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
T•• F•••••••• A•••••••• L••
Latest filing Dec 1, 2025
First filing on the tape Mar 29, 2012 · 37 filings
SEC status approved since Mar 11, 2008
RAUM
$1.1B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$1.1B as of Dec 1, 2025
Mar 29, 2012$252M then
HNW client RAUM$1.0B as of Dec 1, 2025
Mar 21, 2018$366M then
State-registered IARs (5.B.3)7 as of Dec 1, 2025
Mar 29, 20120 then
Employees (5.A)11 as of Dec 1, 2025
Mar 27, 20136 then
Private funds: no history
RAUM +13% over the last fiscal year+4.4% a year over threeIARs 7 to 7offices 2 to 1
Practice profile
derived from the filing of Dec 1, 2025; every figure names its basis
- RAUM per advisor
- $158MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 120derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $516,475derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 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
- +16%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Wrap fee program
- $1.1BreportedItem 5.I
- Custody
- $185M, 227 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B91%
- Individuals$93.7M8.4%
- Pension and profit-sharing plans$2.8M0.3%
- Charitable organizations$730,9890.1%
- Individual clients
- 273reported
- HNW clients
- 570reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,146reported
- Financial planning clients
- 500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $185M for 227 clientsreported
- 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
7 left, 0 joined in 12 months
net -7 in 12 months0 left in 90 days0 joined in 90 days7 left over 36 months
Left, latest
- L•••• D••••••••• to B••••• P••••• A•••••••• L••Mar 12, 2026 · RIA to RIA
- M•••••• A•••••• D•••••• to B••••• P••••• A•••••••• L••Mar 12, 2026 · RIA to RIA
- L•••• C••• B••••••• to B••••• P••••• A•••••••• L••Mar 12, 2026 · RIA to RIA
- R••••• C•••••• M••••• to B••••• P••••• A•••••••• L••Mar 12, 2026 · RIA to RIA
- M•••••• P•••• K•••• to B••••• P••••• A•••••••• L••Mar 12, 2026 · RIA to RIA
- A••• V• L••••• to B••••• P••••• A•••••••• L••Mar 12, 2026 · RIA to RIA
- K•••• H•••••••• to B••••• P••••• A•••••••• L••Mar 12, 2026 · RIA to RIA
- P•••••• B••••••• M•••• to M••• S••••• F•••••••• A••••••• L••Feb 25, 2020 · RIA to a state-registered adviser
Joined, latest
- K•••• H•••••••• from W••••••• W••••• M•••••••••Aug 16, 2022 · RIA to RIA
- P•••••• B••••••• M•••• from L••••• B•••• • A••••••••• I•••Jan 18, 2017 · Other
- L•••• C••• B••••••• from T•• F•••••••• A••••••• L••Jul 10, 2008 · Other
- R••••• C•••••• M••••• from I••••••••• A••••••• G•••• C•••Jul 10, 2008 · Other
- M•••••• P•••• K•••• from T•• F•••••••• A••••••• L••Jul 10, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for B••••• P••••• A•••••••• L••Mar 12, 2026 · Andover, Ma · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• M••••••• P•••• · Managing Member And Financial Advisorcontrolsince 01/2008 · owns 25% to 50%
- M•••••• R•••••• C•••••• · Member, Chief Compliance Officer, Financial Advisorcontrolsince 01/2008 · owns 25% to 50%
- B•••••••• L••••• C••• · Member And Financial Advisorsince 01/2008 · owns 5% to 10%
- B••••• D••••• · Member And Financial Advisorsince 01/2019 · owns less than 5%
- C••••••••• J•••• · Member And Tax Accountantsince 01/2023 · owns less than 5%
- C••••••• N•••• N••••• · Member And Office Administratorsince 01/2012 · owns less than 5%
- D••••••• M••••••• A•••••• · Member And Financial Advisorsince 01/2012 · owns 5% to 10%
- D••••••••• L•••• · Member And Financial Advisorsince 01/2023 · owns less than 5%
- L•••••• A•••• V• · Member And Office Administratorsince 01/2012 · owns 5% to 10%
- W••••••••• S••••• I•••• · Member And Office Administratorsince 01/2008 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Andover, Ma · principal | 0 | 0 | 4 | ||
| New York, Ny | 0 | 0 | 1 | ||
| Newburyport, Ma | 0 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
