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
Paladin Advisors, LLC
Latest filing Aug 1, 2022
First filing on the tape Mar 5, 2013 · 19 filings
RAUM
$291M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
95%
$276M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$291M as of Mar 30, 2022
Mar 24, 2014$149M then
HNW client RAUM$268M as of Mar 30, 2022
Mar 19, 2018$193M then
State-registered IARs (5.B.3)4 as of Mar 30, 2022
Mar 24, 20143 then
Employees (5.A)5 as of Mar 30, 2022
Mar 24, 20146 then
Private funds: no history
RAUM -3.4% over the last fiscal year+3.3% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Aug 1, 2022; every figure names its basis
- RAUM per advisor
- $72.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $852,084derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- 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$268M93%
- Charitable organizations$12.2M4.2%
- Individuals$8.6M3.0%
- Individual clients
- 20reported
- HNW clients
- 58reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 342reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
- Sean Michael Mcmullen to Citizens Private WealthOct 3, 2022 · RIA to RIA
- Jeffrey James Egizi to Citizens Private WealthOct 3, 2022 · RIA to RIA
- Natalie Brooke Marin to Northstar Financial Planning, LLCMar 17, 2022 · RIA to RIA
- Michael Waters Costa to Commonwealth Financial NetworkApr 21, 2021 · RIA to affiliated broker-dealer or bank
- Barry Keck Betters to Cornerstone Financial Planning, LLCJan 28, 2019 · RIA to RIA
- Stephanie Castonguay Griebel to Resolute Financial, LLCJul 19, 2016 · Other
Joined, latest
- Jeffrey James Egizi from Fiduciary Trust International, LLCAug 29, 2017 · Other
- Barry Keck Betters from Strategic Advisers LLCFeb 28, 2017 · Other
- Stephanie Castonguay Griebel from Artemis Financial AdvisorsAug 25, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Citizens Private WealthOct 3, 2022 · Kensington, Nh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James Jeffrey Egizi · Chief Investment Officer And Membercontrolsince 01/2018 · owns 5% to 10%
- Michael Sean Mcmullen · Chief Compliance Officer & Membercontrolsince 01/2015 · owns 5% to 10%
- Elizabeth Karen Parker Feld · Chief Executive Officer & Managing Membercontrolsince 01/2011 · owns 75% or more
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 · 351 to 342Sep 14, 2021 to Mar 30, 2022
- Advisory employees · 7 to 4Sep 14, 2021 to Mar 30, 2022
- Charity clients · 1 to 0Sep 14, 2021 to Mar 30, 2022
- HNW clients · 60 to 58Sep 14, 2021 to Mar 30, 2022
- Employees · 8 to 5Sep 14, 2021 to Mar 30, 2022
- State-registered IARs · 6 to 4Sep 14, 2021 to Mar 30, 2022
- Discretionary RAUM · $245M to $281MSep 14, 2021 to Mar 30, 2022
- HNW RAUM · $277M to $268MSep 14, 2021 to Mar 30, 2022
- Individual RAUM · $9.2M to $8.6MSep 14, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $56.6M to $10.8MSep 14, 2021 to Mar 30, 2022
- RAUM · $302M to $291MSep 14, 2021 to Mar 30, 2022
- Accounts · 330 to 351Jul 6, 2020 to Mar 31, 2021
- Advisory employees · 5 to 7Jul 6, 2020 to Mar 31, 2021
- Advisory activities · 4 to 3Jul 6, 2020 to Mar 31, 2021
- Charity clients · 2 to 1Jul 6, 2020 to Mar 31, 2021
- HNW clients · 57 to 60Jul 6, 2020 to Mar 31, 2021
- Employees · 6 to 8Jul 6, 2020 to Mar 31, 2021
- State-registered IARs · 4 to 6Jul 6, 2020 to Mar 31, 2021
- Discretionary RAUM · $235M to $245MJul 6, 2020 to Mar 31, 2021
- HNW RAUM · $264M to $277MJul 6, 2020 to Mar 31, 2021
- Individual RAUM · $9.8M to $9.2MJul 6, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $57.0M to $56.6MJul 6, 2020 to Mar 31, 2021
- RAUM · $292M to $302MJul 6, 2020 to Mar 31, 2021
- Accounts · 295 to 330Mar 28, 2019 to Mar 31, 2020
- Charity clients · 4 to 2Mar 28, 2019 to Mar 31, 2020
- HNW clients · 40 to 57Mar 28, 2019 to Mar 31, 2020
- Individual clients · 21 to 20Mar 28, 2019 to Mar 31, 2020
- Discretionary RAUM · $219M to $235MMar 28, 2019 to Mar 31, 2020
- HNW RAUM · $231M to $264MMar 28, 2019 to Mar 31, 2020
- Individual RAUM · $9.0M to $9.8MMar 28, 2019 to Mar 31, 2020
- Non-discretionary RAUM · $44.9M to $57.0MMar 28, 2019 to Mar 31, 2020
- RAUM · $264M to $292MMar 28, 2019 to Mar 31, 2020
- Accounts · 260 to 295Sep 11, 2018 to Mar 28, 2019
- Business name · KPF GLOBAL to PALADIN ADVISORS, LLCSep 11, 2018 to Mar 28, 2019
- Charity clients · 3 to 4Sep 11, 2018 to Mar 28, 2019
- HNW clients · 36 to 40Sep 11, 2018 to Mar 28, 2019
- Individual clients · 14 to 21Sep 11, 2018 to Mar 28, 2019
- Legal name · KPF GLOBAL INVESTMENT STRATEGIES, LLC to PALADIN ADVISORS, LLCSep 11, 2018 to Mar 28, 2019
- Discretionary RAUM · $188M to $219MSep 11, 2018 to Mar 28, 2019
- HNW RAUM · $199M to $231MSep 11, 2018 to Mar 28, 2019
Signals
5 dated events
- Sean Michael Mcmullen left Paladin Advisors, Llc for Citizens Private Wealth (registered 2022-10-01)Oct 3, 2022 · Advisor changed firm · fact
- Jeffrey James Egizi left Paladin Advisors, Llc for Citizens Private Wealth (registered 2022-10-03)Oct 3, 2022 · Advisor changed firm · fact
- 2 advisors left Paladin Advisors, LLC (Kensington, NH) for Citizens Private Wealth on the same dayOct 3, 2022 · Team lift-out · derived
- Natalie Brooke Marin left Paladin Advisors, Llc for Northstar Financial Planning, Llc (registered 2022-04-20)Mar 17, 2022 · Advisor changed firm · fact
- Kpf Global filed its initial SEC registration (Form ADV)Mar 5, 2013 · 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