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
Fiscal Wisdom Wealth Management LLC
Latest filing Aug 27, 2026
First filing on the tape Jul 3, 2020 · 47 filings
SEC status approved since Aug 3, 2020
RAUM
$386M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$369M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$32.2M
derived; firm RAUM over IAPD count
Employees
18
10 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$386M as of Aug 27, 2026
Mar 30, 2021$109M then
HNW client RAUM$87.3M as of Aug 27, 2026
Apr 24, 2025$63.4M then
State-registered IARs (5.B.3)10 as of Aug 27, 2026
Mar 30, 202114 then
Employees (5.A)18 as of Aug 27, 2026
Mar 30, 202116 then
Private funds: no history
RAUM +49% over the last fiscal year+22% a year over threeIARs 13 to 10
Practice profile
derived from the filing of Aug 27, 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
- RAUM per advisor
- $32.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 223derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $136,494derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.3derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +49%derivedbetween the last two annual amendments
- Advisor growth, one year
- -23%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.5%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminars, otherreportedItem 5.G
- Custody
- $1.2M, 1 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
- is an insurance broker or agent (6.A.6)
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$281M73%
- High-net-worth individuals$87.3M23%
- Pension and profit-sharing plans$13.1M3.4%
- Corporations and businesses$4.1M1.1%
- Individual clients
- 2,624reported
- HNW clients
- 52reported
- Pension plan clients
- 137reported
- Charitable clients
- n/areported
- Accounts
- 2,828reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2M for 1 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Edward ChadwickCertified Financial Planner, Chartered Financial Consultant | Canton, Ct | May 8, 2019 | 32 y | 6 |
| Michael Alfonse BarattaChartered Financial Consultant | Canton, Ct | Jul 14, 2020 | 24 y | 2 |
| Renee Eva Amochaev | Canton, Ct | Sep 1, 2020 | 26 y | 3 |
| Richard Allen BeanCertified Financial Planner | Manchester, Nh | Jun 6, 2022 | 35 y | 6 |
| Max D Isaacman | San Francisco, Ca | Jul 5, 2023 | 46 y | 7 |
| Alexander Bernd Overkamp | Thomaston, Ct | Oct 26, 2023 | 24 y | 8 |
| Jessica Martin | Canton, Ct | Oct 15, 2024 | 13 y | 0 |
| Coty Shean | Canton, Ct | Jun 13, 2025 | 10 y | 0 |
| Daniel A. Roberts | Parrish, Fl | Sep 2, 2025 | 34 y | 6 |
| Benjamin Graham Stille | Canton, Ct | Jan 1, 2026 | 22 y | 5 |
| Allen Edward Dunahoo | Canton, Ct | Mar 23, 2026 | 20 y | 3 |
| Travis Masaichi TazawaCertified Financial Planner | Canton, Ct | Sep 8, 2026 | 15 y | 3 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount5 left over 36 months
Left, latest
- Shih Hua Liu to Arete Wealth Advisors, LLCApr 2, 2025 · RIA to affiliated broker-dealer or bank
- Courtney Lashay Wiley Ingram to Advisor Share Wealth Management, LLCApr 5, 2024 · RIA to RIA
- Joseph John Gormley to Empirikal Partners LLCNov 22, 2023 · RIA to a state-registered adviser
- Kevin Dauphinee to Creativeone Wealth, LLCOct 16, 2023 · RIA to RIA
- Nicholas Adam Bour to Redwood Private WealthSep 22, 2023 · RIA to RIA
- Max D Isaacman to Fidelity Personal And Workplace AdvisorsJan 9, 2023 · RIA to affiliated broker-dealer or bank
- Francis J Aiello to Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 5, 2022 · RIA to wirehouse
- Dawn Renee Carey to Impact Partnership Wealth, LLCDec 2, 2022 · RIA to RIA
- Aaron Lee Williams to Alden Investment GroupNov 30, 2022 · RIA to RIA
- William John Kosic to Empirikal Partners LLCMar 31, 2022 · RIA to a state-registered adviser
- Kenneth Michael Ackerman to Hammond Asset Management LLCMar 31, 2022 · RIA to a state-registered adviser
- Richard James Gow to Claraphi Advisory Network, LLCMar 1, 2021 · RIA to RIA
- Jesse Julian Griffin to Dempsey Lord Smith, LLCJan 27, 2021 · RIA to RIA
- John Allan Duncan to Cg Advisory ServicesOct 2, 2019 · RIA to RIA
- Benjamin Graham Stille to Cjs Financial Advisers / Cjsf AdvisersOct 23, 2014 · RIA to a state-registered adviser
Joined, latest
- Travis Masaichi Tazawa from Ae Wealth Management, LLCSep 8, 2026 · Affiliated broker-dealer or bank to independent RIA
