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.

Former SEC-registered adviser

Alterity Financial Group, LLC

Former SEC-registered adviserBangor, MaineCRD 153534SEC 801-79430IAPD
Latest filing Jan 30, 2024
First filing on the tape Mar 18, 2014 · 36 filings
RAUM
$121M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
99%
$119M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$121M as of Jan 30, 2024
Mar 4, 2015$114M then
HNW client RAUM$84.6M as of Jan 30, 2024
Mar 19, 2018$68.5M then
State-registered IARs (5.B.3)5 as of Jan 30, 2024
Mar 4, 20158 then
Employees (5.A)7 as of Jan 30, 2024
Mar 4, 20159 then
Private funds: no history
RAUM +1.3% over the last fiscal year-3.8% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jan 30, 2024; every figure names its basis
RAUM per advisor
$24.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
46derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.0MderivedHNW RAUM over HNW clients
Average account
$261,631derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
1.0derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+1.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-13%derived
Compensation
percentage of assets, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$25.2M, 76 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$84.6M70%
  • Individuals$34.8M29%
  • Corporations and businesses$1.4M1.2%
Individual clients
208reported
HNW clients
21reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
462reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$25.2M for 76 clientsreported
Compensation
% of AUM, fixed, commissionsreported
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
Joined, 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
    • Elaine Sierra Chapman · Managing Membercontrol
      since 10/2022 · owns 75% or more of Cgc, LLC
    • Angie Potter · Chief Compliance Officer
      since 03/2022 · owns less than 5%
    Entity owners
    • Cgc, LLC · Managing Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Bangor, Me · principal000
    Tampa, Fl000
    Offices
    Schedule D 1.F, the 25 largest
    • Tampa, FL1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 523 to 462
      Nov 14, 2023 to Jan 30, 2024
    • HNW clients · 11 to 21
      Nov 14, 2023 to Jan 30, 2024
    • Individual clients · 252 to 208
      Nov 14, 2023 to Jan 30, 2024
    • Commission compensation · false to true
      Nov 14, 2023 to Jan 30, 2024
    • Assets in custody · $17.9M to $25.2M
      Nov 14, 2023 to Jan 30, 2024
    • Discretionary RAUM · $101M to $109M
      Nov 14, 2023 to Jan 30, 2024
    • HNW RAUM · $57.9M to $84.6M
      Nov 14, 2023 to Jan 30, 2024
    • Individual RAUM · $60.5M to $34.8M
      Nov 14, 2023 to Jan 30, 2024
    • Non-discretionary RAUM · $18.4M to $12.1M
      Nov 14, 2023 to Jan 30, 2024
    • RAUM · $119M to $121M
      Nov 14, 2023 to Jan 30, 2024
    • Employees · 8 to 7
      Sep 11, 2023 to Nov 14, 2023
    • Accounts · 545 to 523
      Nov 29, 2022 to Mar 6, 2023
    • Advisory employees · 7 to 5
      Nov 29, 2022 to Mar 6, 2023
    • HNW clients · 22 to 11
      Nov 29, 2022 to Mar 6, 2023
    • Individual clients · 241 to 252
      Nov 29, 2022 to Mar 6, 2023
    • Assets in custody · $3.9M to $17.9M
      Nov 29, 2022 to Mar 6, 2023
    • State-registered IARs · 7 to 5
      Nov 29, 2022 to Mar 6, 2023
    • Other offices · 1 to 4
      Nov 29, 2022 to Mar 6, 2023
    • Discretionary RAUM · $128M to $101M
      Nov 29, 2022 to Mar 6, 2023
    • HNW RAUM · $45.9M to $57.9M
      Nov 29, 2022 to Mar 6, 2023
    • Individual RAUM · $109M to $60.5M
      Nov 29, 2022 to Mar 6, 2023
    • Non-discretionary RAUM · $29.1M to $18.4M
      Nov 29, 2022 to Mar 6, 2023
    • RAUM · $157M to $119M
      Nov 29, 2022 to Mar 6, 2023
    • Accounts · 563 to 545
      Sep 29, 2021 to Mar 15, 2022
    • Advisory employees · 6 to 7
      Sep 29, 2021 to Mar 15, 2022
    • HNW clients · 25 to 22
      Sep 29, 2021 to Mar 15, 2022
    • Individual clients · 223 to 241
      Sep 29, 2021 to Mar 15, 2022
    • Assets in custody · unset to 3907961.0
      Sep 29, 2021 to Mar 15, 2022
    • Custody of client assets · false to true
      Sep 29, 2021 to Mar 15, 2022
    • Employees · 6 to 8
      Sep 29, 2021 to Mar 15, 2022
    • State-registered IARs · 6 to 7
      Sep 29, 2021 to Mar 15, 2022
    • Discretionary RAUM · $112M to $128M
      Sep 29, 2021 to Mar 15, 2022
    • HNW RAUM · $47.2M to $45.9M
      Sep 29, 2021 to Mar 15, 2022
    • Individual RAUM · $87.5M to $109M
      Sep 29, 2021 to Mar 15, 2022
    • Non-discretionary RAUM · $23.4M to $29.1M
      Sep 29, 2021 to Mar 15, 2022
    • RAUM · $136M to $157M
      Sep 29, 2021 to Mar 15, 2022
    • Accounts · 536 to 563
      Jun 30, 2020 to Feb 11, 2021
    • HNW clients · 16 to 25
      Jun 30, 2020 to Feb 11, 2021
    • Individual clients · 247 to 223
      Jun 30, 2020 to Feb 11, 2021
    • Commission compensation · true to false
      Jun 30, 2020 to Feb 11, 2021
    Signals
    10 dated events
    • Timothy D. Haugh left Alterity Financial Group, Llc for Lpl Financial Llc (registered 2024-03-29)
      Jul 9, 2024 · Advisor changed firm · fact
    • David Allan Krech left Alterity Financial Group, Llc for Lpl Financial Llc (registered 2024-03-28)
      Jul 2, 2024 · Advisor changed firm · fact
    • 2 advisors left Alterity Financial Group, LLC (Bangor, ME) for LPL Financial LLC within 7 days
      Jul 2, 2024 · Team lift-out · derived
    • Justin Paul Elliott left Alterity Financial Group, Llc for Walser Wealth Management Company, A Limited Liability Company (registered 2025-12-22)
      Mar 28, 2024 · Advisor changed firm · fact
    • Torr Edwards Steinhilber left Alterity Financial Group, Llc for Munro Asset Management L.L.C. (registered 2025-12-12)
      Mar 28, 2024 · Advisor changed firm · fact
    • Lee Janice Grindle (Chief Operations Officer) no longer on Schedule A of Alterity Financial Group, Llc (listed 2022-11-29, absent 2023-03-06)
      Mar 6, 2023 · Control person left · inference
    • Elaine Sierra Chapman (Managing Member) appeared on Schedule A of Alterity Financial Group, Llc
      Nov 29, 2022 · Control person joined · fact
    • Matthew Jeffrey Chapman (President, Ceo And Cio) no longer on Schedule A of Alterity Financial Group, Llc (listed 2022-03-29, absent 2022-11-29)
      Nov 29, 2022 · Control person left · inference
    • Grindle Dudley Gray (Managing Member) no longer on Schedule A of Alterity Financial Group, Llc (listed 2021-02-11, absent 2021-09-29)
      Sep 29, 2021 · Control person left · inference
    • Maine Asset Management, Llc filed its initial SEC registration (Form ADV)
      Mar 18, 2014 · 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