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
A•••••••• I••••••••• G••••• L••
Latest filing Mar 10, 2026
First filing on the tape Jan 2, 2015 · 20 filings
SEC status approved since Feb 21, 2024
RAUM
$202M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$202M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$101M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$202M as of Mar 10, 2026
Mar 13, 2024$109M then
HNW client RAUM$202M as of Mar 10, 2026
Mar 13, 2024$109M then
State-registered IARs (5.B.3)3 as of Mar 10, 2026
Mar 17, 20152 then
Employees (5.A)3 as of Mar 10, 2026
Mar 17, 20152 then
Private funds: no history
RAUM +64% over the last fiscal yearIARs 3 to 3offices 2 to 1
Practice profile
derived from the filing of Mar 10, 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
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +64%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $13.0M, 2 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- High-net-worth individuals$202M100%
- Individual clients
- n/areported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 91reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13.0M for 2 clientsreported
- Compensation
- % of AUMreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• B•••••• C••••••• | Westport, Ct | Feb 19, 2020 | 17 y | 0 |
| P•••• G••••• V•• D••••• | Cape Elizabeth, Me | Dec 20, 2022 | 12 y | 1 |
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
- P•••• G••••• V•• D••••• from S•••• W••••• M••••••••• L••Dec 20, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• J•••••• B•••••• · Managing Directorcontrolsince 01/2021 · owns 25% to 50%
- T••• G••••• Y••• M•• · Founding Member, Managing Director And Chief Compliance Officercontrolsince 02/2014 · owns 25% to 50%
- V•• D•••••• P••••• G••••• · Founding Member And Chief Investment Officercontrolsince 02/2014 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| South Portland, Me · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- South Portland, ME1 employees
- Washington, DC1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 10, 2026RAUM (Item 5.F) moved from $122,907,831 to $202,099,933 (+64.0%) between the annual amendments of 2025-04-21 and 2026-03-10; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
- custody status changedChange between filings · filing Mar 10, 2026custody of client assets (Item 9.A): no on the filing of 2025-12-11, yes on the filing of 2026-03-10peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 90 to 91Dec 11, 2025 to Mar 10, 2026
- HNW clients · 43 to 50Dec 11, 2025 to Mar 10, 2026
- Individual clients · 1.0 to unsetDec 11, 2025 to Mar 10, 2026
- Assets in custody · unset to 13028436.0Dec 11, 2025 to Mar 10, 2026
- Custody of client assets · false to trueDec 11, 2025 to Mar 10, 2026
- HQ city · WESTPORT to SOUTH PORTLANDDec 11, 2025 to Mar 10, 2026
- HQ state · CT to MEDec 11, 2025 to Mar 10, 2026
- Other offices · 2 to 1Dec 11, 2025 to Mar 10, 2026
- Discretionary RAUM · $122M to $201MDec 11, 2025 to Mar 10, 2026
- HNW RAUM · $123M to $202MDec 11, 2025 to Mar 10, 2026
- Individual RAUM · 190.0 to unsetDec 11, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $1.1M to $1.1MDec 11, 2025 to Mar 10, 2026
- RAUM · $123M to $202MDec 11, 2025 to Mar 10, 2026
- Financial planning clients · unset to Apr 21, 2025 to Jul 22, 2025
- Accounts · 89 to 90Oct 10, 2024 to Apr 21, 2025
- HNW clients · 48 to 43Oct 10, 2024 to Apr 21, 2025
- Individual clients · unset to 1.0Oct 10, 2024 to Apr 21, 2025
- Discretionary RAUM · $109M to $122MOct 10, 2024 to Apr 21, 2025
- HNW RAUM · $109M to $123MOct 10, 2024 to Apr 21, 2025
- Individual RAUM · unset to 190.0Oct 10, 2024 to Apr 21, 2025
- Non-discretionary RAUM · $0 to $1.1MOct 10, 2024 to Apr 21, 2025
- RAUM · $109M to $123MOct 10, 2024 to Apr 21, 2025
- Other offices · 1 to 2Jan 22, 2024 to Mar 13, 2024
- Discretionary RAUM · $107M to $109MJan 22, 2024 to Mar 13, 2024
- Non-discretionary RAUM · $1.2M to $0Jan 22, 2024 to Mar 13, 2024
- Accounts · 37 to 89Oct 9, 2015 to Jan 22, 2024
- Advisory employees · 2 to 3Oct 9, 2015 to Jan 22, 2024
- HNW clients · unset to 48.0Oct 9, 2015 to Jan 22, 2024
- Employees · 2 to 3Oct 9, 2015 to Jan 22, 2024
- Financial planning clients · 0 to unsetOct 9, 2015 to Jan 22, 2024
- HQ city · BOSTON to WESTPORTOct 9, 2015 to Jan 22, 2024
- HQ state · MA to CTOct 9, 2015 to Jan 22, 2024
- State-registered IARs · 2 to 3Oct 9, 2015 to Jan 22, 2024
- Other offices · unset to 1.0Oct 9, 2015 to Jan 22, 2024
- Discretionary RAUM · $11.6M to $107MOct 9, 2015 to Jan 22, 2024
- HNW RAUM · unset to 108622911.0Oct 9, 2015 to Jan 22, 2024
- Non-discretionary RAUM · $0 to $1.2MOct 9, 2015 to Jan 22, 2024
- RAUM · $11.6M to $109MOct 9, 2015 to Jan 22, 2024
- Accounts · unset to 37.0Mar 24, 2015 to Aug 14, 2015
- Business name · E•••••• G••••• A••••••• to A•••••••• I••••••••• G••••• L••Mar 24, 2015 to Aug 14, 2015
Signals
2 dated events
- B•••••• J••••• C••••••• (Managing Director) appeared on Schedule A of A•••••••• I••••••••• G••••• L••Jan 22, 2024 · Control person joined · fact
- A•••••••• I••••••••• G••••• L•• filed its initial SEC registration (Form ADV)Jan 2, 2015 · 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
- abbington@abbingtongroup.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 207-433-5820reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 207-433-5820reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- abbingtongroup.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- abbingtongroup.com/who-we-arereportedpublished by the firm, firm site, Sep 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
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026