- Allen Edward Dunahoo from Edward JonesMar 23, 2026 · Affiliated broker-dealer or bank to independent RIA
- Benjamin Graham Stille from Mccloskey & Associates, P.A.Jan 1, 2026 · Other
- Daniel A. Roberts from People'S United Advisors, Inc.Sep 2, 2025 · RIA to RIA
- Alexander Bernd Overkamp from Sentinel Asset Management, LLCOct 26, 2023 · Other
- Max D Isaacman from Fidelity Personal And Workplace AdvisorsJul 5, 2023 · Affiliated broker-dealer or bank to independent RIA
- Kevin Dauphinee from Alphastar Capital ManagementDec 20, 2022 · RIA to RIA
- Richard Allen Bean from Motiv8 Investments LLCJun 6, 2022 · RIA to RIA
- Nicholas Adam Bour from Alphastar Capital ManagementFeb 1, 2022 · RIA to RIA
- Francis J Aiello from LPL Financial LLCDec 23, 2021 · Affiliated broker-dealer or bank to independent RIA
- Aaron Lee Williams from Vestgen Investment ManagementSep 20, 2021 · RIA to RIA
- Shih Hua Liu from Woodbury Financial Services, Inc.Aug 2, 2021 · Affiliated broker-dealer or bank to independent RIA
- Max D Isaacman from Portsmouth Financial ServicesSep 3, 2020 · Other
- Renee Eva Amochaev from Portsmouth Financial ServicesSep 1, 2020 · Other
- Michael Alfonse Baratta from First Heartland Consultants, Inc.Jul 14, 2020 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Portsmouth Financial ServicesDec 31, 2022 · San Francisco, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Edward Michael Chadwick · Ceocontrolsince 11/2023 · owns less than 5%
- Anthony Daniel Roberts · Ccocontrolsince 01/2023 · owns less than 5%
- Edward Michael Chadwick · Ceo Ownercontrolsince 11/2023 · owns 75% or more of Fiscal Wisdom Holdings Inc.
Entity owners
- Fiscal Wisdom Holdings Inc. · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Canton, Ct · principal | 12 | 3 | 0 | ||
| Thomaston, Ct | 2 | 1 | 0 | ||
| Brighton, Mi | 0 | 0 | 0 | ||
| Conyers, Ga | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Canton, CT3 employees
- Hilo, HI3 employees
- Cpnyers, GA1 employees
- Cupertino, CA1 employees
- Kooskia, ID1 employees
- Manchester, NH1 employees
- Santa Rosa, CA1 employees
- Thomaston, CT1 employees
- , 1 employees
- Atlanta, GA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Apr 28, 2026RAUM (Item 5.F) moved from $259,793,557 to $386,005,788 (+49.0%) between the annual amendments of 2025-04-24 and 2026-04-28; the peer median change was +15.0% (4551 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 2,579 to 2,828Nov 20, 2025 to Mar 31, 2026
- Advisory employees · 13 to 10Nov 20, 2025 to Mar 31, 2026
- BD registered reps · 5 to 3Nov 20, 2025 to Mar 31, 2026
- Corporate clients · 14 to 15Nov 20, 2025 to Mar 31, 2026
- HNW clients · 37 to 52Nov 20, 2025 to Mar 31, 2026
- Individual clients · 2,407 to 2,624Nov 20, 2025 to Mar 31, 2026
- Pension plan clients · 121 to 137Nov 20, 2025 to Mar 31, 2026
- Assets in custody · $144,191 to $1.2MNov 20, 2025 to Mar 31, 2026
- Employees · 22 to 18Nov 20, 2025 to Mar 31, 2026
- State-registered IARs · 13 to 10Nov 20, 2025 to Mar 31, 2026
- Discretionary RAUM · $260M to $386MNov 20, 2025 to Mar 31, 2026
- HNW RAUM · $63.4M to $87.3MNov 20, 2025 to Mar 31, 2026
- Individual RAUM · $184M to $281MNov 20, 2025 to Mar 31, 2026
- Pension RAUM · $9.6M to $13.1MNov 20, 2025 to Mar 31, 2026
- RAUM · $260M to $386MNov 20, 2025 to Mar 31, 2026
- Related adviser · true to falseNov 20, 2025 to Mar 31, 2026
- Related insurance company · true to falseNov 20, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Aug 21, 2025 to Nov 20, 2025
- Accounts · 2,064 to 2,579Sep 25, 2024 to Apr 24, 2025
- Corporate clients · unset to 14.0Sep 25, 2024 to Apr 24, 2025
- HNW clients · unset to 37.0Sep 25, 2024 to Apr 24, 2025
- Individual clients · 953 to 2,407Sep 25, 2024 to Apr 24, 2025
- Pension plan clients · unset to 121.0Sep 25, 2024 to Apr 24, 2025
- Assets in custody · unset to 144191.0Sep 25, 2024 to Apr 24, 2025
- Custody of client assets · false to trueSep 25, 2024 to Apr 24, 2025
- Other offices · 10 to 8Sep 25, 2024 to Apr 24, 2025
- Discretionary RAUM · $214M to $260MSep 25, 2024 to Apr 24, 2025
- HNW RAUM · unset to 63351048.0Sep 25, 2024 to Apr 24, 2025
- Individual RAUM · $214M to $184MSep 25, 2024 to Apr 24, 2025
- Pension RAUM · unset to 9558075.0Sep 25, 2024 to Apr 24, 2025
- RAUM · $214M to $260MSep 25, 2024 to Apr 24, 2025
- Accounts · 1,207 to 2,064Feb 1, 2024 to Mar 26, 2024
- Advisory employees · 11 to 13Feb 1, 2024 to Mar 26, 2024
