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
Montis Financial, LLC
Latest filing Mar 18, 2026
First filing on the tape Apr 10, 2012 · 49 filings
SEC status approved since Apr 27, 2012
RAUM
$1.3B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$1.3B individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$74.1M
derived; firm RAUM over IAPD count
Employees
26
16 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$1.3B as of Mar 18, 2026
Feb 20, 2013$383M then
HNW client RAUM$1.1B as of Mar 18, 2026
Mar 29, 2018$444M then
State-registered IARs (5.B.3)16 as of Mar 18, 2026
Feb 20, 20133 then
Employees (5.A)26 as of Mar 18, 2026
Feb 20, 20136 then
Private funds: no history
RAUM n/a over the last fiscal year+27% a year over three
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- 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)
- RAUM per advisor
- $74.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $637,111derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.4derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $14.1M, 10 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B91%
- Individuals$109M8.6%
- Corporations and businesses$3.4M0.3%
- Individual clients
- 277reported
- HNW clients
- 303reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,976reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $14.1M for 10 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
17 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Christiane Shields DelessertCertified Financial Planner | Waltham, Ma | Apr 30, 2012 | 45 y | 3 |
| Randall Krail SchaibleCertified Financial Planner, Chartered Financial Analyst | Norristown, Pa | Nov 23, 2016 | 10 y | 0 |
| John Michael Yanchek | Waltham, Ma | Dec 15, 2021 | 14 y | 0 |
| Tucker Patrick Donahoe | Waltham, Ma | Dec 15, 2021 | 12 y | 1 |
| Brian W BurkeCertified Financial Planner | Waltham, Ma | Jul 19, 2022 | 28 y | 2 |
| Dennis Eugene Follmer | Waltham, Ma | May 10, 2023 | 33 y | 0 |
| Claudine Patrice SchrockCertified Financial Planner | Waltham, Ma | Jun 30, 2023 | 23 y | 1 |
| Timothy Robert Brown | Boise, Id | Dec 14, 2023 | 28 y | 4 |
| Cameron GastCertified Financial Planner | Waltham, Ma | May 1, 2024 | 10 y | 4 |
| Robert Edward Whelan | Waltham, Ma | May 15, 2024 | 38 y | 7 |
| Daniel Jay Traub | Waltham, Ma | Oct 3, 2024 | 27 y | 2 |
| Christopher Mark TildenCertified Financial Planner | Manchester, Nh | Oct 11, 2024 | 19 y | 2 |
| Casandra Ann Johnson | Waltham, Ma | Nov 5, 2024 | 18 y | 3 |
| Denis Colin HigginsCertified Financial Planner, Chartered Financial Analyst | Waltham, Ma | Mar 13, 2025 | 32 y | 1 |
| Stephen Woolf BatzellChartered Financial Analyst | Waltham, Ma | Aug 25, 2025 | 33 y | 2 |
| Joseph Bragdon | Waltham, Ma | Jan 1, 2026 | 53 y | 0 |
| Christopher Thomas AssadCertified Financial Planner | Waltham, Ma | May 1, 2026 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.9% of current headcount3 left over 36 months
Left, latest
- Michael Joseph Cappadona to Seven Mile Advisory LLCDec 18, 2025 · RIA to RIA
- Mariah Marie Maines to Advice And Planning ServicesJun 25, 2025 · RIA to affiliated broker-dealer or bank
- Jessica Aiken Scola to Sound View Financial AdvisorsAug 29, 2024 · RIA to a state-registered adviser
- Jonathan M Ullman to Truefocus Financial PartnersMay 8, 2023 · RIA to a state-registered adviser
- Mary Kathryn Konetzny to Truefocus Financial PartnersMay 8, 2023 · RIA to a state-registered adviser
Joined, latest
- Stephen Woolf Batzell from Abacus Financial AdvisorsAug 25, 2025 · Other
- Denis Colin Higgins from Ewm Wealth Management LLCMar 13, 2025 · Other
- Mariah Marie Maines from Financial Navigators Inc.Nov 5, 2024 · RIA to RIA
- Casandra Ann Johnson from Financial Navigators Inc.Nov 5, 2024 · RIA to RIA
