DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

H••••••• E••••• P•••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $136M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $136M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +13%
Private clients: 100% of RAUM, $136M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-03-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 10 Mar 2026, RAUM $120M to $136M (+13.0%) on the Form ADV filed 10 Mar 2026, while advisors on the filing rose 2 to 2.

Every filed figure, and the identifiersCRD 145774 · SEC 801-131607 · 10 filingsShow

CRD 145774SEC 801-131607First filing on the tape Mar 29, 2012, latest Mar 10, 2026SEC status approved since Feb 6, 2025IAPD

RAUM

$136M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$136M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$67.8M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$136M as of Mar 10, 2026

Mar 29, 2012$41.3M then

HNW client RAUM$80.8M as of Mar 10, 2026

Jan 30, 2025$110M then

State-registered IARs (5.B.3)2 as of Mar 10, 2026

Mar 29, 20120 then

Employees (5.A)2 as of Mar 10, 2026

Jan 30, 20252 then

Private funds: no history

RAUM +13% over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Mar 10, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure4 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $67.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 211derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $635,948derivedHNW RAUM over HNW clients
Average account: $322,077derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +13%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +7.7%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Wrap fee program: $136MreportedItem 5.I
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$80.8M60%
Individuals$54.8M40%

Individual clients: 294reported
HNW clients: 127reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 421reported
Financial planning clients: reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

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

none on the tape

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the 10 longest tenured

Name	Branch	Here since	In industry	Prior firms
B••••• C••• A•••	Wolfeboro, Nh	Apr 23, 2012	32 y	0
M•••••• E• H•••••••	Wolfeboro, Nh	Jun 27, 2012	32 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••• B••••• · Member, Managing Director Of Investor Relationscontrol
since 11/2007 · owns 50% to 75%
H•••••••• M••••••• E• · Portfolio Manager, Managing Member, Chief Compliance Officercontrol
since 11/2007 · owns 50% to 75%

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
Wolfeboro, Nh	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

HNW share shiftChange between filings · filing Mar 10, 2026
HNW share of RAUM moved from 92.0% to 60.0% between the annual amendments of 2025-03-31 and 2026-03-10
peers: independent wealth managers, $100M to $500M (5,682)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 391 to 421
Mar 31, 2025 to Mar 10, 2026
HNW clients · 308 to 127
Mar 31, 2025 to Mar 10, 2026
Individual clients · 83 to 294
Mar 31, 2025 to Mar 10, 2026
HQ city · WOLFEBORO to
Mar 31, 2025 to Mar 10, 2026
HQ state · NH to
Mar 31, 2025 to Mar 10, 2026

Full history · 30 changes

Discretionary RAUM · $120M to $136M
Mar 31, 2025 to Mar 10, 2026
HNW RAUM · $110M to $80.8M
Mar 31, 2025 to Mar 10, 2026
Individual RAUM · $10.0M to $54.8M
Mar 31, 2025 to Mar 10, 2026
RAUM · $120M to $136M
Mar 31, 2025 to Mar 10, 2026
Accounts · 406 to 391
Jan 30, 2025 to Mar 31, 2025
Financial planning clients · unset to
Jan 30, 2025 to Mar 31, 2025
Accounts · 350 to 406
Oct 23, 2012 to Nov 11, 2024
Advisory employees · unset to 2.0
Oct 23, 2012 to Nov 11, 2024
Charity clients · unset to 0.0
Oct 23, 2012 to Nov 11, 2024
Corporate clients · unset to 0.0
Oct 23, 2012 to Nov 11, 2024
HNW clients · unset to 308.0
Oct 23, 2012 to Nov 11, 2024
Individual clients · unset to 83.0
Oct 23, 2012 to Nov 11, 2024
Pension plan clients · unset to 0.0
Oct 23, 2012 to Nov 11, 2024
Pooled vehicle clients · unset to 0.0
Oct 23, 2012 to Nov 11, 2024
Employees · unset to 2.0
Oct 23, 2012 to Nov 11, 2024
State-registered IARs · 0 to 2
Oct 23, 2012 to Nov 11, 2024
Other offices · unset to 0.0
Oct 23, 2012 to Nov 11, 2024
Discretionary RAUM · $41.3M to $120M
Oct 23, 2012 to Nov 11, 2024
HNW RAUM · unset to 110000000.0
Oct 23, 2012 to Nov 11, 2024
Individual RAUM · unset to 10000000.0
Oct 23, 2012 to Nov 11, 2024
Pension RAUM · unset to 0.0
Oct 23, 2012 to Nov 11, 2024
Pooled vehicle RAUM · unset to 0.0
Oct 23, 2012 to Nov 11, 2024
RAUM · $41.3M to $120M
Oct 23, 2012 to Nov 11, 2024
Wrap assets (manager) · unset to 0.0
Oct 23, 2012 to Nov 11, 2024
Wrap assets (sponsor) · unset to 0.0
Oct 23, 2012 to Nov 11, 2024

Signals

1 dated events

••• Locked
Nov 11, 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 phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 10, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 10, 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: $67.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026