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

Spearhead Capital Advisors, LLC

Former SEC-registered adviserWellington, FloridaCRD 161131SEC 801-108482IAPD
Latest filing Jul 29, 2022
First filing on the tape Sep 28, 2016 · 51 filings
RAUM
$1.9B
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
70%
$1.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
27
19 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
3
$25.2M gross assets
History
51 filings and snapshots on the tape
RAUM$1.9B as of Mar 31, 2022
Mar 28, 2017$229M then
HNW client RAUM$1.3B as of Mar 31, 2022
Mar 28, 2018$525M then
State-registered IARs (5.B.3)20 as of Mar 31, 2022
Mar 28, 20172 then
Employees (5.A)27 as of Mar 31, 2022
Mar 28, 20177 then
Private funds6 as of Mar 31, 2022
Mar 28, 20176 then
RAUM +43% over the last fiscal year+35% a year over threeIARs 24 to 20offices 12 to 8
Practice profile
derived from the filing of Jul 29, 2022; every figure names its basis
RAUM per advisor
$94.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
5derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$23.0MderivedHNW RAUM over HNW clients
Average account
$3.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
81%derivedof RAUM
Institutional
18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
2.2derived9 offices incl. principal (1.F.5)
RAUM growth, one year
+43%derivedbetween the last two annual amendments
Advisor growth, one year
-17%derivedItem 5.B.3 between annual amendments
Client growth, one year
+27%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Wrap fee program
$694MreportedItem 5.I
Custody
$172M, 7 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.3B69%
  • Insurance companies$341M18%
  • Pooled investment vehicles$185M9.8%
  • Corporations and businesses$32.6M1.7%
  • Individuals$24.4M1.3%
  • Charitable organizations$1.3M0.1%
Individual clients
43reported
HNW clients
57reported
Pension plan clients
n/areported
Charitable clients
3reported
Accounts
567reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$172M for 7 clientsreported
Compensation
% of AUM, performancereported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    8 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Spearhead Insurance Solution Idf Caymanno longer reportedHedge Fund$24.9M1Mar 28, 2018
    Spearhead Ls Facility, LLCOther Private Fund$23.2M50Jun 9, 2020
    Spearhead Insurance Solutions Idf, LLC Series Eno longer reportedHedge Fund$12.0M1Sep 28, 2016
    Spearhead Insurance Solutions Idf, LLC Series Cno longer reportedHedge Fund$11.1M1Sep 28, 2016
    Spearhead Insurance Solutions Idf, LLC Series Sno longer reportedHedge Fund$3.2M1Sep 28, 2016
    Spearhead Game1, LLCPrivate Equity Fund$2.0M4Oct 20, 2021
    Fa Series Fund, LLC Series 2.001no longer reportedHedge Fund$1.5M1Sep 28, 2016
    Spearhead Insurance Solutions Idf, LLC Series Bno longer reportedHedge Fund$640,8251Sep 28, 2016
    Owners and control persons
    Schedule A and B, latest filing
    • Todd Jarrett Bostwick · General Counsel And Elected Managercontrol
      since 03/2016 · owns less than 5%
    • Renee Alyson Kest · Chief Compliance Officercontrol
      since 01/2021 · owns less than 5%
    • Paul Timothy Troutman · Coocontrol
      since 05/2016 · owns less than 5%
    • Matthew Todd Walters · Ceo, Cio And Elected Managercontrol
      since 03/2016 · owns less than 5%
    • Todd Jarrett Bostwick · Managing Membercontrol
      since 01/2013 · owns 75% or more of Abstrum Partners, LLC
    • Todd Jarrett Bostwick · Elected Managercontrol
      since 01/2013 · owns F of Spearhead Strategic Partners, LLC
    • Colleen Shapiro · Ownercontrol
      since 05/2011 · owns 50% to 75% of Fieldstone II, LLC
    • L Gary Shapiro · Managing Membercontrol
      since 12/2008 · owns 50% to 75% of Fieldstone II, LLC
    • Matthew Todd Walters · Elected Managercontrol
      since 01/2013 · owns F of New Vernon Financial, LLC