- Christopher Mark Tilden from Financial Navigators Inc.Oct 11, 2024 · RIA to RIA
- Daniel Jay Traub from Tempo Financial Advisors, LLCOct 3, 2024 · Other
- Robert Edward Whelan from LidoMay 15, 2024 · RIA to RIA
- Cameron Gast from Charles Schwab & Co., Inc.May 1, 2024 · Affiliated broker-dealer or bank to independent RIA
- Timothy Robert Brown from 360 Family Office, LLCDec 14, 2023 · Other
- Claudine Patrice Schrock from Rwa Wealth PartnersJun 30, 2023 · RIA to RIA
- Brian W Burke from Morgan StanleyJul 19, 2022 · Wirehouse to independent RIA
- Tucker Patrick Donahoe from Putnam Investment Management, LLCDec 15, 2021 · Other
- Mary Kathryn Konetzny from Rwa Wealth PartnersFeb 6, 2018 · Other
- Christiane Shields Delessert from Delessert Financial Services IncApr 30, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Truefocus Financial PartnersMay 8, 2023 · Waltham, Ma
- 3 joined from Financial Navigators Inc.Oct 8, 2024 · Littleton, Ma · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Patrick Tucker Donahoe · Managing Partnercontrolsince 12/2021 · owns less than 5%
- Eugene Dennis Follmer · Chief Investment Officercontrolsince 10/2022 · owns less than 5%
- Nmn Adrian Ketri · Chief Compliance Officercontrolsince 09/2025 · owns less than 5%
- To Judy Weeden · Chief Operating Officercontrolsince 08/2024 · owns less than 5%
- Michael John Yanchek · Chief Executive Officercontrolsince 12/2021 · owns less than 5%
Entity owners
- Montis Holdco, LLC · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Waltham, Ma · principal | 17 | 2 | 1 | ||
| Quincy, Ma | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 18, 2026KETRI, ADRIAN, NMN (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2023-01-17 and 2026-03-18peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 18, 2026WEEDEN, JUDY, TO (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2023-01-17 and 2026-03-18peers: independent wealth managers, $1B to $5B (1,360)
- acquired advisors left within a yearCombination · filing Oct 8, 20241 of the 3 advisors who moved from FINANCIAL NAVIGATORS INC. to MONTIS FINANCIAL, LLC on 2024-10-08 had left the acquirer within 365 dayspeers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 1,937 to 1,976Oct 24, 2025 to Mar 18, 2026
- Advisory employees · 17 to 16Oct 24, 2025 to Mar 18, 2026
- HNW clients · 286 to 303Oct 24, 2025 to Mar 18, 2026
- Individual clients · 255 to 277Oct 24, 2025 to Mar 18, 2026
- Assets in custody · $33.2M to $14.1MOct 24, 2025 to Mar 18, 2026
- State-registered IARs · 17 to 16Oct 24, 2025 to Mar 18, 2026
- Discretionary RAUM · $972M to $1.2BOct 24, 2025 to Mar 18, 2026
- HNW RAUM · $115M to $1.1BOct 24, 2025 to Mar 18, 2026
- Individual RAUM · $897M to $109MOct 24, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $40.9M to $40.9MOct 24, 2025 to Mar 18, 2026
- RAUM · $1.0B to $1.3BOct 24, 2025 to Mar 18, 2026
- Financial planning clients · More than 500 to More than 500May 1, 2025 to Jun 23, 2025
- Accounts · 1,035 to 1,937Oct 19, 2024 to May 1, 2025
- Advisory employees · 10 to 17Oct 19, 2024 to May 1, 2025
- Advisory activities · 3 to 4Oct 19, 2024 to May 1, 2025
- HNW clients · 127 to 286Oct 19, 2024 to May 1, 2025
- Individual clients · 120 to 255Oct 19, 2024 to May 1, 2025
- Assets in custody · $337M to $33.2MOct 19, 2024 to May 1, 2025
- Employees · 15 to 26Oct 19, 2024 to May 1, 2025
- Financial planning clients · 101-250 to More than 500Oct 19, 2024 to May 1, 2025
- State-registered IARs · 10 to 17Oct 19, 2024 to May 1, 2025
- Other offices · 0 to 6Oct 19, 2024 to May 1, 2025
- Discretionary RAUM · $622M to $972MOct 19, 2024 to May 1, 2025
- HNW RAUM · $577M to $115MOct 19, 2024 to May 1, 2025
- Individual RAUM · $61.5M to $897MOct 19, 2024 to May 1, 2025
- Non-discretionary RAUM · $17.2M to $40.9MOct 19, 2024 to May 1, 2025
