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
G••••••• P•••• R••••••••• S•••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Feb 8, 2012 · 38 filings
SEC status approved since Feb 22, 2012
RAUM
$85.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$12.2M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$88.2M as of May 5, 2026
Mar 27, 2013$352M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of May 5, 2026
Mar 27, 20133 then
Employees (5.A)8 as of May 5, 2026
Mar 27, 20133 then
Private funds: no history
RAUM +36% over the last fiscal year+11% a year over threeIARs 6 to 7offices 2 to 3
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $12.2MderivedRAUM 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
- $10.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 68%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 1.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +40%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 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
- Charitable organizations$52.1M61%
- Corporations and businesses$27.3M32%
- Pension and profit-sharing plans$6.0M7.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 8reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.68 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A•• L••••• | P•••••••, Me | Mar 25, 2015 | 30 y | 0 |
| C••••••••• J•••• R•• | P•••••••, Me | Apr 24, 2024 | 30 y | 0 |
| B•••• B•••• M••••• | P•••••••, Me | Feb 28, 2025 | 11 y | 0 |
| T••• M•••••• G••••••••Chartered Financial Consultant | P•••••••, Me | Apr 18, 2025 | 30 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 headcount1 left over 36 months
Left, latest
- A•••••• A••••• D•••• to P••••••• I••••••••• A•••••••• L•••Dec 6, 2023 · Other
- B••• C••••••• C••• to M••••••••• R•••••••••Nov 23, 2015 · Other
Joined, latest
- A•••••• A••••• D•••• from G••••••• P•••• A•••••••• L••Aug 29, 2013 · Other
- B••• C••••••• C••• from G••••••• P•••• A•••••••• L••Jul 16, 2012 · Other
- A••••• J•• W••••• from M•••••••• G••••• I•••Feb 28, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• A•••••• J•• · Chief Executive Officer/Chief Compliance Officercontrolsince 12/2011 · owns 50% to 75%
- D•••••• W•••••• A••••• · Ownersince 03/2012 · owns 10% to 25%
- S••••• B•••••••• J•••• · Chief Investment Officersince 03/2012 · owns 10% to 25%
Entity owners
- C••••• N••••••• C••••••••• · Ownerdirect · owns 10% to 25% · public reporting company
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 |
|---|---|---|---|---|---|
| P•••••••, Me · principal | 7 | 0 | 0 | ||
| Bangor, Me | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bangor, ME2 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Feb 18, 2026RAUM (Item 5.F) moved from $62,861,825 to $88,207,933 (+40.0%) between the annual amendments of 2025-03-25 and 2026-02-18; the peer median change was -29.0% (41 comparable advisers, 100.0th percentile of changes)peers: other advisers, under $100M (41) · 100% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0May 5, 2026 to Sep 17, 2026
- Discretionary RAUM · $88.2M to $85.4MMay 5, 2026 to Sep 17, 2026
- RAUM · $88.2M to $85.4MMay 5, 2026 to Sep 17, 2026
- Succession · false to unsetMay 5, 2026 to Sep 17, 2026
- Accounts · 6 to 8Jan 5, 2026 to Feb 18, 2026
- Corporate clients · 2 to 3Jan 5, 2026 to Feb 18, 2026
- Employees · 7 to 8Jan 5, 2026 to Feb 18, 2026
- State-registered IARs · 6 to 7Jan 5, 2026 to Feb 18, 2026
- Other offices · 2 to 3Jan 5, 2026 to Feb 18, 2026
- Discretionary RAUM · $62.9M to $88.2MJan 5, 2026 to Feb 18, 2026
- Pension RAUM · $5.4M to $6.0MJan 5, 2026 to Feb 18, 2026
- RAUM · $62.9M to $88.2MJan 5, 2026 to Feb 18, 2026
- Related adviser · false to trueJan 5, 2026 to Feb 18, 2026
- Accounts · 8 to 6Sep 24, 2024 to Mar 25, 2025
- Advisory employees · 4 to 6Sep 24, 2024 to Mar 25, 2025
- Charity clients · 1 to 2Sep 24, 2024 to Mar 25, 2025
- Corporate clients · 5 to 2Sep 24, 2024 to Mar 25, 2025
- Employees · 5 to 7Sep 24, 2024 to Mar 25, 2025
- Insurance-licensed employees · 4 to 3Sep 24, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Sep 24, 2024 to Mar 25, 2025
- State-registered IARs · 4 to 6Sep 24, 2024 to Mar 25, 2025
- Other offices · 3 to 2Sep 24, 2024 to Mar 25, 2025
- Discretionary RAUM · $64.3M to $62.9MSep 24, 2024 to Mar 25, 2025
- Pension RAUM · $10.2M to $5.4MSep 24, 2024 to Mar 25, 2025
- RAUM · $64.3M to $62.9MSep 24, 2024 to Mar 25, 2025
- Accounts · 9 to 8Mar 1, 2023 to Mar 2, 2024
- Advisory employees · 6 to 4Mar 1, 2023 to Mar 2, 2024
- Charity clients · 3 to 1Mar 1, 2023 to Mar 2, 2024
- Corporate clients · 2 to 5Mar 1, 2023 to Mar 2, 2024
- Pension plan clients · 4 to 2Mar 1, 2023 to Mar 2, 2024
- Employees · 7 to 5Mar 1, 2023 to Mar 2, 2024
- Financial planning clients · unset to 0Mar 1, 2023 to Mar 2, 2024
- State-registered IARs · 6 to 4Mar 1, 2023 to Mar 2, 2024
- Discretionary RAUM · $62.7M to $64.3MMar 1, 2023 to Mar 2, 2024
- Pension RAUM · $16.7M to $10.2MMar 1, 2023 to Mar 2, 2024
- RAUM · $62.7M to $64.3MMar 1, 2023 to Mar 2, 2024
- Advisory employees · 5 to 6Jan 10, 2023 to Mar 1, 2023
- Employees · 5 to 7Jan 10, 2023 to Mar 1, 2023
- State-registered IARs · 5 to 6Jan 10, 2023 to Mar 1, 2023
- Discretionary RAUM · $73.8M to $62.7MJan 10, 2023 to Mar 1, 2023
Signals
1 dated events
- A•••••• A••••• D•••• left G••••••• P•••• R••••••••• S•••••••• L•• for P••••••• I••••••••• A•••••••• L••• (registered 2025-07-07)Dec 6, 2023 · Advisor changed firm · 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
- Firm profile
- linkedin.com/company/guidance-point-retirement-servicesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- G•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 207-358-3099reportedpublic record, Form ADV, Sep 17, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $12.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026