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
Fiduciary Investment Advisors, LLC
Latest filing Jul 9, 2020
First filing on the tape Jan 31, 2012 · 19 filings
RAUM
$5.0B
reported, Item 5.F
Discretionary
45%
of RAUM
Private clients
14%
$692M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
60
60 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$5.0B as of Mar 17, 2020
Apr 1, 2013$15.0M then
HNW client RAUM$692M as of Mar 17, 2020
Feb 17, 2018$81.0M then
State-registered IARs (5.B.3)31 as of Mar 17, 2020
May 7, 20120 then
Employees (5.A)60 as of Mar 17, 2020
Apr 1, 201338 then
Private funds: no history
RAUM +203% over the last fiscal year+88% a year over threeIARs 32 to 31
Practice profile
derived from the filing of Jul 9, 2020; every figure names its basis
- RAUM per advisor
- $161MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $22.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 45%derivedof RAUM
- Institutional
- 75%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 7.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +203%derivedbetween the last two annual amendments
- Advisor growth, one year
- -3.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$2.9B58%
- Charitable organizations$698M14%
- High-net-worth individuals$692M14%
- Corporations and businesses$570M11%
- State and municipal entities$135M2.7%
- Individual clients
- n/areported
- HNW clients
- 145reported
- Pension plan clients
- 7reported
- Charitable clients
- 57reported
- Accounts
- 224reported
- 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
- Lindsay Rebekkah Brock to Stearns Financial GroupJul 24, 2018 · Other
- Brian David Dillon to Mma Securities LLCOct 19, 2017 · Other
Joined, latest
- Frank Locatell from Transamerica Retirement Advisors, LLCMay 9, 2019 · RIA to RIA
- Kathryn Jane Pizzi from Hooker & Holcombe Investment Advisors, Inc.Dec 3, 2018 · Other
- Carol Flores Mcshera from Lion Street Advisors, LLCJun 12, 2018 · Other
- Joseph Anthony Diogostine from Wright Investors Service IncFeb 10, 2018 · Other
- Matthew James Kaminski from Park Avenue Securities LLCOct 25, 2017 · Other
- Matthew Tyson Smith from Voya Investment Management Co. LLCOct 4, 2017 · Other
- Gregory F. Adams from Voya Financial Advisors, Inc.Jul 19, 2017 · Other
- Brian David Dillon from Positive Retirement Outcomes, LLCFeb 10, 2016 · Other
- Andrew Boris Salak from Morgan StanleyDec 24, 2014 · Other
- Scott Gregory Boulton from T. Rowe Price Advisory Services, Inc.Aug 25, 2014 · Other
- Leslie Ann Whitney from Whitney Retirement Services Group, Inc.Feb 25, 2014 · Other
- Robert Hunter Lowry from Usi AdvisorsSep 21, 2011 · Other
- Vincent Michael Smith from Nrp Advisors, Inc.Aug 8, 2011 · Other
- Tyler B Polk from M Holdings Securities, Inc.May 13, 2011 · Other
- Christopher Jon Rowlins from Usi AdvisorsFeb 4, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Steven Michael Benoit · Manager, Partnercontrolsince 04/2020 · owns less than 5%
- Boland Maureen Cooper · Chief Compliance Officercontrolsince 04/2006 · owns 5% to 10%
- Allen Robert Dimeo · Manager, Chief Executive Officercontrolsince 04/2020 · owns less than 5%
- Nathan Michael Goldman · Managercontrolsince 04/2020 · owns less than 5%
- Edmond Michael Goss · Executive Directorcontrolsince 04/2020 · owns less than 5%
- Jay Robert Hilzenrath · Managercontrolsince 04/2020 · owns less than 5%
- Edward Carl Nelson · Managercontrolsince 04/2020 · owns less than 5%
- Raymon Matthew Rice · Chief Financial Officer, Chief Investment Officer, Secretarycontrolsince 04/2020 · owns less than 5%
- Jonathan Elan Sharoni · Managercontrolsince 04/2020 · owns less than 5%
- Robert Mark Wetzel · President, Managercontrolsince 04/2020 · owns less than 5%
Entity owners
- Dimeo Schneider & Associates LLC · Memberdirect · owns 75% or more
- Dimeo Schneider & Associates Holdings, LLC · Ownerindirect · owns 75% or more of Dimeo Schneider & Associates LLC
- Madison Dearborn Capital Partners Vi-A, L.P. · Ownerindirect · owns 25% to 50% of Nfp Ultimate Holdings, LLC
- Madison Dearborn Partners · General Partnerindirect · owns F of Madison Dearborn Partners Vi-A&C, L.P.
