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.
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SEC-registered adviser
P•••••• I••••••••• I••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 27, 2019 · 12 filings
SEC status approved since Apr 26, 2019
RAUM
$97.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$48.7M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$97.5M as of Mar 30, 2026
Mar 26, 2020$108M then
HNW client RAUM$0 as of Mar 15, 2024
Mar 26, 2020$2.6M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 26, 20202 then
Employees (5.A)3 as of Mar 30, 2026
Mar 26, 20202 then
Private funds: no history
RAUM +0.7% over the last fiscal year-15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $48.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $3.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $97.5M, 27 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$97.5M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 27reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $97.5M for 27 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• S••••• B•••• | Nashua, Nh | Oct 16, 2015 | 23 y | 2 |
| C••••••••• J••• M••••• | Somerville, Ma | Nov 8, 2018 | 10 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
- E••• S••••• B•••• from C•••••••• G••••• M•••••• I•••Oct 16, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• E•••• S••••• · Managing Member, Officer & Ccocontrolsince 09/2013 · owns 50% to 75%
- A••••••••• A••••••••• M• · Ownercontrolsince 03/2017 · owns 75% or more of A•• U• I••••••••• H•••••••• L••
Entity owners
- A•• U• I••••••••• H•••••••• L•• · Memberdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Nashua, Nh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 25 to 27Mar 12, 2025 to Mar 30, 2026
- Pooled vehicle clients · 25 to 27Mar 12, 2025 to Mar 30, 2026
- Assets in custody · $96.8M to $97.5MMar 12, 2025 to Mar 30, 2026
- Discretionary RAUM · $96.8M to $97.5MMar 12, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $96.8M to $97.5MMar 12, 2025 to Mar 30, 2026
- RAUM · $96.8M to $97.5MMar 12, 2025 to Mar 30, 2026
- Accounts · 20 to 25Mar 15, 2024 to Mar 12, 2025
- Charity clients · 0.0 to unsetMar 15, 2024 to Mar 12, 2025
- Corporate clients · 0.0 to unsetMar 15, 2024 to Mar 12, 2025
- HNW clients · 0.0 to unsetMar 15, 2024 to Mar 12, 2025
- Individual clients · 0.0 to unsetMar 15, 2024 to Mar 12, 2025
- Pension plan clients · 0.0 to unsetMar 15, 2024 to Mar 12, 2025
- Pooled vehicle clients · 20 to 25Mar 15, 2024 to Mar 12, 2025
- Assets in custody · $156M to $96.8MMar 15, 2024 to Mar 12, 2025
- Financial planning clients · unset to Mar 15, 2024 to Mar 12, 2025
- Other offices · 1 to 2Mar 15, 2024 to Mar 12, 2025
- Discretionary RAUM · $156M to $96.8MMar 15, 2024 to Mar 12, 2025
- HNW RAUM · 0.0 to unsetMar 15, 2024 to Mar 12, 2025
- Individual RAUM · 0.0 to unsetMar 15, 2024 to Mar 12, 2025
- Pension RAUM · 0.0 to unsetMar 15, 2024 to Mar 12, 2025
- Pooled vehicle RAUM · $156M to $96.8MMar 15, 2024 to Mar 12, 2025
- RAUM · $156M to $96.8MMar 15, 2024 to Mar 12, 2025
- Accounts · 19 to 20Apr 21, 2023 to Mar 15, 2024
- Pooled vehicle clients · 19 to 20Apr 21, 2023 to Mar 15, 2024
- Assets in custody · $161M to $156MApr 21, 2023 to Mar 15, 2024
- Discretionary RAUM · $161M to $156MApr 21, 2023 to Mar 15, 2024
- Pooled vehicle RAUM · $161M to $156MApr 21, 2023 to Mar 15, 2024
- RAUM · $161M to $156MApr 21, 2023 to Mar 15, 2024
- Accounts · 15 to 19Sep 28, 2022 to Mar 24, 2023
- Pooled vehicle clients · 15 to 19Sep 28, 2022 to Mar 24, 2023
- Assets in custody · $151M to $161MSep 28, 2022 to Mar 24, 2023
- Discretionary RAUM · $151M to $161MSep 28, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $151M to $161MSep 28, 2022 to Mar 24, 2023
- RAUM · $151M to $161MSep 28, 2022 to Mar 24, 2023
- Accounts · 19 to 15May 11, 2022 to Sep 28, 2022
- Advisory activities · 3 to 2May 11, 2022 to Sep 28, 2022
- Charity clients · unset to 0.0May 11, 2022 to Sep 28, 2022
- Corporate clients · unset to 0.0May 11, 2022 to Sep 28, 2022
- HNW clients · 5 to 0May 11, 2022 to Sep 28, 2022
- Individual clients · unset to 0.0May 11, 2022 to Sep 28, 2022
Signals
1 dated events
- P•••••• I••••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Mar 27, 2019 · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 603-589-4033reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $48.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026