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.

SEC-registered adviser

Flagship Harbor Advisors, LLC

Independent wealth managerBoston, MassachusettsCRD 155733SEC 801-71997websiteIAPD
Latest filing May 21, 2026
First filing on the tape Mar 28, 2012 · 71 filings
SEC status approved since Dec 8, 2010
RAUM
$3.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$3.4B individuals and HNW
Advisors
60
registered through the firm on IAPD
RAUM per advisor
$57.0M
derived; firm RAUM over IAPD count
Employees
61
57 advisory (5.B.1)
Offices
36
beyond the principal office
Private funds
0
reported on Schedule D
History
71 filings and snapshots on the tape
RAUM$3.4B as of May 21, 2026
Mar 28, 2012$141M then
HNW client RAUM$2.5B as of May 21, 2026
Mar 16, 2018$288M then
State-registered IARs (5.B.3)61 as of May 21, 2026
Mar 28, 20120 then
Employees (5.A)61 as of May 21, 2026
Apr 1, 201333 then
Private funds: no history
RAUM +14% over the last fiscal year+21% a year over threeIARs 60 to 61
Practice profile
derived from the filing of May 21, 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
  • Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$57.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
121derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$987,398derivedHNW RAUM over HNW clients
Average account
$266,828derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.6derived37 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+1.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.6%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
Financial planning clients
500reportedItem 5.H
Wrap fee program
$2.7BreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$2.5B74%
  • Individuals$855M25%
  • Pension and profit-sharing plans$16.2M0.5%
  • Charitable organizations$12.7M0.4%
  • Corporations and businesses$12.1M0.4%
Individual clients
4,724reported
HNW clients
2,556reported
Pension plan clients
29reported
Charitable clients
27reported
Accounts
12,815reported
Financial planning clients
500reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=57.0derived
Advisors registered through the firm
60 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
David Jay KaufmanCertified Financial Planner, Chartered Financial ConsultantBoston, Ma Dec 17, 201040 y1
Julian Brett MorrisChartered Financial ConsultantBoston, MaDec 17, 201021 y0
Brian Jeffrey GriffithCertified Financial PlannerBoston, MaDec 22, 201025 y0
Gregory Paul MunroeCertified Financial PlannerYamouthport, Ma Dec 22, 201034 y1
Wayne Joseph BradleyCertified Financial PlannerWestford, Ma Dec 22, 201036 y0
Timothy Peter HigginsCertified Financial Planner, Chartered Financial ConsultantWestborough, Ma Dec 22, 201027 y0
John Porter SawyerCertified Financial PlannerBoston, MaDec 22, 201027 y1
John Martin FentonCertified Financial PlannerBoston, Ma Dec 22, 201030 y1
Matthew Aaron MorrowBoston, Ma Mar 25, 201126 y0
Philip John MatheyBoston, Ma May 2, 201121 y1
Rodney Melvin LaurenzBoston, Ma Jun 23, 201123 y1
Robert Michael ThorneBoston, Ma Jul 11, 201134 y1
Richard Brian AndersonWalpole, Nh Sep 21, 201219 y1
Thomas Owen ShepardCertified Financial PlannerBoston, Ma Jan 16, 201330 y1
Daniel Edward ParkerDanvers, Ma May 20, 201324 y2
Michael Ray SanchezLakeway, Tx Jul 2, 201320 y2
Daniel Francis MoranCertified Financial PlannerBoston, MaNov 18, 201323 y1
Adam BatemanNorth Andover, Ma Dec 2, 201318 y2
Joshua Julio ToppChartered Financial ConsultantProspect, Ct Dec 2, 201319 y2
Jason Ryan DuguayCertified Financial PlannerMedway, Ma Dec 9, 201321 y3