- Newburyport, MA2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · More than 500 to More than 500Apr 8, 2025 to Jun 2, 2025
- Other offices · 2 to 1Apr 8, 2025 to Jun 2, 2025
- Accounts · 2,185 to 2,146Oct 22, 2024 to Apr 8, 2025
- Advisory activities · 4 to 3Oct 22, 2024 to Apr 8, 2025
- HNW clients · 305 to 570Oct 22, 2024 to Apr 8, 2025
- Individual clients · 423 to 273Oct 22, 2024 to Apr 8, 2025
- Assets in custody · $179M to $185MOct 22, 2024 to Apr 8, 2025
- Employees · 13 to 11Oct 22, 2024 to Apr 8, 2025
- Discretionary RAUM · $970M to $1.1BOct 22, 2024 to Apr 8, 2025
- HNW RAUM · $764M to $1.0BOct 22, 2024 to Apr 8, 2025
- Individual RAUM · $207M to $93.7MOct 22, 2024 to Apr 8, 2025
- Non-discretionary RAUM · $10.7M to $13.5MOct 22, 2024 to Apr 8, 2025
- Pension RAUM · $8.6M to $2.8MOct 22, 2024 to Apr 8, 2025
- RAUM · $981M to $1.1BOct 22, 2024 to Apr 8, 2025
- Accounts · 2,203 to 2,185Oct 16, 2023 to Mar 8, 2024
- HNW clients · 286 to 305Oct 16, 2023 to Mar 8, 2024
- Individual clients · 463 to 423Oct 16, 2023 to Mar 8, 2024
- Assets in custody · $170M to $179MOct 16, 2023 to Mar 8, 2024
- Discretionary RAUM · $831M to $970MOct 16, 2023 to Mar 8, 2024
- HNW RAUM · $637M to $764MOct 16, 2023 to Mar 8, 2024
- Individual RAUM · $201M to $207MOct 16, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $19.3M to $10.7MOct 16, 2023 to Mar 8, 2024
- Pension RAUM · $11.4M to $8.6MOct 16, 2023 to Mar 8, 2024
- RAUM · $850M to $981MOct 16, 2023 to Mar 8, 2024
- Other offices · 1 to 2Apr 27, 2023 to Jun 13, 2023
- Advisory activities · 5 to 4Mar 14, 2023 to Apr 27, 2023
- Accounts · 2,161 to 2,203Sep 29, 2022 to Mar 14, 2023
- Advisory employees · 8 to 7Sep 29, 2022 to Mar 14, 2023
- HNW clients · 330 to 286Sep 29, 2022 to Mar 14, 2023
- Individual clients · 417 to 463Sep 29, 2022 to Mar 14, 2023
- Pension plan clients · 5.0 to unsetSep 29, 2022 to Mar 14, 2023
- Assets in custody · $201M to $170MSep 29, 2022 to Mar 14, 2023
- Employees · 14 to 13Sep 29, 2022 to Mar 14, 2023
- Discretionary RAUM · $938M to $831MSep 29, 2022 to Mar 14, 2023
- HNW RAUM · $757M to $637MSep 29, 2022 to Mar 14, 2023
- Individual RAUM · $186M to $201MSep 29, 2022 to Mar 14, 2023
- Non-discretionary RAUM · $36.4M to $19.3MSep 29, 2022 to Mar 14, 2023
- Pension RAUM · $30.6M to $11.4MSep 29, 2022 to Mar 14, 2023
- RAUM · $975M to $850MSep 29, 2022 to Mar 14, 2023
- Advisory employees · 7 to 8Mar 30, 2022 to Jul 13, 2022
Signals
9 dated events
- The Financial Advisors, Llc no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $1.1B)Apr 1, 2026 · Left the SEC roster · derived
- Kevin Henderson left The Financial Advisors, Llc for Beacon Pointe Advisors, Llc (registered 2026-01-30)Mar 12, 2026 · Advisor changed firm · fact
- Michael Paull Kumph left The Financial Advisors, Llc for Beacon Pointe Advisors, Llc (registered 2026-01-30)Mar 12, 2026 · Advisor changed firm · fact
- Lucas Deslauriers left The Financial Advisors, Llc for Beacon Pointe Advisors, Llc (registered 2026-02-08)Mar 12, 2026 · Advisor changed firm · fact
- Anna V Larina left The Financial Advisors, Llc for Beacon Pointe Advisors, Llc (registered 2026-02-08)Mar 12, 2026 · Advisor changed firm · fact
- Michael Anthony Dempsey left The Financial Advisors, Llc for Beacon Pointe Advisors, Llc (registered 2026-02-08)Mar 12, 2026 · Advisor changed firm · fact
- Robert Conover Miller left The Financial Advisors, Llc for Beacon Pointe Advisors, Llc (registered 2026-02-03)Mar 12, 2026 · Advisor changed firm · fact
- Louis Carl Bonasera left The Financial Advisors, Llc for Beacon Pointe Advisors, Llc (registered 2026-02-08)Mar 12, 2026 · Advisor changed firm · fact
- The Financial Advisors, LLC's advisors moved to Beacon Pointe Advisors, LLC (Andover, MA): 6 of 7 registered, on the same dayMar 12, 2026 · Firm absorbed (people side) · derived
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