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
Newfound Research LLC
Latest filing Jul 14, 2026
First filing on the tape Jan 10, 2012 · 34 filings
SEC status approved since Feb 10, 2012
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.1B as of Jul 14, 2026
Mar 13, 2015$80.0M then
HNW client RAUM$0 as of Jul 14, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jul 14, 2026
Mar 27, 20130 then
Employees (5.A)5 as of Jul 14, 2026
Mar 27, 20134 then
Private funds: no history
RAUM +33% over the last fiscal year+184% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 14, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $139MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, otherreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.1B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
- Melissa Anna Cross to Allspring Funds Management, LLCApr 13, 2018 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Corey Hoffstein · Chief Executive Officer, Chief Investment Officer; Chief Technology Officercontrolsince 08/2008 · owns less than 5%
- Michael Corey Hoffstein · Membercontrolsince 08/2010 · owns 75% or more of Newfound Holdings LLC
- Francis Joseph Stowell III · Chief Compliance Officersince 12/2019 · owns less than 5%
Entity owners
- Newfound Holdings LLC · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Thomas Rosedaleinvestment companyy
Advisers that list Newfound Research LLC as a related person
- 165574 y
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 7 to 8Mar 26, 2025 to Feb 23, 2026
- Advisory employees · 2 to 1Mar 26, 2025 to Feb 23, 2026
- Employees · 6 to 5Mar 26, 2025 to Feb 23, 2026
- Discretionary RAUM · $832M to $1.1BMar 26, 2025 to Feb 23, 2026
- RAUM · $832M to $1.1BMar 26, 2025 to Feb 23, 2026
- Accounts · 3 to 7Feb 10, 2025 to Mar 26, 2025
- Financial planning clients · unset to Feb 10, 2025 to Mar 26, 2025
- Discretionary RAUM · $122M to $832MFeb 10, 2025 to Mar 26, 2025
- RAUM · $122M to $832MFeb 10, 2025 to Mar 26, 2025
- HQ city · WELLESLEY HILLS to ST. PETERSBURGSep 16, 2024 to Dec 9, 2024
- HQ state · MA to FLSep 16, 2024 to Dec 9, 2024
- Accounts · 1 to 3Mar 24, 2023 to Mar 14, 2024
- Advisory activities · 3 to 2Mar 24, 2023 to Mar 14, 2024
- Discretionary RAUM · $48.5M to $122MMar 24, 2023 to Mar 14, 2024
- RAUM · $48.5M to $122MMar 24, 2023 to Mar 14, 2024
- BD registered reps · 1 to 0Mar 15, 2022 to Mar 24, 2023
- Employees · 5 to 6Mar 15, 2022 to Mar 24, 2023
- Other offices · 2 to 4Mar 15, 2022 to Mar 24, 2023
- Discretionary RAUM · $89.0M to $48.5MMar 15, 2022 to Mar 24, 2023
- RAUM · $89.0M to $48.5MMar 15, 2022 to Mar 24, 2023
- Related bank · true to falseMar 15, 2022 to Mar 24, 2023
- Discretionary RAUM · $41.4M to $89.0MMar 22, 2021 to Mar 15, 2022
- RAUM · $41.4M to $89.0MMar 22, 2021 to Mar 15, 2022
- Accounts · 9 to 1Mar 29, 2020 to Mar 22, 2021
- Advisory employees · 3 to 2Mar 29, 2020 to Mar 22, 2021
- Employees · 6 to 5Mar 29, 2020 to Mar 22, 2021
- Other offices · 3 to 2Mar 29, 2020 to Mar 22, 2021
- Discretionary RAUM · $115M to $41.4MMar 29, 2020 to Mar 22, 2021
- RAUM · $115M to $41.4MMar 29, 2020 to Mar 22, 2021
- Related bank · false to trueMar 29, 2020 to Mar 22, 2021
- Accounts · 11 to 9Dec 24, 2019 to Mar 29, 2020
- Advisory employees · 2 to 3Dec 24, 2019 to Mar 29, 2020
- Advisory activities · 6 to 3Dec 24, 2019 to Mar 29, 2020
- Other offices · 2 to 3Dec 24, 2019 to Mar 29, 2020
- Discretionary RAUM · $144M to $115MDec 24, 2019 to Mar 29, 2020
- RAUM · $144M to $115MDec 24, 2019 to Mar 29, 2020
- HQ city · BOSTON to WELLESLEY HILLSMar 20, 2019 to Oct 29, 2019
- Accounts · 12 to 11Mar 29, 2018 to Mar 20, 2019
- Advisory employees · 3 to 2Mar 29, 2018 to Mar 20, 2019
- BD registered reps · 3 to 1Mar 29, 2018 to Mar 20, 2019
Signals
3 dated events
- Newfound Research Llc reported RAUM $1.1B, up 33% from $831.8M (2025-03-26 to 2026-02-23)Feb 23, 2026 · RAUM change · derived
- Newfound Research Llc reported RAUM $831.8M, up 581% from $122.1M (2025-02-10 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- Brian Thomas Rosedale (Manager) no longer on Schedule A of Newfound Research Llc (listed 2024-09-16, absent 2024-12-09)Dec 9, 2024 · Control person left · inference
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
- Firm profile
- LINKEDIN.COM/COMPANY/465460reportedpublic record, Form ADV, Sep 18, 2026
- Website
- RETURNSTACKED.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (617) 531-9773reportedpublic record, Form ADV, Jul 14, 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
- Asset manager (funds and pooled vehicles)deriveda 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