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
Concordia Wealth Management, LLC
Latest filing Mar 16, 2026
First filing on the tape Mar 27, 2013 · 22 filings
SEC status approved since Apr 2, 2013
RAUM
$197M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
79%
$156M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$98.6M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$197M as of Mar 16, 2026
Mar 25, 2014$124M then
HNW client RAUM$152M as of Mar 16, 2026
Mar 19, 2018$115M then
State-registered IARs (5.B.3)2 as of Mar 16, 2026
Mar 25, 20141 then
Employees (5.A)4 as of Mar 16, 2026
Mar 25, 20144 then
Private funds: no history
RAUM +4.5% over the last fiscal year+7.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $98.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$152M77%
- Corporations and businesses$41.0M21%
- Individuals$3.6M1.9%
- Individual clients
- 7reported
- HNW clients
- 40reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 116reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.79 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert Rodriguez | Concord, Ma | Aug 8, 2012 | 20 y | 2 |
| James Patrick Daron | Chelmsford, Ma | Mar 9, 2015 | 13 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Robert Rodriguez from Finaccess Advisors LLCAug 8, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Robert Rodriguez · Managing Member And Chief Compliance Officercontrolsince 05/2012 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Concord, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 119 to 116Feb 10, 2026 to Mar 16, 2026
- Corporate clients · 7 to 6Feb 10, 2026 to Mar 16, 2026
- HNW clients · 39 to 40Feb 10, 2026 to Mar 16, 2026
- Individual clients · 8 to 7Feb 10, 2026 to Mar 16, 2026
- Employees · 3 to 4Feb 10, 2026 to Mar 16, 2026
- Discretionary RAUM · $178M to $186MFeb 10, 2026 to Mar 16, 2026
- HNW RAUM · $144M to $152MFeb 10, 2026 to Mar 16, 2026
- Individual RAUM · $4.4M to $3.6MFeb 10, 2026 to Mar 16, 2026
- Non-discretionary RAUM · $10.8M to $11.3MFeb 10, 2026 to Mar 16, 2026
- RAUM · $189M to $197MFeb 10, 2026 to Mar 16, 2026
- Accounts · 123 to 119Mar 13, 2024 to Mar 12, 2025
- HNW clients · 37 to 39Mar 13, 2024 to Mar 12, 2025
- Individual clients · 14 to 8Mar 13, 2024 to Mar 12, 2025
- Financial planning clients · 51-100 to 51-100Mar 13, 2024 to Mar 12, 2025
- Discretionary RAUM · $160M to $178MMar 13, 2024 to Mar 12, 2025
- HNW RAUM · $127M to $144MMar 13, 2024 to Mar 12, 2025
- Individual RAUM · $7.3M to $4.4MMar 13, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $10.1M to $10.8MMar 13, 2024 to Mar 12, 2025
- RAUM · $170M to $189MMar 13, 2024 to Mar 12, 2025
- Accounts · 122 to 123Sep 27, 2023 to Mar 13, 2024
- HNW clients · 35 to 37Sep 27, 2023 to Mar 13, 2024
- Individual clients · 15 to 14Sep 27, 2023 to Mar 13, 2024
- Discretionary RAUM · $149M to $160MSep 27, 2023 to Mar 13, 2024
- HNW RAUM · $111M to $127MSep 27, 2023 to Mar 13, 2024
- Individual RAUM · $8.0M to $7.3MSep 27, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $9.3M to $10.1MSep 27, 2023 to Mar 13, 2024
- RAUM · $158M to $170MSep 27, 2023 to Mar 13, 2024
- Other offices · 0 to 1Mar 28, 2023 to Sep 27, 2023
- Accounts · 114 to 122Mar 1, 2022 to Mar 28, 2023
- HNW clients · 32 to 35Mar 1, 2022 to Mar 28, 2023
- Individual clients · 14 to 15Mar 1, 2022 to Mar 28, 2023
- Discretionary RAUM · $171M to $149MMar 1, 2022 to Mar 28, 2023
- HNW RAUM · $129M to $111MMar 1, 2022 to Mar 28, 2023
- Individual RAUM · $8.4M to $8.0MMar 1, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $10.6M to $9.3MMar 1, 2022 to Mar 28, 2023
- RAUM · $182M to $158MMar 1, 2022 to Mar 28, 2023
- Accounts · 120 to 114Mar 23, 2021 to Mar 1, 2022
- HNW clients · 39 to 32Mar 23, 2021 to Mar 1, 2022
- Individual clients · 9 to 14Mar 23, 2021 to Mar 1, 2022
- Discretionary RAUM · $169M to $171MMar 23, 2021 to Mar 1, 2022
Signals
1 dated events
- Concordia Wealth Management, Llc filed its initial SEC registration (Form ADV)Mar 27, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Concordia Wealth Management, LLC · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- (978) 371-7044reportedpublic record, Form ADV, Mar 16, 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
- $98.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026