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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SEC-registered adviser
N•• H••••• F•••••••• G••••• L••
Latest filing Jul 27, 2026
First filing on the tape Mar 5, 2012 · 53 filings
SEC status approved since Dec 21, 2010
RAUM
$821M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
98%
$806M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$164M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$821M as of Jul 27, 2026
Mar 5, 2012$208M then
HNW client RAUM$563M as of Jul 27, 2026
Mar 4, 2018$63.6M then
State-registered IARs (5.B.3)6 as of Jul 27, 2026
Mar 14, 20134 then
Employees (5.A)9 as of Jul 27, 2026
Mar 14, 20135 then
Private funds: no history
RAUM +42% over the last fiscal year+25% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Jul 27, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 202derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $373,659derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
- Custody
- $268M, 380 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$563M69%
- Individuals$243M30%
- Charitable organizations$7.9M1.0%
- Pension and profit-sharing plans$6.9M0.8%
- Individual clients
- 728reported
- HNW clients
- 282reported
- Pension plan clients
- 4reported
- Charitable clients
- 5reported
- Accounts
- 2,197reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $268M for 380 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• R••••• P••••••Certified Financial Planner | Worcester, Ma | Jan 6, 2011 | 26 y | 1 |
| J••• C••••••••• L•••••Certified Financial Planner | Worcester, Ma | Jan 6, 2011 | 22 y | 1 |
| J••••• D•••• G•••••• | Worcester, Ma | Jan 17, 2012 | 14 y | 0 |
| K•••••• M•••• S••••• | Worcester, Ma | Oct 17, 2022 | 18 y | 1 |
| J••• P••• M•••• | Worcester, Ma | Jul 3, 2024 | 11 y | 0 |
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
- K•••••• M•••• S••••• from C••••••••• F•••••••• N••••••Oct 17, 2022 · Affiliated broker-dealer or bank to independent RIA
- M•••••• R••••• P•••••• from U•• F•••••••• S••••••• I•••Jan 6, 2011 · Other
- J••• C••••••••• L••••• from C••••••••• F•••••••• N••••••Jan 6, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• J••• · Managing Membercontrolsince 01/2005 · owns 50% to 75%
- P••••••• M••••••• R••••• · Managing Membercontrolsince 01/2005 · owns 50% to 75%
- D•••••• C••••••••• M•••• · Chief Compliance Officersince 01/2011 · 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 |
|---|---|---|---|---|---|
| Worcester, Ma · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Apr 6, 2026RAUM (Item 5.F) moved from $576,915,016 to $820,929,255 (+42.0%) between the annual amendments of 2025-02-28 and 2026-04-06; the peer median change was +16.0% (1385 comparable advisers, 91.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 91% percentile
- HNW share shiftChange between filings · filing Apr 6, 2026HNW share of RAUM moved from 53.0% to 69.0% between the annual amendments of 2025-02-28 and 2026-04-06peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 2,012 to 2,197Jul 29, 2025 to Mar 31, 2026
- Advisory employees · 5 to 6Jul 29, 2025 to Mar 31, 2026
- HNW clients · 156 to 282Jul 29, 2025 to Mar 31, 2026
- Individual clients · 791 to 728Jul 29, 2025 to Mar 31, 2026
- Pension plan clients · 7 to 4Jul 29, 2025 to Mar 31, 2026
- Assets in custody · $160M to $268MJul 29, 2025 to Mar 31, 2026
- Employees · 8 to 9Jul 29, 2025 to Mar 31, 2026
- State-registered IARs · 5 to 6Jul 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $564M to $794MJul 29, 2025 to Mar 31, 2026
- HNW RAUM · $308M to $563MJul 29, 2025 to Mar 31, 2026
- Individual RAUM · $256M to $243MJul 29, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $13.2M to $26.6MJul 29, 2025 to Mar 31, 2026
- Pension RAUM · $5.6M to $6.9MJul 29, 2025 to Mar 31, 2026
- RAUM · $577M to $821MJul 29, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Feb 28, 2025 to Jul 29, 2025
- Accounts · 1,972 to 2,012Sep 18, 2024 to Feb 28, 2025
- Advisory employees · 4 to 5Sep 18, 2024 to Feb 28, 2025
- Advisory activities · 3 to 4Sep 18, 2024 to Feb 28, 2025
- Charity clients · 2 to 5Sep 18, 2024 to Feb 28, 2025
- HNW clients · 136 to 156Sep 18, 2024 to Feb 28, 2025
- Individual clients · 838 to 791Sep 18, 2024 to Feb 28, 2025
- Pension plan clients · 3 to 7Sep 18, 2024 to Feb 28, 2025
- Assets in custody · $180M to $160MSep 18, 2024 to Feb 28, 2025
- Employees · 7 to 8Sep 18, 2024 to Feb 28, 2025
- Discretionary RAUM · $470M to $564MSep 18, 2024 to Feb 28, 2025
- HNW RAUM · $248M to $308MSep 18, 2024 to Feb 28, 2025
- Individual RAUM · $242M to $256MSep 18, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $25.6M to $13.2MSep 18, 2024 to Feb 28, 2025
- Pension RAUM · $687,577 to $5.6MSep 18, 2024 to Feb 28, 2025
- RAUM · $495M to $577MSep 18, 2024 to Feb 28, 2025
- Accounts · 1,792 to 1,972Sep 5, 2023 to Mar 8, 2024
- HNW clients · 97 to 136Sep 5, 2023 to Mar 8, 2024
- Individual clients · 816 to 838Sep 5, 2023 to Mar 8, 2024
- Pension plan clients · 5 to 3Sep 5, 2023 to Mar 8, 2024
- Assets in custody · $46.6M to $180MSep 5, 2023 to Mar 8, 2024
- Employees · 6 to 7Sep 5, 2023 to Mar 8, 2024
- Financial planning clients · 1-10 to 0Sep 5, 2023 to Mar 8, 2024
- Discretionary RAUM · $411M to $470MSep 5, 2023 to Mar 8, 2024
- HNW RAUM · $176M to $248MSep 5, 2023 to Mar 8, 2024
- Individual RAUM · $235M to $242MSep 5, 2023 to Mar 8, 2024
Signals
2 dated events
- N•• H••••• F•••••••• G••••• L•• reported RAUM $820.9M, up 42% from $576.9M (2025-07-29 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- N•• H••••• F•••••••• G••••• L•• reported RAUM $276.0M, up 78% from $155.1M (2021-02-12 to 2021-03-03)Mar 3, 2021 · RAUM change · derived
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 email
- i•••@n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-930-6434reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 978-537-7701reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/newharborfinancialgroupreportedpublic record, Form ADV, Sep 19, 2026
- Website
- NEWH•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 978-537-7701reportedpublic record, Form ADV, Jul 27, 2026
- Team page
- n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $164Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026