- Madison Dearborn Partners Vi-A&C, L.P. · General Partnerindirect · owns F of Madison Dearborn Capital Partners Vi-A, L.P.
- Nfp Corp. · Ownerindirect · owns 75% or more of Dimeo Schneider & Associates Holdings, LLC
- Nfp Holdings, LLC · Ownerindirect · owns 75% or more of Nfp Parent Co, LLC
- Nfp Intermediate Holdings A. Corp. · Ownerindirect · owns 75% or more of Nfp Intermediate Holdings B. Corp.
- Nfp Intermediate Holdings B. Corp. · Ownerindirect · owns 75% or more of Nfp Corp.
- Nfp Parent Co, LLC · Ownerindirect · owns 75% or more of Nfp Intermediate Holdings A. Corp.
- Nfp Ultimate Holdings, LLC · Ownerindirect · owns 75% or more of Nfp Holdings, LLC
Related persons
Schedule D 7.A
- Fiducient Advisors LLCinvestment adviseryRAUM $98B
Offices
Schedule D 1.F, the 25 largest
- Wellesley, MA3 employees
- Kennebunk, ME1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Related adviser · false to trueMar 17, 2020 to May 6, 2020
- Accounts · 161 to 224Mar 6, 2019 to Mar 17, 2020
- Advisory employees · 22 to 60Mar 6, 2019 to Mar 17, 2020
- Charity clients · 40 to 57Mar 6, 2019 to Mar 17, 2020
- Corporate clients · unset to 7.0Mar 6, 2019 to Mar 17, 2020
- HNW clients · 98 to 145Mar 6, 2019 to Mar 17, 2020
- Pension plan clients · 11 to 7Mar 6, 2019 to Mar 17, 2020
- Employees · 61 to 60Mar 6, 2019 to Mar 17, 2020
- State-registered IARs · 32 to 31Mar 6, 2019 to Mar 17, 2020
- Discretionary RAUM · $1.5B to $2.2BMar 6, 2019 to Mar 17, 2020
- HNW RAUM · $546M to $692MMar 6, 2019 to Mar 17, 2020
- Non-discretionary RAUM · $171M to $2.8BMar 6, 2019 to Mar 17, 2020
- Pension RAUM · $447M to $2.9BMar 6, 2019 to Mar 17, 2020
- RAUM · $1.6B to $5.0BMar 6, 2019 to Mar 17, 2020
- Accounts · 101 to 161May 31, 2018 to Mar 6, 2019
- Advisory employees · 50 to 22May 31, 2018 to Mar 6, 2019
- Charity clients · unset to 40.0May 31, 2018 to Mar 6, 2019
- HNW clients · 94 to 98May 31, 2018 to Mar 6, 2019
- Pension plan clients · unset to 11.0May 31, 2018 to Mar 6, 2019
- Employees · 68 to 61May 31, 2018 to Mar 6, 2019
- State-registered IARs · 29 to 32May 31, 2018 to Mar 6, 2019
- Other offices · 4 to 3May 31, 2018 to Mar 6, 2019
- Discretionary RAUM · $1.0B to $1.5BMay 31, 2018 to Mar 6, 2019
- HNW RAUM · $81.0M to $546MMay 31, 2018 to Mar 6, 2019
- Non-discretionary RAUM · $0 to $171MMay 31, 2018 to Mar 6, 2019
- Pension RAUM · $480M to $447MMay 31, 2018 to Mar 6, 2019
- RAUM · $1.0B to $1.6BMay 31, 2018 to Mar 6, 2019
- Accounts · 85 to 101Dec 15, 2017 to Feb 17, 2018
- HNW clients · unset to 94.0Dec 15, 2017 to Feb 17, 2018
- Employees · 55 to 68Dec 15, 2017 to Feb 17, 2018
- State-registered IARs · 26 to 29Dec 15, 2017 to Feb 17, 2018
