to RIA
- Ann Marie Mohammad to Vigilant Wealth ManagementJan 2, 2015 · Other
Joined, latest
- Stephen Kenneth Reeves from Valic Financial Advisors, Inc.Sep 25, 2025 · Other
- Matthew John Civello from Cambridge Investment Research Advisors, Inc.Jul 30, 2024 · Affiliated broker-dealer or bank to independent RIA
- Odette Suzanne Thurston from Cribstone Capital Management, LLCSep 13, 2019 · RIA to RIA
- Benjamin Hilliard Clark from UBS Financial Services Inc.Jul 17, 2018 · Wirehouse to independent RIA
- Donna Dubois Mcconnell from Head And Associates, IncJun 8, 2006 · Other
- Robert Schofield Whitehead from Head And Associates, IncJun 8, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Kenneth Stephen Reeves · Chief Compliance Officer, Managing Directorcontrolsince 03/2022 · owns less than 5%
- Andrew Kenneth Blaschke · Membercontrolsince 08/2013 · owns 25% to 50% of C-Dsk LLC
- Hilliard Benjamin Clark · Membercontrolsince 06/2024 · owns 25% to 50% of C-Dsk LLC
- Dubois Donna Mcconnell · Membercontrolsince 08/2013 · owns 25% to 50% of C-Dsk LLC
- Daniel Stephen Poulos · Membercontrolsince 08/2013 · owns 25% to 50% of C-Dsk LLC
- Schofield Robert Whitehead · Membercontrolsince 08/2013 · owns F of C-Dsk LLC
Entity owners
- C-Dsk LLC · Owner And Member LLCdirect · 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 |
|---|---|---|---|---|---|
| Portland, Me · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,232 to 1,107Jun 18, 2025 to Mar 19, 2026
- Advisory employees · 8 to 6Jun 18, 2025 to Mar 19, 2026
- HNW clients · 267 to 322Jun 18, 2025 to Mar 19, 2026
- Individual clients · 125 to 101Jun 18, 2025 to Mar 19, 2026
- Assets in custody · $647M to $288MJun 18, 2025 to Mar 19, 2026
- Employees · 15 to 13Jun 18, 2025 to Mar 19, 2026
- State-registered IARs · 8 to 7Jun 18, 2025 to Mar 19, 2026
- Discretionary RAUM · $970M to $892MJun 18, 2025 to Mar 19, 2026
- HNW RAUM · $772M to $755MJun 18, 2025 to Mar 19, 2026
- Individual RAUM · $156M to $55.3MJun 18, 2025 to Mar 19, 2026
- RAUM · $970M to $892MJun 18, 2025 to Mar 19, 2026
- Financial planning clients · 101-250 to 101-250Mar 10, 2025 to Jun 18, 2025
- Accounts · 1,240 to 1,232Aug 9, 2024 to Mar 10, 2025
- Charity clients · 23 to 21Aug 9, 2024 to Mar 10, 2025
- Corporate clients · 2.0 to unsetAug 9, 2024 to Mar 10, 2025
- HNW clients · 263 to 267Aug 9, 2024 to Mar 10, 2025
- Individual clients · 130 to 125Aug 9, 2024 to Mar 10, 2025
- Pension plan clients · 1.0 to unsetAug 9, 2024 to Mar 10, 2025
- Assets in custody · $689M to $647MAug 9, 2024 to Mar 10, 2025
- Employees · 16 to 15Aug 9, 2024 to Mar 10, 2025
- Discretionary RAUM · $898M to $970MAug 9, 2024 to Mar 10, 2025
- HNW RAUM · $770M to $772MAug 9, 2024 to Mar 10, 2025
- Individual RAUM · $45.0M to $156MAug 9, 2024 to Mar 10, 2025
- Pension RAUM · 5453626.0 to unsetAug 9, 2024 to Mar 10, 2025
- RAUM · $898M to $970MAug 9, 2024 to Mar 10, 2025
- Accounts · 1,085 to 1,240Nov 14, 2023 to Mar 28, 2024
- Charity clients · 24 to 23Nov 14, 2023 to Mar 28, 2024
- HNW clients · 275 to 263Nov 14, 2023 to Mar 28, 2024
- Individual clients · 134 to 130Nov 14, 2023 to Mar 28, 2024
- Assets in custody · unset to 688733611.0Nov 14, 2023 to Mar 28, 2024
- Custody of client assets · false to trueNov 14, 2023 to Mar 28, 2024
- Employees · 15 to 16Nov 14, 2023 to Mar 28, 2024
- Financial planning clients · 26-50 to 101-250Nov 14, 2023 to Mar 28, 2024
- Discretionary RAUM · $830M to $898MNov 14, 2023 to Mar 28, 2024
- HNW RAUM · $697M to $770MNov 14, 2023 to Mar 28, 2024
- Individual RAUM · $52.2M to $45.0MNov 14, 2023 to Mar 28, 2024
- Pension RAUM · $1.4M to $5.5MNov 14, 2023 to Mar 28, 2024
- RAUM · $830M to $898MNov 14, 2023 to Mar 28, 2024
- Accounts · 1,024 to 1,085Mar 25, 2022 to Mar 29, 2023
- Corporate clients · 3 to 2Mar 25, 2022 to Mar 29, 2023
Signals
6 dated events
- Stephen Daniel Poulos left Headinvest for Great Diamond Partners, Llc (registered 2025-05-20)May 19, 2025 · Advisor changed firm · fact
- Givens Carl Gercke (Chief Investment Officer) no longer on Schedule A of Headinvest (listed 2024-06-14, absent 2024-08-09)Aug 9, 2024 · Control person left · inference
- Hilliard Benjamin Clark (Member) appeared on Schedule A of HeadinvestJun 14, 2024 · Control person joined · fact
- Kenneth Stephen Reeves (Chief Compliance Officer) appeared on Schedule A of HeadinvestMar 25, 2022 · Control person joined · fact
- Enid Jennifer Mogavero (Chief Compliance Officer) no longer on Schedule A of Headinvest (listed 2021-03-31, absent 2021-05-24)May 24, 2021 · Control person left · inference
- Enid Jennifer Mogavero (Chief Compliance Officer) appeared on Schedule A of HeadinvestJan 10, 2020 · 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
- 207-773-1735reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 207-773-5333reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-315-5360reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- HEADINVEST.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 207-773-5333reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- headinvest.com/contactreportedpublished 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
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026