Dwayne Anthony HallCertified Financial PlannerBoston, MaApr 22, 201423 y0
Michael KrascoBoston, MaSep 25, 201426 y1
James F PierottiWhitman, Ma Nov 5, 201421 y4
Jefferson Stacy JonesYamouthport, Ma Dec 8, 201423 y3
Alan Alaeddin FatemiBoston, MaFeb 23, 201521 y0
Christopher Michael SheehanCertified Financial PlannerMarshfield, Ma Feb 23, 201526 y7
Quentin William ClimerBoston, Ma May 21, 201530 y1
Irina V AndreasenBoston, Ma Jun 16, 201524 y1
Kevin Michael SmithCertified Financial PlannerBoston, Ma Jun 25, 201525 y2
Thomas Marshall WilliamsCertified Financial PlannerHingham, Ma Dec 11, 201532 y2
Jesse P BessettCertified Financial PlannerBoston, Ma Dec 11, 201525 y2
Edward Joseph MarinucciBoston, Ma Dec 11, 201527 y1
Lester Russell KefauverBoston, Ma Dec 21, 201519 y2
Darrell Mitchell AveryMaryville, Tn Feb 3, 201623 y1
Kimberly Ann KellyBoston, Ma Sep 20, 201611 y0
Brendan Michael LammersBoston, MaOct 31, 201621 y1
Jonathan Edward CoughlinBoston, MaOct 30, 201913 y1
Adam Michael HogueCertified Financial PlannerBoston, Ma Feb 7, 202014 y1
Steven Brett BruceBoston, Ma Sep 22, 202033 y0
Nancy Greenwood AndrewBoston, Ma Oct 12, 202013 y1
All 60 advisors at Flagship Harbor Advisors, LLC
Advisor movement
2 left, 3 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 3.3% of current headcount2 left over 36 months
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
  • Jay David Kaufman · Managing Member / Chief Executive Officercontrol
    since 12/2010 · owns 75% or more
  • Porter John Sawyer · Chief Compliance Officercontrol
    since 03/2019 · 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
OfficeAdvisorsJoinedLeftTeams outForming
Boston, Ma · principal59421
Yamouthport, Ma410
Marshfield, Ma300
Yarmouth, Me300
Hingham, Ma300
North Andover, Ma300
Canton, Ma200
Plymouth, Ma200
Hampton, Nh200
Maryville, Tn200
Offices
Schedule D 1.F, the 25 largest
  • Hingham, MA3 employees
  • North Andover, MA3 employees
  • Plymouth, MA3 employees
  • Walpole, NH2 employees
  • Maryville, TN2 employees
  • Lakeway, TX2 employees
  • Salem, MA2 employees
  • Marshfield, MA2 employees
  • Westborough, MA1 employees
  • Westford, MA1 employees
  • Yarmouth, ME1 employees
  • Danvers, MA1 employees
  • , 1 employees
  • Falmouth, MA1 employees
  • Franklin, MA1 employees
  • Hampton, NH1 employees
  • Hyannis, MA1 employees
  • Medway, MA1 employees
  • Norwell, MA1 employees
  • Somerville, MA1 employees
What changed
consecutive filings, newest first
  • Accounts · 13,382 to 12,815
    Dec 3, 2025 to Jan 28, 2026
  • Advisory employees · 60 to 57
    Dec 3, 2025 to Jan 28, 2026
  • BD registered reps · 60 to 57
    Dec 3, 2025 to Jan 28, 2026
  • Charity clients · 8 to 27
    Dec 3, 2025 to Jan 28, 2026
  • Corporate clients · 31 to 37
    Dec 3, 2025 to Jan 28, 2026
  • HNW clients · 2,419 to 2,556
    Dec 3, 2025 to Jan 28, 2026
  • Individual clients · 5,209 to 4,724
    Dec 3, 2025 to Jan 28, 2026
  • Pension plan clients · 20 to 29
    Dec 3, 2025 to Jan 28, 2026
  • Employees · 60 to 61
    Dec 3, 2025 to Jan 28, 2026
  • Financial planning clients · 251-500 to More than 500
    Dec 3, 2025 to Jan 28, 2026
  • State-registered IARs · 60 to 61
    Dec 3, 2025 to Jan 28, 2026
  • Discretionary RAUM · $3.0B to $3.4B
    Dec 3, 2025 to Jan 28, 2026
  • HNW RAUM · $2.1B to $2.5B
    Dec 3, 2025 to Jan 28, 2026
  • Individual RAUM · $864M to $855M
    Dec 3, 2025 to Jan 28, 2026
  • Pension RAUM · $11.9M to $16.2M
    Dec 3, 2025 to Jan 28, 2026
  • RAUM · $3.0B to $3.4B