- Other offices · 5 to 4Dec 15, 2017 to Feb 17, 2018
- Discretionary RAUM · $750M to $1.0BDec 15, 2017 to Feb 17, 2018
- HNW RAUM · unset to 81000000.0Dec 15, 2017 to Feb 17, 2018
- Pension RAUM · unset to 480000000.0Dec 15, 2017 to Feb 17, 2018
- RAUM · $750M to $1.0BDec 15, 2017 to Feb 17, 2018
- Other offices · unset to 5.0May 25, 2017 to Nov 8, 2017
- Accounts · 40 to 85Dec 15, 2016 to Mar 27, 2017
- Advisory employees · 39 to 50Dec 15, 2016 to Mar 27, 2017
- Advisory activities · 5 to 6Dec 15, 2016 to Mar 27, 2017
Signals
13 dated events
- Allen Robert Dimeo (Manager, Chief Executive Officer) appeared on Schedule A of Fiduciary Investment Advisors, LlcMay 6, 2020 · Control person joined · fact
- Steven Michael Benoit (Manager, Partner) appeared on Schedule A of Fiduciary Investment Advisors, LlcMay 6, 2020 · Control person joined · fact
- Raymon Matthew Rice (Chief Financial Officer, Chief Investment Officer, Secretary) appeared on Schedule A of Fiduciary Investment Advisors, LlcMay 6, 2020 · Control person joined · fact
- Nathan Michael Goldman (Manager) appeared on Schedule A of Fiduciary Investment Advisors, LlcMay 6, 2020 · Control person joined · fact
- Edward Carl Nelson (Manager) appeared on Schedule A of Fiduciary Investment Advisors, LlcMay 6, 2020 · Control person joined · fact
- Jay Robert Hilzenrath (Manager) appeared on Schedule A of Fiduciary Investment Advisors, LlcMay 6, 2020 · Control person joined · fact
- Jonathan Elan Sharoni (Manager) appeared on Schedule A of Fiduciary Investment Advisors, LlcMay 6, 2020 · Control person joined · fact
- Rose Karen Paulson (Principal) no longer on Schedule A of Fiduciary Investment Advisors, Llc (listed 2020-03-17, absent 2020-05-06)May 6, 2020 · Control person left · inference
- Thomas Ryan Gardner (Principal) no longer on Schedule A of Fiduciary Investment Advisors, Llc (listed 2020-03-17, absent 2020-05-06)May 6, 2020 · Control person left · inference
- John Anthony Tranghese (Principal) no longer on Schedule A of Fiduciary Investment Advisors, Llc (listed 2020-03-17, absent 2020-05-06)May 6, 2020 · Control person left · inference
- Fiduciary Investment Advisors, Llc reported RAUM $5.0B, up 203% from $1.6B (2019-03-06 to 2020-03-17)Mar 17, 2020 · RAUM change · derived
- Fiduciary Investment Advisors, Llc reported RAUM $1.6B, up 64% from $1.0B (2018-05-31 to 2019-03-06)Mar 6, 2019 · RAUM change · derived
- Fiduciary Investment Advisors, Llc reported RAUM $1.0B, up 34% from $750.0M (2017-12-15 to 2018-02-17)Feb 17, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Fiduciary Investment Advisors, LLC · Private Equityshared crd · intermediary
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