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
M•••••• W••••• M•••••••••
Legal name M•••••• W••••• M••••••••• L••
Latest filing Feb 28, 2026
First filing on the tape Feb 10, 2015 · 37 filings
SEC status approved since Feb 19, 2015
RAUM
$568M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
81%
$461M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$51.6M
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$568M as of Feb 28, 2026
Feb 1, 2016$128M then
HNW client RAUM$302M as of Feb 28, 2026
Jan 23, 2018$143M then
State-registered IARs (5.B.3)11 as of Feb 28, 2026
Feb 1, 20165 then
Employees (5.A)12 as of Feb 28, 2026
Feb 1, 20165 then
Private funds: no history
RAUM +12% over the last fiscal year+10% a year over threeIARs 11 to 11
Practice profile
derived from the filing of Feb 28, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- $51.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $479,116derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 3.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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 securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$302M54%
- Individuals$159M29%
- Charitable organizations$48.2M8.6%
- Corporations and businesses$31.2M5.6%
- State and municipal entities$14.8M2.7%
- Pension and profit-sharing plans$3.2M0.6%
- Individual clients
- 300reported
- HNW clients
- 122reported
- Pension plan clients
- 2reported
- Charitable clients
- 29reported
- Accounts
- 1,185reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• D•••• D•••••••Certified Financial Planner | Hanover, Nh | Feb 1, 2017 | 13 y | 1 |
| M•••••• C••• H•••••••• | Hanover, Nh | Aug 31, 2020 | 10 y | 0 |
| J•••••• B•••• N••••• | Burlington, Vt | Sep 24, 2021 | 25 y | 2 |
| A••••• A•••••• S•••••• | Hanover, Nh | Sep 27, 2022 | 15 y | 0 |
| Z••••• K••••••• B•••••Certified Financial Planner | Burlington, Vt | Jan 12, 2023 | 24 y | 2 |
| B•••••• J• D•••••• | Burlington, Vt | Apr 12, 2023 | 14 y | 1 |
| S•••• A•••• W•••••••••Chartered Financial Consultant | Hanover, Nh | Apr 20, 2023 | 26 y | 1 |
| M•••••• E•••• D••Certified Financial Planner | Hanover, Nh | Feb 8, 2024 | 10 y | 2 |
| J••••••• L••• C••••••• | Portland, Me | Apr 5, 2024 | 25 y | 3 |
| M•••••• C• L••••• | Burlington, Vt | Jul 2, 2024 | 10 y | 0 |
| J••••• M•••••• W•••• W•••••• | Hanover, Nh | Apr 14, 2025 | 11 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
- R••••• T••••• B••• to O•••• I••••••••• I•••Jan 12, 2023 · RIA to affiliated broker-dealer or bank
- B•••• G••••• M•••••• to K•••••••• W••••• A•••••••• L••Oct 25, 2018 · RIA to RIA
Joined, latest
- J••••••• L••• C••••••• from B••••• F•••••••• M••••••••• L••Apr 5, 2024 · RIA to RIA
- M•••••• E•••• D•• from L•• F•••••••• L••Feb 8, 2024 · Affiliated broker-dealer or bank to independent RIA
- S•••• A•••• W••••••••• from W•• F•••••••• A•••••••• I•••Apr 20, 2023 · RIA to RIA
- B•••••• J• D•••••• from P••••••• U••••• A•••••••• I•••Apr 12, 2023 · RIA to RIA
- Z••••• K••••••• B••••• from P••••••• U••••• A•••••••• I•••Jan 12, 2023 · RIA to RIA
- J•••••• B•••• N••••• from P••••••• U••••• A•••••••• I•••Sep 24, 2021 · RIA to RIA
- M•••••• D•••• D••••••• from L•• F•••••••• L••Feb 1, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from P••••••• U••••• A•••••••• I•••Sep 10, 2021 · Burlington, Vt
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• Z•••••• K••••••• · Presidentcontrolsince 10/2022 · owns less than 5%
- S••••••• A•••••• A•••••• · Chief Compliance Officer/Chief Operations Officersince 01/2023 · owns less than 5%
Entity owners
- M•••••• B••• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- M•••••• B•••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hanover, Nh · principal | 11 | 0 | 0 | ||