    • Anne Tracey Walters · Ownercontrol
      since 01/2013 · owns 50% to 75% of New Vernon Financial, LLC
    Entity owners
    • Spearhead Strategic Partners, LLC · Owner
      direct · owns 75% or more
    • Abstrum Partners, LLC · Owner
      indirect · owns 25% to 50% of Spearhead Strategic Partners, LLC
    • Fieldstone II, LLC · Owner
      indirect · owns 25% to 50% of Spearhead Strategic Partners, LLC
    • New Vernon Financial, LLC · Owner
      indirect · owns 25% to 50% of Spearhead Strategic Partners, LLC
    Related persons
    Schedule D 7.A
    • Game On Gp, LLC
      pooled vehicle sponsorn
    • Jarrett Bostwick
      n
    • Spearhead Administrative Services, LLC
      investment advisernRAUM $3.8B
    • Spearhead Capital, LLC
      broker-dealerreal estaten
    • Spearhead Falcons Gp, LLC
      pooled vehicle sponsorn
    • Spearhead Idf Partners, LLC
      pooled vehicle sponsorn
    • Spearhead Ls Gp, LLC
      pooled vehicle sponsorn
    • Spearhead Ventures, LLC
      pooled vehicle sponsorn
    Advisers that list Spearhead Capital Advisors, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Beverly, MA4 employees
    • Charlestown, MA2 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Private funds · 6 to 3
      Apr 19, 2022 to Jul 29, 2022
    • Other offices · 9 to 8
      Mar 31, 2022 to Apr 19, 2022
    • Related adviser · false to true
      Mar 31, 2022 to Apr 19, 2022
    • Accounts · 389 to 567
      Jan 19, 2022 to Mar 31, 2022
    • Advisory employees · 23 to 19
      Jan 19, 2022 to Mar 31, 2022
    • Charity clients · unset to 3.0
      Jan 19, 2022 to Mar 31, 2022
    • Corporate clients · unset to 3.0
      Jan 19, 2022 to Mar 31, 2022
    • HNW clients · 51 to 57
      Jan 19, 2022 to Mar 31, 2022
    • Individual clients · 28 to 43
      Jan 19, 2022 to Mar 31, 2022
    • Pooled vehicle clients · 3 to 6
      Jan 19, 2022 to Mar 31, 2022
    • Assets in custody · $123M to $172M
      Jan 19, 2022 to Mar 31, 2022
    • Employees · 32 to 27
      Jan 19, 2022 to Mar 31, 2022
    • State-registered IARs · 24 to 20
      Jan 19, 2022 to Mar 31, 2022
    • Private funds · 5 to 6
      Jan 19, 2022 to Mar 31, 2022
    • Discretionary RAUM · $1.1B to $1.5B
      Jan 19, 2022 to Mar 31, 2022
    • HNW RAUM · $1.0B to $1.3B
      Jan 19, 2022 to Mar 31, 2022
    • Individual RAUM · $19.9M to $24.4M
      Jan 19, 2022 to Mar 31, 2022
    • Non-discretionary RAUM · $255M to $357M
      Jan 19, 2022 to Mar 31, 2022
    • Pooled vehicle RAUM · $48.2M to $185M
      Jan 19, 2022 to Mar 31, 2022
    • RAUM · $1.3B to $1.9B
      Jan 19, 2022 to Mar 31, 2022
    • Other offices · 11 to 9
      Jan 18, 2022 to Jan 19, 2022
    • Private funds · 4 to 5
      Aug 31, 2021 to Oct 20, 2021
    • Other offices · 12 to 11
      Mar 31, 2021 to Aug 31, 2021
    • Private funds · 3 to 4
      Mar 31, 2021 to Aug 31, 2021
    • Accounts · 290 to 389
      Feb 18, 2021 to Mar 31, 2021
    • Advisory employees · 10 to 23
      Feb 18, 2021 to Mar 31, 2021
    • BD registered reps · 5 to 10
      Feb 18, 2021 to Mar 31, 2021
    • Charity clients · 2.0 to unset
      Feb 18, 2021 to Mar 31, 2021
    • Corporate clients · 2.0 to unset
      Feb 18, 2021 to Mar 31, 2021
    • HNW clients · 38 to 51
      Feb 18, 2021 to Mar 31, 2021
    • Individual clients · 26 to 28
      Feb 18, 2021 to Mar 31, 2021
    • Pooled vehicle clients · 2 to 3
      Feb 18, 2021 to Mar 31, 2021
    • Assets in custody · $29.8M to $123M
      Feb 18, 2021 to Mar 31, 2021
    • Employees · 24 to 32
      Feb 18, 2021 to Mar 31, 2021
    • State-registered IARs · 18 to 24
      Feb 18, 2021 to Mar 31, 2021
    • Other offices · 8 to 12
      Feb 18, 2021 to Mar 31, 2021
    • Discretionary RAUM · $758M to $1.1B
      Feb 18, 2021 to Mar 31, 2021
    • HNW RAUM · $663M to $1.0B
      Feb 18, 2021 to Mar 31, 2021
    • Individual RAUM · $8.9M to $19.9M
