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.
Latest filing Aug 4, 2026
First filing on the tape Jun 24, 2013 · 32 filings
SEC status approved since Jul 10, 2013
RAUM
$2.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
71%
$2.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.8M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$2.8M as of Aug 4, 2026
Aug 1, 2014$500 then
HNW client RAUM$0 as of Aug 4, 2026
Mar 22, 2021$0 then
State-registered IARs (5.B.3)1 as of Aug 4, 2026
Aug 1, 20141 then
Employees (5.A)1 as of Aug 4, 2026
Aug 1, 20149 then
Private funds: no history
RAUM +32% over the last fiscal year+0.4% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Aug 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $2.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 139derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $15,697derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +76%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $423,768reportedItem 5.I
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$2.0M71%
- Other investment advisers$827,15029%
- Individual clients
- 139reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 180reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $1.7M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.71 fund_share=0.29 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Christopher Dalton LavineChartered Financial Analyst | Solana Beach, Ca | Jul 31, 2026 | 17 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Josephine Margaret Hartigan · Ceocontrolsince 11/2012 · owns less than 5%
- Dalton Christopher Lavine · Chief Financial Officercontrolsince 12/2017 · owns less than 5%
- Josephine Margaret Hartigan · Shareholdercontrolsince 06/2011 · owns 25% to 50% of Marstone, Inc
- James Uruba · Chief Compliance Officersince 10/2020 · owns less than 5%
Entity owners
- Marstone, Inc · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 1Mar 24, 2026 to Aug 4, 2026
- Employees · 21 to 1Mar 24, 2026 to Aug 4, 2026
- HQ city · PROVIDENCE to Mar 24, 2026 to Aug 4, 2026
- HQ state · RI to Mar 24, 2026 to Aug 4, 2026
- State-registered IARs · 0 to 1Mar 24, 2026 to Aug 4, 2026
- Related adviser · false to trueMar 24, 2026 to Aug 4, 2026
- Accounts · 154 to 180Oct 22, 2025 to Mar 24, 2026
- Individual clients · 79 to 139Oct 22, 2025 to Mar 24, 2026
- Discretionary RAUM · $2.1M to $2.8MOct 22, 2025 to Mar 24, 2026
- Individual RAUM · $423,768 to $2.0MOct 22, 2025 to Mar 24, 2026
- RAUM · $2.1M to $2.8MOct 22, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Oct 22, 2025
- Accounts · 115 to 154Mar 6, 2024 to Mar 28, 2025
- Individual clients · 31 to 79Mar 6, 2024 to Mar 28, 2025
- Employees · 29 to 21Mar 6, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.5M to $2.1MMar 6, 2024 to Mar 28, 2025
- Individual RAUM · $148,578 to $423,768Mar 6, 2024 to Mar 28, 2025
- RAUM · $2.5M to $2.1MMar 6, 2024 to Mar 28, 2025
- Wrap assets (manager) · $2.3M to $1.7MMar 6, 2024 to Mar 28, 2025
- Accounts · 100 to 115Mar 28, 2023 to Mar 6, 2024
- Advisory activities · 1 to 2Mar 28, 2023 to Mar 6, 2024
- Individual clients · 3 to 31Mar 28, 2023 to Mar 6, 2024
- Employees · 32 to 29Mar 28, 2023 to Mar 6, 2024
- Discretionary RAUM · $2.8M to $2.5MMar 28, 2023 to Mar 6, 2024
- Individual RAUM · $15,556 to $148,578Mar 28, 2023 to Mar 6, 2024
- RAUM · $2.8M to $2.5MMar 28, 2023 to Mar 6, 2024
- Wrap assets (manager) · $2.8M to $2.3MMar 28, 2023 to Mar 6, 2024
- Accounts · 123 to 100Sep 30, 2022 to Mar 28, 2023
- Individual clients · 123 to 3Sep 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $3.1M to $2.8MSep 30, 2022 to Mar 28, 2023
- Individual RAUM · $3.1M to $15,556Sep 30, 2022 to Mar 28, 2023
- RAUM · $3.1M to $2.8MSep 30, 2022 to Mar 28, 2023
- Wrap assets (manager) · $0 to $2.8MSep 30, 2022 to Mar 28, 2023
- Employees · 26 to 32Jul 1, 2022 to Sep 30, 2022
- Wrap assets (manager) · unset to 0.0Jul 1, 2022 to Sep 30, 2022
- Wrap assets (sponsor) · unset to 0.0Jul 1, 2022 to Sep 30, 2022
- Accounts · 33 to 123Mar 22, 2021 to Mar 24, 2022
- Individual clients · 57 to 123Mar 22, 2021 to Mar 24, 2022
- Discretionary RAUM · $1.4M to $3.1MMar 22, 2021 to Mar 24, 2022
- Individual RAUM · $1.4M to $3.1MMar 22, 2021 to Mar 24, 2022
Signals
3 dated events
- Iqvestment, Llc reported succeeding to the business of Marstone Llc (Form ADV Item 4)Aug 4, 2026 · Succession (Item 4) · fact
- B. Marc Minor (Chief Compliance Officer) no longer on Schedule A of Marstone Llc (listed 2020-06-26, absent 2020-10-26)Oct 26, 2020 · Control person left · inference
- Rational Q Llc filed its initial SEC registration (Form ADV)Jun 24, 2013 · First SEC registration · 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/marstone-increportedpublic record, Form ADV, Sep 17, 2026
- Website
- wealth.marstone.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212.203.7790reportedpublic record, Form ADV, Aug 4, 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
- $2.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026