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
C••••••••• F•••••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 29, 2024 · 5 filings
SEC status approved since Apr 30, 2024
RAUM
$167M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$166M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$41.7M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$167M as of Mar 26, 2026
Mar 12, 2025$135M then
HNW client RAUM$140M as of Mar 26, 2026
Mar 12, 2025$113M then
State-registered IARs (5.B.3)4 as of Mar 26, 2026
Mar 12, 20254 then
Employees (5.A)7 as of Mar 26, 2026
Mar 12, 20254 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 4 to 4offices 1 to 2
Practice profile
derived from the filing of Mar 26, 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
- RAUM per advisor
- $41.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $376,108derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 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$140M84%
- Individuals$25.7M15%
- Charitable organizations$1.4M0.9%
- Individual clients
- 52reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 444reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••••• R••••••• Y•••Certified Financial Planner | Burlington, Ma | Aug 9, 2006 | 26 y | 2 |
| K•••• A•••••Certified Financial Planner, Chartered Financial Analyst | North Kingstown, Ri | Mar 12, 2021 | 19 y | 1 |
| G••••• E• N•••••••Certified Financial Planner, Chartered Financial Analyst | Burlington, Ma | Mar 12, 2021 | 18 y | 0 |
| T••••• F•••• N••••••••• | Burlington, Ma | Feb 11, 2025 | 10 y | 1 |
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
none on the tape
Joined, latest
- T••••• F•••• N••••••••• from O••••••••• S••••••••• I•••Feb 11, 2025 · Affiliated broker-dealer or bank to independent RIA
- K•••• A••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 12, 2021 · Wirehouse to independent RIA
- T••••••• R••••••• Y••• from B••• B•• F•••••••• G••••• I•••Aug 9, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• K•••• · Partnercontrolsince 03/2021 · owns 25% to 50%
- N•••••••• G•••••• E• · Partnercontrolsince 03/2021 · owns 25% to 50%
- Y•••• T•••••••• R••••••• · Partner & Ccocontrolsince 04/2006 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Burlington, Ma · principal | 4 | 0 | 0 | ||
| North Kingstown, Ri | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- North Kingstown, RI2 employees
What changed
consecutive filings, newest first
- Accounts · 393 to 444Dec 9, 2025 to Mar 26, 2026
- Charity clients · 4 to 7Dec 9, 2025 to Mar 26, 2026
- HNW clients · 44 to 49Dec 9, 2025 to Mar 26, 2026
- Individual clients · 49 to 52Dec 9, 2025 to Mar 26, 2026
- Other offices · 1 to 2Dec 9, 2025 to Mar 26, 2026
- Discretionary RAUM · $134M to $165MDec 9, 2025 to Mar 26, 2026
- HNW RAUM · $113M to $140MDec 9, 2025 to Mar 26, 2026
- Individual RAUM · $21.5M to $25.7MDec 9, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $1.5M to $1.7MDec 9, 2025 to Mar 26, 2026
- RAUM · $135M to $167MDec 9, 2025 to Mar 26, 2026
- Employees · 4 to 7Mar 12, 2025 to Oct 7, 2025
- Related insurance company · false to trueMar 12, 2025 to Oct 7, 2025
- Accounts · 364 to 393Mar 29, 2024 to Mar 12, 2025
- Advisory employees · 3 to 4Mar 29, 2024 to Mar 12, 2025
- Charity clients · 9 to 4Mar 29, 2024 to Mar 12, 2025
- HNW clients · 41 to 44Mar 29, 2024 to Mar 12, 2025
- Individual clients · 42 to 49Mar 29, 2024 to Mar 12, 2025
- Employees · 3 to 4Mar 29, 2024 to Mar 12, 2025
- Financial planning clients · 51-100 to 51-100Mar 29, 2024 to Mar 12, 2025
- State-registered IARs · 3 to 4Mar 29, 2024 to Mar 12, 2025
- Discretionary RAUM · $111M to $134MMar 29, 2024 to Mar 12, 2025
- HNW RAUM · $95.0M to $113MMar 29, 2024 to Mar 12, 2025
- Individual RAUM · $18.1M to $21.5MMar 29, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $2.4M to $1.5MMar 29, 2024 to Mar 12, 2025
- RAUM · $114M to $135MMar 29, 2024 to Mar 12, 2025
Signals
1 dated events
- C••••••••• F•••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 29, 2024 · 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.
How to reach
public business contact points only, each with its source
- Business email
- m•••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 781-619-8529reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-527-1238reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/cornerstonefmreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C•••••••••FM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-527-1238reportedpublic record, Form ADV, Mar 26, 2026
- Team page
- c•••••••••.comreportedpublished 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
- $41.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026