      Feb 18, 2021 to Mar 31, 2021
    • Non-discretionary RAUM · $123M to $255M
      Feb 18, 2021 to Mar 31, 2021
    Signals
    22 dated events
    • Kenneth Eugene Foley left Spearhead Capital Advisors, Llc for Spearhead Administrative Services, Llc (registered 2022-04-25)
      Dec 31, 2022 · Advisor changed firm · fact
    • Alyson Renee Kest left Spearhead Capital Advisors, Llc for Spearhead Administrative Services, Llc (registered 2022-04-27)
      Dec 31, 2022 · Advisor changed firm · fact
    • Patrick Edward Walsh left Spearhead Capital Advisors, Llc for Spearhead Administrative Services, Llc (registered 2022-04-25)
      Dec 31, 2022 · Advisor changed firm · fact
    • David Cook Reynolds left Spearhead Capital Advisors, Llc for Spearhead Administrative Services, Llc (registered 2025-01-01)
      Dec 31, 2022 · Advisor changed firm · fact
    • Richard Angus West left Spearhead Capital Advisors, Llc for Rockefeller Capital Management (registered 2023-08-17)
      Dec 31, 2022 · Advisor changed firm · fact
    • 2 advisors left Spearhead Capital Advisors, LLC (Wellington, FL) for Spearhead Administrative Services, LLC on the same day
      Dec 31, 2022 · Team lift-out · derived
    • Corey Tiller left Spearhead Capital Advisors, Llc for Rockefeller Capital Management (registered 2022-07-21)
      Jun 30, 2022 · Advisor changed firm · fact
    • Christopher Lee Fineburg left Spearhead Capital Advisors, Llc for Rockefeller Capital Management (registered 2022-06-02)
      Jun 30, 2022 · Advisor changed firm · fact
    • Brandon Jason Avergon left Spearhead Capital Advisors, Llc for Rockefeller Capital Management (registered 2022-06-13)
      Jun 30, 2022 · Advisor changed firm · fact
    • Teresa Denise Armel left Spearhead Capital Advisors, Llc for Rockefeller Capital Management (registered 2022-06-14)
      Jun 30, 2022 · Advisor changed firm · fact
    • James Timothy Hickey left Spearhead Capital Advisors, Llc for Alternative Risk Strategies Llc (registered 2022-07-22)
      Jun 30, 2022 · Advisor changed firm · fact
    • Jarrett Todd Bostwick left Spearhead Capital Advisors, Llc for Rockefeller Capital Management (registered 2022-06-01)
      Jun 30, 2022 · Advisor changed firm · fact
    • Christopher Adam Shepherd left Spearhead Capital Advisors, Llc for Rockefeller Capital Management (registered 2022-08-23)
      Jun 30, 2022 · Advisor changed firm · fact
    • Todd Matthew Walters left Spearhead Capital Advisors, Llc for Rockefeller Capital Management (registered 2022-06-01)
      Jun 30, 2022 · Advisor changed firm · fact
    • 4 advisors left Spearhead Capital Advisors, LLC (Wellington, FL) for Rockefeller Capital Management on the same day
      Jun 30, 2022 · Team lift-out · derived
    • 2 advisors left Spearhead Capital Advisors, LLC (Beverly, MA) for Rockefeller Capital Management on the same day
      Jun 30, 2022 · Team lift-out · derived
    • Spearhead Capital Advisors, Llc reported RAUM $1.9B, up 43% from $1.3B (2022-01-19 to 2022-03-31)
      Mar 31, 2022 · RAUM change · derived
    • Spearhead Capital Advisors, Llc reported RAUM $1.3B, up 50% from $880.9M (2021-02-18 to 2021-03-31)
      Mar 31, 2021 · RAUM change · derived
    • Renee Alyson Kest (Chief Compliance Officer) appeared on Schedule A of Spearhead Capital Advisors, Llc
      Jan 29, 2021 · Control person joined · fact
    • Thomas Michael Rasmussen (Chief Compliance Officer) no longer on Schedule A of Spearhead Capital Advisors, Llc (listed 2020-03-30, absent 2020-04-22)
      Apr 22, 2020 · Control person left · inference
    • Spearhead Capital Advisors, Llc reported RAUM $632.4M, up 28% from $493.8M (2018-02-21 to 2018-03-28)
      Mar 28, 2018 · RAUM change · derived
    • Spearhead Capital Advisors, Llc filed its initial SEC registration (Form ADV)
      Sep 28, 2016 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    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