| Burlington, Vt | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Burlington, VT3 employees
- Portland, ME1 employees
What changed
consecutive filings, newest first
- Accounts · 1,127 to 1,185Dec 4, 2025 to Feb 28, 2026
- Advisory employees · 8 to 9Dec 4, 2025 to Feb 28, 2026
- Charity clients · 33 to 29Dec 4, 2025 to Feb 28, 2026
- Corporate clients · 10 to 8Dec 4, 2025 to Feb 28, 2026
- HNW clients · 127 to 122Dec 4, 2025 to Feb 28, 2026
- Individual clients · 298 to 300Dec 4, 2025 to Feb 28, 2026
- Pension plan clients · 3 to 2Dec 4, 2025 to Feb 28, 2026
- Employees · 14 to 12Dec 4, 2025 to Feb 28, 2026
- Financial planning clients · 51-100 to 251-500Dec 4, 2025 to Feb 28, 2026
- Discretionary RAUM · $465M to $536MDec 4, 2025 to Feb 28, 2026
- HNW RAUM · $282M to $302MDec 4, 2025 to Feb 28, 2026
- Individual RAUM · $122M to $159MDec 4, 2025 to Feb 28, 2026
- Non-discretionary RAUM · $39.5M to $31.7MDec 4, 2025 to Feb 28, 2026
- Pension RAUM · $3.1M to $3.2MDec 4, 2025 to Feb 28, 2026
- RAUM · $505M to $568MDec 4, 2025 to Feb 28, 2026
- Accounts · 1,432 to 1,127Sep 16, 2024 to Apr 8, 2025
- Advisory activities · 3 to 4Sep 16, 2024 to Apr 8, 2025
- Charity clients · 34 to 33Sep 16, 2024 to Apr 8, 2025
- Corporate clients · 8 to 10Sep 16, 2024 to Apr 8, 2025
- HNW clients · 125 to 127Sep 16, 2024 to Apr 8, 2025
- Individual clients · 555 to 298Sep 16, 2024 to Apr 8, 2025
- Employees · 9 to 14Sep 16, 2024 to Apr 8, 2025
- Financial planning clients · 51-100 to 51-100Sep 16, 2024 to Apr 8, 2025
- State-registered IARs · 9 to 11Sep 16, 2024 to Apr 8, 2025
- Discretionary RAUM · $394M to $465MSep 16, 2024 to Apr 8, 2025
- HNW RAUM · $259M to $282MSep 16, 2024 to Apr 8, 2025
- Individual RAUM · $112M to $122MSep 16, 2024 to Apr 8, 2025
- Non-discretionary RAUM · $41.6M to $39.5MSep 16, 2024 to Apr 8, 2025
- Pension RAUM · $2.8M to $3.1MSep 16, 2024 to Apr 8, 2025
- RAUM · $435M to $505MSep 16, 2024 to Apr 8, 2025
- Accounts · 1,547 to 1,432Dec 8, 2023 to Feb 15, 2024
- Advisory employees · 7 to 8Dec 8, 2023 to Feb 15, 2024
- Charity clients · 25 to 34Dec 8, 2023 to Feb 15, 2024
- Corporate clients · 20 to 8Dec 8, 2023 to Feb 15, 2024
- HNW clients · 116 to 125Dec 8, 2023 to Feb 15, 2024
- Individual clients · 690 to 555Dec 8, 2023 to Feb 15, 2024
- Pension plan clients · 1 to 3Dec 8, 2023 to Feb 15, 2024
- Employees · 8 to 9Dec 8, 2023 to Feb 15, 2024
- Financial planning clients · 11-25 to 51-100Dec 8, 2023 to Feb 15, 2024
- State-registered IARs · 8 to 9Dec 8, 2023 to Feb 15, 2024
Signals
4 dated events
- T••••• R••••• B••• (Managing Director & Cco) no longer on Schedule A of M•••••• W••••• M••••••••• (listed 2022-06-03, absent 2023-03-15)Mar 15, 2023 · Control person left · inference
- K••••••• Z••••• B••••• (President) appeared on Schedule A of M•••••• W••••• M•••••••••Mar 15, 2023 · Control person joined · fact
- R••••• T••••• B••• left M•••••• W••••• M••••••••• for O•••• I••••••••• I••• (registered 2024-08-27)Jan 12, 2023 · Advisor changed firm · fact
- M•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Feb 10, 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 phone
- 603-448-3650reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 603-676-8813reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-474-9330reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- mascoma.bank/investing/mascoma-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 603-676-8813reportedpublic record, Form ADV, Feb 28, 2026
- Team page
- mascoma.bank/people/zuzana-brochureportedpublished 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
- $51.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026