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.

Former SEC-registered adviser

Newday Solutions, LLC

Former SEC-registered adviserHampton, New HampshireCRD 282163SEC 801-106983IAPD
Latest filing Jun 30, 2020
First filing on the tape Nov 23, 2015 · 17 filings
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$136M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$136M as of Mar 24, 2020
Feb 29, 2016$0 then
HNW client RAUM$63.7M as of Mar 24, 2020
Mar 25, 2018$66.0M then
State-registered IARs (5.B.3)4 as of Mar 24, 2020
Feb 29, 20164 then
Employees (5.A)6 as of Mar 24, 2020
Feb 29, 20167 then
Private funds: no history
RAUM -8.0% over the last fiscal year+3.3% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
RAUM per advisor
$34.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
71derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$173,876derivedRAUM 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
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-8.0%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
-5.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$124MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$72.6M53%
  • High-net-worth individuals$63.7M47%
Individual clients
249reported
HNW clients
35reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
784reported
Financial planning clients
51-100reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Mary Kathleen Thomas · Managing Member, President And Chief Compliance Officercontrol
    since 12/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 909 to 784
    Sep 26, 2019 to Mar 24, 2020
  • HNW clients · 39 to 35
    Sep 26, 2019 to Mar 24, 2020
  • Individual clients · 261 to 249
    Sep 26, 2019 to Mar 24, 2020
  • Discretionary RAUM · $148M to $136M
    Sep 26, 2019 to Mar 24, 2020
  • HNW RAUM · $68.6M to $63.7M
    Sep 26, 2019 to Mar 24, 2020
  • Individual RAUM · $79.7M to $72.6M
    Sep 26, 2019 to Mar 24, 2020
  • RAUM · $148M to $136M
    Sep 26, 2019 to Mar 24, 2020
  • Advisory employees · 3 to 4
    Mar 4, 2019 to Sep 26, 2019
  • Employees · 7 to 6
    Mar 4, 2019 to Sep 26, 2019
  • Insurance-licensed employees · 0 to 4
    Mar 4, 2019 to Sep 26, 2019
  • State-registered IARs · 3 to 4
    Mar 4, 2019 to Sep 26, 2019
  • Accounts · 847 to 909
    Mar 25, 2018 to Mar 4, 2019
  • HNW clients · 37 to 39
    Mar 25, 2018 to Mar 4, 2019
  • Individual clients · 244 to 261
    Mar 25, 2018 to Mar 4, 2019
  • Discretionary RAUM · $145M to $148M
    Mar 25, 2018 to Mar 4, 2019
  • HNW RAUM · $66.0M to $68.6M
    Mar 25, 2018 to Mar 4, 2019
  • Individual RAUM · $79.3M to $79.7M
    Mar 25, 2018 to Mar 4, 2019
  • RAUM · $145M to $148M
    Mar 25, 2018 to Mar 4, 2019
  • Accounts · 779 to 847
    Feb 15, 2017 to Mar 25, 2018
  • Advisory activities · 3 to 2
    Feb 15, 2017 to Mar 25, 2018
  • HNW clients · unset to 37.0
    Feb 15, 2017 to Mar 25, 2018
  • Individual clients · unset to 244.0
    Feb 15, 2017 to Mar 25, 2018
  • Employees · 6 to 7
    Feb 15, 2017 to Mar 25, 2018
  • Financial planning clients · 1-10 to 51-100
    Feb 15, 2017 to Mar 25, 2018
  • Other offices · unset to 0.0
    Feb 15, 2017 to Mar 25, 2018
  • Discretionary RAUM · $121M to $145M
    Feb 15, 2017 to Mar 25, 2018
  • HNW RAUM · unset to 66044786.0
    Feb 15, 2017 to Mar 25, 2018
  • Individual RAUM · unset to 79303195.0
    Feb 15, 2017 to Mar 25, 2018
  • Non-discretionary RAUM · $2.3M to $0
    Feb 15, 2017 to Mar 25, 2018
  • RAUM · $124M to $145M
    Feb 15, 2017 to Mar 25, 2018
  • Related adviser · false to true
    Feb 15, 2017 to Mar 25, 2018
  • Related insurance company · true to false
    Feb 15, 2017 to Mar 25, 2018
  • Wrap assets (manager) · unset to 0.0
    Feb 15, 2017 to Mar 25, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Feb 15, 2017 to Mar 25, 2018
  • Accounts · 707 to 779
    Jan 24, 2017 to Feb 7, 2017
  • Discretionary RAUM · $105M to $121M
    Jan 24, 2017 to Feb 7, 2017
  • Non-discretionary RAUM · $1.6M to $2.3M
    Jan 24, 2017 to Feb 7, 2017
  • RAUM · $107M to $124M
    Jan 24, 2017 to Feb 7, 2017
  • Advisory employees · 4 to 3
    Nov 2, 2016 to Nov 25, 2016
  • Employees · 7 to 6
    Nov 2, 2016 to Nov 25, 2016
Signals
1 dated events
  • Newday Solutions, Llc filed its initial SEC registration (Form ADV)
    Nov 23, 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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026