    Dec 3, 2025 to Jan 28, 2026
  • Financial planning clients · 251-500 to 251-500
    Jan 29, 2025 to Apr 10, 2025
  • Accounts · 12,625 to 13,382
    May 28, 2024 to Jan 29, 2025
  • Advisory employees · 58 to 60
    May 28, 2024 to Jan 29, 2025
  • BD registered reps · 58 to 60
    May 28, 2024 to Jan 29, 2025
  • Charity clients · 23 to 8
    May 28, 2024 to Jan 29, 2025
  • Corporate clients · 25 to 31
    May 28, 2024 to Jan 29, 2025
  • HNW clients · 2,209 to 2,419
    May 28, 2024 to Jan 29, 2025
  • Individual clients · 5,010 to 5,209
    May 28, 2024 to Jan 29, 2025
  • Pension plan clients · 17 to 20
    May 28, 2024 to Jan 29, 2025
  • Employees · 58 to 60
    May 28, 2024 to Jan 29, 2025
  • State-registered IARs · 58 to 60
    May 28, 2024 to Jan 29, 2025
  • Discretionary RAUM · $2.4B to $3.0B
    May 28, 2024 to Jan 29, 2025
  • HNW RAUM · $1.7B to $2.1B
    May 28, 2024 to Jan 29, 2025
  • Individual RAUM · $767M to $864M
    May 28, 2024 to Jan 29, 2025
  • Pension RAUM · $7.2M to $11.9M
    May 28, 2024 to Jan 29, 2025
  • RAUM · $2.4B to $3.0B
    May 28, 2024 to Jan 29, 2025
  • Accounts · 11,796 to 12,625
    Oct 16, 2023 to Jan 16, 2024
  • Advisory employees · 52 to 58
    Oct 16, 2023 to Jan 16, 2024
  • BD registered reps · 52 to 58
    Oct 16, 2023 to Jan 16, 2024
  • Charity clients · 18 to 23
    Oct 16, 2023 to Jan 16, 2024
  • Corporate clients · 20 to 25
    Oct 16, 2023 to Jan 16, 2024
  • HNW clients · 2,012 to 2,209
    Oct 16, 2023 to Jan 16, 2024
  • Individual clients · 4,809 to 5,010
    Oct 16, 2023 to Jan 16, 2024
  • Pension plan clients · 20 to 17
    Oct 16, 2023 to Jan 16, 2024
Signals
6 dated events
  • Mark Andrew Maitland left Flagship Harbor Advisors, Llc for Rothwell Investment Advisors (registered 2025-07-29)
    Oct 24, 2025 · Advisor changed firm · fact
  • Barbara Jean Maitland left Flagship Harbor Advisors, Llc for Rothwell Investment Advisors (registered 2025-07-29)
    Oct 24, 2025 · Advisor changed firm · fact
  • 2 advisors left Flagship Harbor Advisors, LLC (Boston, MA) for Rothwell Investment Advisors on the same day
    Oct 24, 2025 · Team lift-out · derived
  • Flagship Harbor Advisors, Llc reported RAUM $2.4B, up 27% from $1.9B (2023-10-16 to 2024-01-16)
    Jan 16, 2024 · RAUM change · derived
  • Flagship Harbor Advisors, Llc reported 31 offices beyond its principal office, down from 37 (2018-12-27 to 2019-03-27)
    Mar 27, 2019 · Office count change · derived
  • Porter John Sawyer (Chief Compliance Officer) appeared on Schedule A of Flagship Harbor Advisors, Llc
    Mar 27, 2019 · Control person joined · 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 email
jb@conciergewm.comreportedpublished by the firm, firm site, Sep 16, 2026
Business email
dina@conciergewm.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone
617-855-0220reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
617-224-0870reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
617-600-4676reportedpublished by the firm, firm site, Sep 16, 2026
Firm profile
LINKEDIN.COM/COMPANY/FLAGSHIP-HARBOR-ADVISORSreportedpublic record, Form ADV, Sep 17, 2026
Website
conciergewm.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
(857) 350-4229reportedpublic record, Form ADV, May 21, 2026
Contact form
conciergewm.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
Team page
conciergewm.com/peoplereportedpublished by the firm, firm site, Sep 16, 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
$57.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026