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RIA Intelligence

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Former SEC-registered adviser

N•• E•••••• I••••••••• C••••••••• L•••

Former SEC-registered adviserProvidence, Rhode IslandCRD 142531SEC 801-113706IAPD
Latest filing Mar 30, 2023
First filing on the tape Jun 27, 2018 · 7 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
38%
$381M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$1.0B as of Mar 30, 2023
Mar 29, 2019$584M then
HNW client RAUM$350M as of Mar 30, 2023
Mar 29, 2019$186M then
State-registered IARs (5.B.3)1 as of Mar 30, 2023
Mar 29, 20191 then
Employees (5.A)5 as of Mar 30, 2023
Mar 29, 20195 then
Private funds: no history
RAUM -0.1% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2023; every figure names its basis
RAUM per advisor
$1.0BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
574derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
62%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-0.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.3%derived
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, 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
  • 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$632M62%
  • High-net-worth individuals$350M35%
  • Individuals$31.6M3.1%
Individual clients
318reported
HNW clients
256reported
Pension plan clients
110reported
Charitable clients
n/areported
Accounts
684reported
Financial planning clients
11-25reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D•••••••• S•••••• A•••••• · Ccocontrol
    since 10/2006 · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Providence, Ri · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 647 to 684
    Apr 1, 2022 to Mar 30, 2023
  • HNW clients · 328 to 256
    Apr 1, 2022 to Mar 30, 2023
  • Individual clients · 233 to 318
    Apr 1, 2022 to Mar 30, 2023
  • Pension plan clients · 86 to 110
    Apr 1, 2022 to Mar 30, 2023
  • HNW RAUM · $395M to $350M
    Apr 1, 2022 to Mar 30, 2023
  • Individual RAUM · $13.5M to $31.6M
    Apr 1, 2022 to Mar 30, 2023
  • Non-discretionary RAUM · $1.0B to $1.0B
    Apr 1, 2022 to Mar 30, 2023
  • Pension RAUM · $606M to $632M
    Apr 1, 2022 to Mar 30, 2023
  • RAUM · $1.0B to $1.0B
    Apr 1, 2022 to Mar 30, 2023
  • Accounts · 591 to 647
    Mar 31, 2021 to Apr 1, 2022
  • HNW clients · 315 to 328
    Mar 31, 2021 to Apr 1, 2022
  • Individual clients · 187 to 233
    Mar 31, 2021 to Apr 1, 2022
  • Pension plan clients · 89 to 86
    Mar 31, 2021 to Apr 1, 2022
  • HNW RAUM · $314M to $395M
    Mar 31, 2021 to Apr 1, 2022
  • Individual RAUM · $11.7M to $13.5M
    Mar 31, 2021 to Apr 1, 2022
  • Non-discretionary RAUM · $852M to $1.0B
    Mar 31, 2021 to Apr 1, 2022
  • Pension RAUM · $526M to $606M
    Mar 31, 2021 to Apr 1, 2022
  • RAUM · $852M to $1.0B
    Mar 31, 2021 to Apr 1, 2022
  • Accounts · 530 to 591
    Jun 30, 2020 to Mar 31, 2021
  • HNW clients · 287 to 315
    Jun 30, 2020 to Mar 31, 2021
  • Individual clients · 158 to 187
    Jun 30, 2020 to Mar 31, 2021
  • Pension plan clients · 85 to 89
    Jun 30, 2020 to Mar 31, 2021
  • Financial planning clients · 1-10 to 11-25
    Jun 30, 2020 to Mar 31, 2021
  • HNW RAUM · $274M to $314M
    Jun 30, 2020 to Mar 31, 2021
  • Individual RAUM · $10.0M to $11.7M
    Jun 30, 2020 to Mar 31, 2021
  • Non-discretionary RAUM · $731M to $852M
    Jun 30, 2020 to Mar 31, 2021
  • Pension RAUM · $446M to $526M
    Jun 30, 2020 to Mar 31, 2021
  • Pooled vehicle RAUM · unset to 0.0
    Jun 30, 2020 to Mar 31, 2021
  • RAUM · $731M to $852M
    Jun 30, 2020 to Mar 31, 2021
  • Accounts · 491 to 530
    Mar 29, 2019 to Mar 27, 2020
  • HNW clients · 318 to 287
    Mar 29, 2019 to Mar 27, 2020
  • Individual clients · 86 to 158
    Mar 29, 2019 to Mar 27, 2020
  • Pension plan clients · 87 to 85
    Mar 29, 2019 to Mar 27, 2020
  • Other offices · 1 to 0
    Mar 29, 2019 to Mar 27, 2020
  • HNW RAUM · $186M to $274M
    Mar 29, 2019 to Mar 27, 2020
  • Individual RAUM · $26.2M to $10.0M
    Mar 29, 2019 to Mar 27, 2020
  • Non-discretionary RAUM · $584M to $731M
    Mar 29, 2019 to Mar 27, 2020
  • Pension RAUM · $372M to $446M
    Mar 29, 2019 to Mar 27, 2020
  • RAUM · $584M to $731M
    Mar 29, 2019 to Mar 27, 2020
  • Accounts · 377 to 491
    Jun 27, 2018 to Mar 29, 2019
Signals
4 dated events
  • S••••• A•••••• D••••••• left N•• E•••••• I••••••••• C••••••••• L••• for E•••••• F•••••••• E•••••• (registered 2023-12-07)
    Dec 15, 2023 · Advisor changed firm · fact
  • N•• E•••••• I••••••••• C••••••••• L••• reported RAUM $730.7M, up 25% from $583.7M (2019-03-29 to 2020-03-27)
    Mar 27, 2020 · RAUM change · derived
  • N•• E•••••• I••••••••• C••••••••• L••• reported RAUM $583.7M, up 175% from $212.1M (2018-06-27 to 2019-03-29)
    Mar 29, 2019 · RAUM change · derived
  • N•• E•••••• I••••••••• C••••••••• L••• filed its initial SEC registration (Form ADV)
    Jun 27, 2018 · 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