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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Former SEC-registered adviser
S•••• A••••••• G•••• L••
Latest filing Mar 17, 2026
First filing on the tape Mar 17, 2026 · 1 filings
RAUM
$76.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$71.8M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
- RAUM per advisor
- $19.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $153,938derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$42.5M56%
- Individuals$29.3M38%
- Corporations and businesses$4.4M5.7%
- Individual clients
- 261reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 495reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••••• G••••• B•••••Chartered Financial Consultant | Wells, Me | Jan 5, 2009 | 24 y | 1 |
| K•••• J•••• C•••••Certified Financial Planner | Wells, Me | Aug 20, 2009 | 43 y | 1 |
| P•••• C• B••••• | Wells, Me | Sep 20, 2013 | 36 y | 2 |
| W•••••• O••••• R•••••• | Wells, Me | Jan 19, 2016 | 24 y | 0 |
Advisor movement
Left, latest
- N••••• U•••• to C••••••••• F•••••••• N••••••Jul 14, 2025 · Other
- J••••••• L•••• A••• to A••••••• C•••• F••••••••Jan 26, 2021 · Other
- K•••• F•••••••• to H• B•••• I•••Oct 30, 2013 · Other
- R••••• D••••• L•••••• to S•••• F••• I••••••••• M••••••••• C••••Oct 21, 2013 · Other
Joined, latest
- P•••• C• B••••• from A••••••••• F•••••••• S•••••••• L••Sep 20, 2013 · Affiliated broker-dealer or bank to a state-registered adviser
- J••••••• L•••• A••• from H• B•••• I•••Jan 3, 2013 · Other
- R••••• D••••• L•••••• from E••••• J••••Sep 21, 2010 · Affiliated broker-dealer or bank to a state-registered adviser
- K•••• F•••••••• from M••••• S••••••Sep 9, 2010 · Wirehouse to a state-registered adviser
- K•••• J•••• C••••• from L••••••••• I•••••••••Aug 20, 2009 · Other
- W••••• G••••• B••••• from N•• E•••••• S••••••••• C•••••••••Jan 5, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Wells, Me · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- N••••• U•••• left S•••• A••••••• G•••• L•• for C••••••••• F•••••••• N•••••• (registered 2025-07-28)Jul 14, 2025 · Advisor changed firm · 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
- Website
- S••••ADVISORYGROUP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 207-641-8332reportedpublic record, Form ADV, Mar 17, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026