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
T•••• B••••••• F•••••••• A•••••••• I•••
Latest filing Aug 10, 2026
First filing on the tape Jun 29, 2016 · 21 filings
SEC status approved since Jul 28, 2016
RAUM
$351M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
58%
$204M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$175M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$351M as of Aug 10, 2026
Mar 31, 2017$205M then
HNW client RAUM$183M as of Aug 10, 2026
Mar 31, 2018$102M then
State-registered IARs (5.B.3)2 as of Aug 10, 2026
Mar 31, 20173 then
Employees (5.A)5 as of Aug 10, 2026
Mar 31, 20173 then
Private funds: no history
RAUM +14% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $175MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $641,194derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 42%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $321M, 172 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
- High-net-worth individuals$183M52%
- State and municipal entities$146M42%
- Individuals$20.9M6.0%
- Charitable organizations$557,7400.2%
- Individual clients
- 84reported
- HNW clients
- 73reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 547reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $321M for 172 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.58 fund_share=0.0 institutional_share=0.42 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 |
|---|---|---|---|---|
| D•••• T••••• M••••Certified Financial Planner | Hampton, Nh | Aug 23, 2016 | 22 y | 5 |
| Z•••••• Z••••Certified Financial Planner | Hampton, Nh | Oct 22, 2019 | 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
- J•••• H••••• B•••• to C••••••• S••••••••• I•••May 24, 2017 · Other
Joined, latest
- Z•••••• Z•••• from J•••••• B•••••••Oct 22, 2019 · RIA to RIA
- D•••• T••••• M•••• from M•••••••• • C••••••• I•••Aug 23, 2016 · Other
- J•••• H••••• B•••• from M•••••••• • C••••••• I•••Aug 23, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M•••••••• • C••••••• I•••Oct 27, 2016 · Hampton, Nh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• D••••• T••••• · President/Director/Chief Compliance Officercontrolsince 03/2016 · owns less than 5%
- M••••• D••••• T••••• · Trusteecontrolsince 03/2016 · owns F of T•• D•••• T• M•••• R•••••••• L••••• T••••
Entity owners
- T•• D•••• T• M•••• R•••••••• L••••• T•••• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Hampton, Nh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Aug 10, 2026institutional share of RAUM of 42% against a peer median of 0% (5676 comparable advisers, 98.0th percentile, 14.0 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 98% percentile
- custody status changedChange between filings · filing Aug 10, 2026custody of client assets (Item 9.A): no on the filing of 2026-03-31, yes on the filing of 2026-08-10peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Assets in custody · unset to 321015251.0Mar 31, 2026 to Aug 10, 2026
- Custody of client assets · false to trueMar 31, 2026 to Aug 10, 2026
- Employees · 4 to 5Mar 31, 2026 to Aug 10, 2026
- Accounts · 504 to 547Mar 31, 2025 to Mar 31, 2026
- Charity clients · 3 to 2Mar 31, 2025 to Mar 31, 2026
- HNW clients · 64 to 73Mar 31, 2025 to Mar 31, 2026
- Individual clients · 85 to 84Mar 31, 2025 to Mar 31, 2026
- Employees · 5 to 4Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $291M to $333MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $154M to $183MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $22.6M to $20.9MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $17.0M to $17.7MMar 31, 2025 to Mar 31, 2026
- RAUM · $308M to $351MMar 31, 2025 to Mar 31, 2026
- Accounts · 500 to 504Mar 29, 2024 to Mar 31, 2025
- HNW clients · 68 to 64Mar 29, 2024 to Mar 31, 2025
- Individual clients · 78 to 85Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $270M to $291MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $151M to $154MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $15.4M to $22.6MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $16.4M to $17.0MMar 29, 2024 to Mar 31, 2025
- RAUM · $287M to $308MMar 29, 2024 to Mar 31, 2025
- Accounts · 510 to 500Mar 30, 2023 to Mar 29, 2024
- Charity clients · 2 to 3Mar 30, 2023 to Mar 29, 2024
- HNW clients · 63 to 68Mar 30, 2023 to Mar 29, 2024
- Individual clients · 87 to 78Mar 30, 2023 to Mar 29, 2024
- Employees · 4 to 5Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $237M to $270MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $131M to $151MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $16.9M to $15.4MMar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $19.2M to $16.4MMar 30, 2023 to Mar 29, 2024
- RAUM · $256M to $287MMar 30, 2023 to Mar 29, 2024
- Accounts · 508 to 510Nov 14, 2022 to Mar 30, 2023
- HNW clients · 66 to 63Nov 14, 2022 to Mar 30, 2023
- Individual clients · 76 to 87Nov 14, 2022 to Mar 30, 2023
- Discretionary RAUM · $264M to $237MNov 14, 2022 to Mar 30, 2023
- HNW RAUM · $160M to $131MNov 14, 2022 to Mar 30, 2023
- Individual RAUM · $15.3M to $16.9MNov 14, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $22.8M to $19.2MNov 14, 2022 to Mar 30, 2023
- RAUM · $286M to $256MNov 14, 2022 to Mar 30, 2023
Signals
2 dated events
- Marie Jennifer Mayes (Director/Secretary) no longer on Schedule A of T•••• B••••••• F•••••••• A•••••••• I••• (listed 2021-03-31, absent 2022-04-01)Apr 1, 2022 · Control person left · inference
- B••••••••• W••••• P••••••• filed its initial SEC registration (Form ADV)Jun 29, 2016 · 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
- 603-926-1249reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 603-926-1775reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-927-7365reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- T••••B•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 603-926-1775reportedpublic record, Form ADV, Aug 10, 2026
- Team page
- threebearings.com/our-team.htmlreportedpublished 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
- $175Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026