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

G•••••• I••••••••• A•••••••• L••

Former SEC-registered adviserConcord, New HampshireCRD 149770SEC 801-70096IAPD
Latest filing Sep 2, 2021
First filing on the tape Dec 5, 2011 · 48 filings
RAUM
$696M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
66%
$460M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$696M as of Mar 31, 2021
Mar 27, 2012$496M then
HNW client RAUM$355M as of Mar 31, 2021
Mar 29, 2018$384M then
State-registered IARs (5.B.3)8 as of Mar 31, 2021
Apr 1, 201311 then
Employees (5.A)14 as of Mar 31, 2021
Apr 1, 201316 then
Private funds: no history
RAUM +3.9% over the last fiscal year+0.4% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Sep 2, 2021; every figure names its basis
RAUM per advisor
$87.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$950,981derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
31%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$20.4M, 10 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$355M51%
  • Charitable organizations$116M17%
  • Individuals$105M15%
  • Pension and profit-sharing plans$54.2M7.8%
  • State and municipal entities$45.7M6.6%
  • Corporations and businesses$20.4M2.9%
Individual clients
231reported
HNW clients
112reported
Pension plan clients
19reported
Charitable clients
21reported
Accounts
732reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$20.4M for 10 clientsreported
Compensation
% of AUM, fixedreported
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
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L••••• T••••••• S••• · Membercontrol
      since 02/2017 · owns 10% to 25%
    • S••••••••• S••••• B••••••• · Managing Membercontrol
      since 02/2017 · owns 50% to 75%
    • W••••••••• D••••• A•• · Cco, Membercontrol
      since 09/2011 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 720 to 732
      Jun 30, 2020 to Mar 31, 2021
    • Charity clients · 23 to 21
      Jun 30, 2020 to Mar 31, 2021
    • HNW clients · 117 to 112
      Jun 30, 2020 to Mar 31, 2021
    • Individual clients · 217 to 231
      Jun 30, 2020 to Mar 31, 2021
    • Pension plan clients · 18 to 19
      Jun 30, 2020 to Mar 31, 2021
    • Assets in custody · $15.6M to $20.4M
      Jun 30, 2020 to Mar 31, 2021
    • Employees · 15 to 14
      Jun 30, 2020 to Mar 31, 2021
    • Discretionary RAUM · $642M to $668M
      Jun 30, 2020 to Mar 31, 2021
    • HNW RAUM · $349M to $355M
      Jun 30, 2020 to Mar 31, 2021
    • Individual RAUM · $91.0M to $105M
      Jun 30, 2020 to Mar 31, 2021
    • Non-discretionary RAUM · $28.1M to $27.7M
      Jun 30, 2020 to Mar 31, 2021
    • Pension RAUM · $51.2M to $54.2M
      Jun 30, 2020 to Mar 31, 2021
    • RAUM · $670M to $696M
      Jun 30, 2020 to Mar 31, 2021
    • Accounts · 731 to 720
      Dec 9, 2019 to Mar 30, 2020
    • Charity clients · 26 to 23
      Dec 9, 2019 to Mar 30, 2020
    • Corporate clients · 12 to 10
      Dec 9, 2019 to Mar 30, 2020
    • HNW clients · 121 to 117
      Dec 9, 2019 to Mar 30, 2020
    • Individual clients · 225 to 217
      Dec 9, 2019 to Mar 30, 2020
    • Assets in custody · $6.6M to $15.6M
      Dec 9, 2019 to Mar 30, 2020
    • Discretionary RAUM · $594M to $642M
      Dec 9, 2019 to Mar 30, 2020
    • HNW RAUM · $336M to $349M
      Dec 9, 2019 to Mar 30, 2020
    • Individual RAUM · $86.4M to $91.0M
      Dec 9, 2019 to Mar 30, 2020
    • Non-discretionary RAUM · $25.6M to $28.1M
      Dec 9, 2019 to Mar 30, 2020
    • Pension RAUM · $44.6M to $51.2M
      Dec 9, 2019 to Mar 30, 2020
    • RAUM · $620M to $670M
      Dec 9, 2019 to Mar 30, 2020
    • Accounts · 689 to 731
      Sep 4, 2018 to Mar 28, 2019
    • Corporate clients · 13 to 12
      Sep 4, 2018 to Mar 28, 2019
    • HNW clients · 124 to 121
      Sep 4, 2018 to Mar 28, 2019
    • Individual clients · 211 to 225
      Sep 4, 2018 to Mar 28, 2019
    • Pension plan clients · 17 to 18
      Sep 4, 2018 to Mar 28, 2019
    • Assets in custody · $15.8M to $6.6M
      Sep 4, 2018 to Mar 28, 2019
    • Financial planning clients · 26-50 to 51-100
      Sep 4, 2018 to Mar 28, 2019
    • Discretionary RAUM · $657M to $594M
      Sep 4, 2018 to Mar 28, 2019
    • HNW RAUM · $384M to $336M
      Sep 4, 2018 to Mar 28, 2019
    • Individual RAUM · $98.2M to $86.4M
      Sep 4, 2018 to Mar 28, 2019
    • Non-discretionary RAUM · $29.6M to $25.6M
      Sep 4, 2018 to Mar 28, 2019
    • Pension RAUM · $40.8M to $44.6M
      Sep 4, 2018 to Mar 28, 2019
    • RAUM · $687M to $620M
      Sep 4, 2018 to Mar 28, 2019
    • Accounts · 456 to 689
      Jan 18, 2018 to Mar 29, 2018
    • Charity clients · 0 to 26
      Jan 18, 2018 to Mar 29, 2018
    Signals
    9 dated events
    • J•••••• B•••• T••••• left G•••••• I••••••••• A•••••••• L•• for M•••••• (registered 2022-01-03)
      Jan 20, 2022 · Advisor changed firm · fact
    • W•••••• D•••• H••••••• left G•••••• I••••••••• A•••••••• L•• for M•••••• (registered 2022-01-03)
      Jan 20, 2022 · Advisor changed firm · fact
    • T•••••• S••• L•••• left G•••••• I••••••••• A•••••••• L•• for M•••••• (registered 2022-01-03)
      Jan 20, 2022 · Advisor changed firm · fact
    • V••••• G••••• S•••• left G•••••• I••••••••• A•••••••• L•• for M•••••• (registered 2022-01-03)
      Jan 20, 2022 · Advisor changed firm · fact
    • C•••• D•••••• S•••• left G•••••• I••••••••• A•••••••• L•• for M•••••• (registered 2022-01-03)
      Jan 20, 2022 · Advisor changed firm · fact
    • J•••• M•••• S•••••••• left G•••••• I••••••••• A•••••••• L•• for M•••••• (registered 2022-01-03)
      Jan 20, 2022 · Advisor changed firm · fact
    • N••••••• F•••• M•••••••• left G•••••• I••••••••• A•••••••• L•• for M•••••• (registered 2022-01-03)
      Jan 20, 2022 · Advisor changed firm · fact
    • G•••••• I••••••••• A•••••••• L••'s advisors moved to M•••••• (Concord, NH): 7 of 7 registered, on the same day
      Jan 20, 2022 · Firm absorbed (people side) · derived
    • G•••••• I••••••••• A•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Feb 17, 2017 · Succession (Item 4) · 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