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••• W•••••• L••
Latest filing Sep 17, 2026
First filing on the tape Apr 8, 2015 · 42 filings
SEC status approved since Apr 17, 2015
RAUM
$1.3B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
89%
$1.1B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$106M
derived; firm RAUM over IAPD count
Employees
28
11 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$1.3B as of Aug 25, 2026
Mar 29, 2016$145M then
HNW client RAUM$936M as of Aug 25, 2026
Feb 15, 2018$37.6M then
State-registered IARs (5.B.3)11 as of Aug 25, 2026
Mar 29, 20161 then
Employees (5.A)28 as of Aug 25, 2026
Mar 29, 20165 then
Private funds: no history
RAUM +186% over the last fiscal year+71% a year over threeIARs 7 to 11offices 1 to 6
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $258,636derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 9.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.7derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$936M74%
- Individuals$195M15%
- Pension and profit-sharing plans$114M9.0%
- Corporations and businesses$24.5M1.9%
- Charitable organizations$226,4670.0%
- Individual clients
- 671reported
- HNW clients
- 437reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 4,909reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• R••••• S••••Certified Financial Planner, Chartered Financial Consultant | Portsmouth, Nh | Jun 23, 2015 | 31 y | 1 |
| P••• S•••••• S••••••Certified Financial Planner | Portsmouth, Nh | Jun 23, 2015 | 30 y | 1 |
| B•••• C•••••• S••••••• | Bethesda, Md | Sep 11, 2018 | 20 y | 3 |
| B•••• T•••••• M••••••••• | Portsmouth, Nh | Oct 11, 2022 | 10 y | 0 |
| T••••• S•••••• S•••• | San Francisco, Ca | May 10, 2023 | 22 y | 0 |
| P•••• C••••••• W•••••• | Portsmouth, Nh | Mar 13, 2024 | 20 y | 2 |
| J••• W•••••• S••••••• | Portsmouth, Nh | Apr 2, 2026 | 11 y | 1 |
| B•••• M••••••Chartered Financial Analyst | Bethesda, Md | Jun 23, 2026 | 18 y | 3 |
| D••••• H••••• C••••••••• | Easton, Pa | Jun 23, 2026 | 10 y | 2 |
| S••••• J•••• S••••Certified Financial Planner | Bethesda, Md | Jun 23, 2026 | 10 y | 2 |
| F•••••••• J••• B•••••••• | Lakewood, Fl | Jul 23, 2026 | 35 y | 5 |
| C•••• W•••••• P••• | Portsmouth, Nh | Sep 1, 2026 | 21 y | 5 |
Advisor movement
1 left, 6 joined in 12 months
net +5 in 12 months1 left in 90 days5 joined in 90 daysdeparture rate 8.3% of current headcount1 left over 36 months
Left, latest
- J••••• I••••• B••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Jul 7, 2026 · RIA to affiliated broker-dealer or bank
- D•••• A••••••• D••••• to I••••••••• W••••• M••••••••• L••Jan 5, 2017 · Other
Joined, latest
- C•••• W•••••• P••• from L•• F•••••••• L••Sep 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- F•••••••• J••• B•••••••• from S•••••• F•••••••• P•••••••• L••Jul 23, 2026 · RIA to RIA
- D••••• H••••• C••••••••• from S•••••• F•••••••• P•••••••• L••Jun 23, 2026 · RIA to RIA
- B•••• M•••••• from S•••••• F•••••••• P•••••••• L••Jun 23, 2026 · RIA to RIA
- S••••• J•••• S•••• from S•••••• F•••••••• P•••••••• L••Jun 23, 2026 · RIA to RIA
- J••• W•••••• S••••••• from K•• I••••••••• S••••••• L••Apr 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- P•••• C••••••• W•••••• from M••••••• I••••••••• M••••••••• ••• L••Mar 13, 2024 · Other
- J••••• I••••• B••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 24, 2020 · Affiliated broker-dealer or bank to independent RIA
- D•••• A••••••• D••••• from M••••• D••••• I•••Jun 23, 2015 · Other
- J••••• R••••• S•••• from W•••• F•••• A•••••••Jun 23, 2015 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- P••• S•••••• S•••••• from W•••• F•••• A•••••••Jun 23, 2015 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S•••••• F•••••••• P•••••••• L••Jun 15, 2026 · Bethesda, Md
- 2 joined from W•••• F•••• A•••••••Jun 17, 2015 · Portsmouth, Nh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• R••• · Ceo/Managing Membercontrolsince 10/2025 · owns less than 5%
- S•••••••• A•••••• J••••• · Ccocontrolsince 06/2026 · owns less than 5%
- S••••• J•••••• R••••• · Member, Cco (8/2016)controlsince 06/2015 · owns 50% to 75%
- S••••••• P•••• S•••••• · Membercontrolsince 06/2015 · owns 50% to 75%
Related persons
Schedule D 7.A
- J••••• S••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Portsmouth, Nh · principal | 7 | 2 | 1 | ||