- RAUM · $639M to $1.0BOct 19, 2024 to May 1, 2025
- Accounts · 1,191 to 1,035Dec 11, 2023 to Mar 19, 2024
- Advisory employees · 8 to 10Dec 11, 2023 to Mar 19, 2024
- HNW clients · 133 to 127Dec 11, 2023 to Mar 19, 2024
- Individual clients · 126 to 120Dec 11, 2023 to Mar 19, 2024
- Assets in custody · $336M to $337MDec 11, 2023 to Mar 19, 2024
- Employees · 13 to 15Dec 11, 2023 to Mar 19, 2024
- Financial planning clients · 251-500 to 101-250Dec 11, 2023 to Mar 19, 2024
- State-registered IARs · 8 to 10Dec 11, 2023 to Mar 19, 2024
- Discretionary RAUM · $619M to $622MDec 11, 2023 to Mar 19, 2024
- HNW RAUM · $584M to $577MDec 11, 2023 to Mar 19, 2024
- Individual RAUM · $36.8M to $61.5MDec 11, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $1.7M to $17.2MDec 11, 2023 to Mar 19, 2024
- RAUM · $621M to $639MDec 11, 2023 to Mar 19, 2024
Signals
15 dated events
- Michael Joseph Cappadona left Montis Financial, Llc for Seven Mile Advisory Llc (registered 2026-04-16)Dec 18, 2025 · Advisor changed firm · fact
- Mariah Marie Maines left Montis Financial, Llc for Advice And Planning Services (registered 2026-01-07)Jun 25, 2025 · Advisor changed firm · fact
- Montis Financial, Llc reported RAUM $1.0B, up 58% from $638.8M (2024-10-19 to 2025-05-01)May 1, 2025 · RAUM change · derived
- Montis Financial, Llc reported 6 offices beyond its principal office, up from 0 (2024-10-19 to 2025-05-01)May 1, 2025 · Office count change · derived
- Financial Navigators Inc.'s advisors moved to Montis Financial, LLC (Littleton, MA): 3 of 3 registered, on the same dayOct 8, 2024 · Firm absorbed (people side) · derived
- Jessica Aiken Scola left Montis Financial, Llc for Sound View Financial Advisors (registered 2024-09-23)Aug 29, 2024 · Advisor changed firm · fact
- M Jonathan Ullman (Vice President & Chief Compliance Officer) no longer on Schedule A of Montis Financial, Llc (listed 2023-03-27, absent 2023-06-09)Jun 9, 2023 · Control person left · inference
- Mary Kathryn Konetzny left Montis Financial, Llc for Truefocus Financial Partners (registered 2023-09-25)May 8, 2023 · Advisor changed firm · fact
- Jonathan M Ullman left Montis Financial, Llc for Truefocus Financial Partners (registered 2023-09-25)May 8, 2023 · Advisor changed firm · fact
- 2 advisors left Montis Financial, LLC (Waltham, MA) for Truefocus Financial Partners on the same dayMay 8, 2023 · Team lift-out · derived
- Eugene Dennis Follmer (Chief Investment Officer) appeared on Schedule A of Montis Financial, LlcJan 17, 2023 · Control person joined · fact
- Michael John Yanchek (Managing Partner) appeared on Schedule A of Montis Financial, LlcJan 7, 2022 · Control person joined · fact
- Patrick Tucker Donahoe (Managing Partner) appeared on Schedule A of Montis Financial, LlcJan 7, 2022 · Control person joined · fact
- Jon Christopher Dalto (Member, President) no longer on Schedule A of Montis Financial, Llc (listed 2021-05-04, absent 2022-01-07)Jan 7, 2022 · Control person left · inference
- Shields Christiane Delessert (Chairman) no longer on Schedule A of Montis Financial, Llc (listed 2019-06-14, absent 2020-03-18)Mar 18, 2020 · 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
- Business email
- info@montisfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-541-5057reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/montis-financial-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- montisfinancial.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 781-541-5057reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- montisfinancial.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- montisfinancial.com/about-us/meet-our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $74.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026