- Business name · PORTSMOUTH - SMARTLIFE FINANCIAL GROUP, LLC to FISCAL WISDOM WEALTH MANAGEMENT LLCFeb 1, 2024 to Mar 26, 2024
- Individual clients · 1,207 to 953Feb 1, 2024 to Mar 26, 2024
- Employees · 11 to 22Feb 1, 2024 to Mar 26, 2024
- State-registered IARs · 11 to 13Feb 1, 2024 to Mar 26, 2024
- Discretionary RAUM · $216M to $214MFeb 1, 2024 to Mar 26, 2024
- Individual RAUM · $216M to $214MFeb 1, 2024 to Mar 26, 2024
- RAUM · $216M to $214MFeb 1, 2024 to Mar 26, 2024
Signals
21 dated events
- Fiscal Wisdom Wealth Management Llc reported RAUM $386.0M, up 49% from $259.8M (2025-11-20 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Shih Hua Liu left Fiscal Wisdom Wealth Management Llc for Arete Wealth Advisors, Llc (registered 2024-12-10)Apr 2, 2025 · Advisor changed firm · fact
- Courtney Lashay Wiley Ingram left Fiscal Wisdom Wealth Management Llc for Advisor Share Wealth Management, Llc (registered 2024-05-09)Apr 5, 2024 · Advisor changed firm · fact
- Portsmouth - Smartlife Financial Group, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 30, 2024 · Succession (Item 4) · fact
- Lawrence Raymond Lent (Part Owner) no longer on Schedule A of Fiscal Wisdom Wealth Management Llc (listed 2023-11-06, absent 2023-12-06)Dec 6, 2023 · Control person left · inference
- Chiaping Echo Chien (Part Owner) no longer on Schedule A of Fiscal Wisdom Wealth Management Llc (listed 2023-11-06, absent 2023-12-06)Dec 6, 2023 · Control person left · inference
- Alfonse Michael Baratta (Ceo) no longer on Schedule A of Fiscal Wisdom Wealth Management Llc (listed 2023-11-06, absent 2023-12-06)Dec 6, 2023 · Control person left · inference
- Joseph John Gormley left Fiscal Wisdom Wealth Management Llc for Empirikal Partners Llc (registered 2023-12-19)Nov 22, 2023 · Advisor changed firm · fact
- Kevin Dauphinee left Fiscal Wisdom Wealth Management Llc for Creativeone Wealth, Llc (registered 2024-04-29)Oct 16, 2023 · Advisor changed firm · fact
- Nicholas Adam Bour left Fiscal Wisdom Wealth Management Llc for Redwood Private Wealth (registered 2023-09-26)Sep 22, 2023 · Advisor changed firm · fact
- Anthony Daniel Roberts (Cco) appeared on Schedule A of Fiscal Wisdom Wealth Management LlcFeb 10, 2023 · Control person joined · fact
- Max D Isaacman left Fiscal Wisdom Wealth Management Llc for Fidelity Personal And Workplace Advisors (registered 2023-03-02)Jan 9, 2023 · Advisor changed firm · fact
- 2 advisors left Portsmouth Financial Services (San Francisco, CA) for Fiscal Wisdom Wealth Management LLC within 9 daysDec 31, 2022 · Team lift-out · derived
- Francis J Aiello left Fiscal Wisdom Wealth Management Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-02-07)Dec 5, 2022 · Advisor changed firm · fact
- Dawn Renee Carey left Fiscal Wisdom Wealth Management Llc for Impact Partnership Wealth, Llc (registered 2022-12-19)Dec 2, 2022 · Advisor changed firm · fact
- Aaron Lee Williams left Fiscal Wisdom Wealth Management Llc for Alden Investment Group (registered 2023-01-03)Nov 30, 2022 · Advisor changed firm · fact
- William John Kosic left Fiscal Wisdom Wealth Management Llc for Empirikal Partners Llc (registered 2022-05-18)Mar 31, 2022 · Advisor changed firm · fact
- Kenneth Michael Ackerman left Fiscal Wisdom Wealth Management Llc for Hammond Asset Management Llc (registered 2022-03-31)Mar 31, 2022 · Advisor changed firm · fact
- Lawrence Raymond Lent (Part Owner) appeared on Schedule A of Fiscal Wisdom Wealth Management LlcMar 30, 2021 · Control person joined · fact
- Chiaping Echo Chien (Part Owner) appeared on Schedule A of Fiscal Wisdom Wealth Management LlcMar 30, 2021 · Control person joined · fact
- Smartlife Financial Group Llc filed its initial SEC registration (Form ADV)Jul 3, 2020 · 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
- Business email
- info@fiscalwisdom.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 860-489-8880reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 860-567-4000reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 860-597-9767reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- fiscalwisdom.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 678-202-4066reportedpublic record, Form ADV, Aug 27, 2026
- Contact form
- fiscalwisdom.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- fiscalwisdom.com/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
- $32.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026