| Bethesda, Md | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 25, 2026S••••• J•••••• R••••• (MEMBER, CCO (8/2016)) left Schedule A between the filings of 2015-06-15 and 2026-08-25peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 25, 2026R••••• R••• (CEO/MANAGING MEMBER) appeared on Schedule A between the filings of 2015-06-15 and 2026-08-25peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 25, 2026S•••••••• A•••••• J••••• (CCO) appeared on Schedule A between the filings of 2015-06-15 and 2026-08-25peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 25, 2026S••••••• P•••• S•••••• (MEMBER) left Schedule A between the filings of 2015-06-15 and 2026-08-25peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100Aug 25, 2026 to Sep 17, 2026
- Other offices · 5 to 6Aug 25, 2026 to Sep 17, 2026
- Succession · false to unsetAug 25, 2026 to Sep 17, 2026
- Accounts · 1,729 to 4,909May 26, 2026 to Jun 22, 2026
- Advisory employees · 6 to 11May 26, 2026 to Jun 22, 2026
- Advisory activities · 4 to 6May 26, 2026 to Jun 22, 2026
- Business name · G•••••• B•• W••••• M••••••••• L•• to A••• W•••••• L••May 26, 2026 to Jun 22, 2026
- Corporate clients · unset to 7.0May 26, 2026 to Jun 22, 2026
- HNW clients · 164 to 437May 26, 2026 to Jun 22, 2026
- Individual clients · 446 to 671May 26, 2026 to Jun 22, 2026
- Employees · 8 to 28May 26, 2026 to Jun 22, 2026
- Financial planning clients · 0 to 51-100May 26, 2026 to Jun 22, 2026
- State-registered IARs · 6 to 11May 26, 2026 to Jun 22, 2026
- Legal name · G•••••• B•• W••••• M••••••••• L•• to A••• W•••••• L••May 26, 2026 to Jun 22, 2026
- Discretionary RAUM · $574M to $1.2BMay 26, 2026 to Jun 22, 2026
- HNW RAUM · $393M to $936MMay 26, 2026 to Jun 22, 2026
- Individual RAUM · $165M to $195MMay 26, 2026 to Jun 22, 2026
- Non-discretionary RAUM · $13.5M to $73.3MMay 26, 2026 to Jun 22, 2026
- Pension RAUM · $27.0M to $114MMay 26, 2026 to Jun 22, 2026
- RAUM · $588M to $1.3BMay 26, 2026 to Jun 22, 2026
- Other offices · 1 to 5Mar 25, 2026 to May 26, 2026
- Accounts · 1,545 to 1,729Nov 6, 2025 to Mar 25, 2026
- Advisory employees · 7 to 6Nov 6, 2025 to Mar 25, 2026
- BD registered reps · 3 to 0Nov 6, 2025 to Mar 25, 2026
- Corporate clients · 6.0 to unsetNov 6, 2025 to Mar 25, 2026
- HNW clients · 132 to 164Nov 6, 2025 to Mar 25, 2026
- Individual clients · 402 to 446Nov 6, 2025 to Mar 25, 2026
- Pension plan clients · 0 to 6Nov 6, 2025 to Mar 25, 2026
- Employees · 9 to 8Nov 6, 2025 to Mar 25, 2026
- Financial planning clients · 251-500 to 0Nov 6, 2025 to Mar 25, 2026
- State-registered IARs · 7 to 6Nov 6, 2025 to Mar 25, 2026
- Discretionary RAUM · $432M to $574MNov 6, 2025 to Mar 25, 2026
- HNW RAUM · $280M to $393MNov 6, 2025 to Mar 25, 2026
- Individual RAUM · $139M to $165MNov 6, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $12.9M to $13.5MNov 6, 2025 to Mar 25, 2026
- Pension RAUM · $0 to $27.0MNov 6, 2025 to Mar 25, 2026
- RAUM · $445M to $588MNov 6, 2025 to Mar 25, 2026
- Accounts · 1,381 to 1,545Apr 12, 2024 to Mar 12, 2025
- Advisory employees · 6 to 7Apr 12, 2024 to Mar 12, 2025
- HNW clients · 116 to 132Apr 12, 2024 to Mar 12, 2025
Signals
7 dated events
- J••••• I••••• B••••••• left A••• W•••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2026-06-15)Jul 7, 2026 · Advisor changed firm · fact
- A••• W•••••• L•• reported RAUM $1.3B, up 116% from $588.0M (2026-05-26 to 2026-06-22)Jun 22, 2026 · RAUM change · derived
- 2 advisors left S•••••• F•••••••• P•••••••• L•• (Bethesda, MD) for A••• W•••••• L•• on the same dayJun 15, 2026 · Team lift-out · derived
- A••• W•••••• L•• reported RAUM $588.0M, up 32% from $444.6M (2025-11-06 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- A••• W•••••• L•• reported RAUM $357.3M, up 42% from $252.5M (2023-08-11 to 2024-03-11)Mar 11, 2024 · RAUM change · derived
- G••••••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jun 15, 2015 · Succession (Item 4) · fact
- G•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 8, 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
- support@arcawealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/sandboxfpreportedpublic record, Form ADV, Sep 18, 2026
- Website
- arcawealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 603-610-8881reportedpublic record, Form ADV, Sep 17, 2026
- Team page
- arcawealth.com/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
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026