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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Former SEC-registered adviser

T•••• O• I•••••••• L••

Former SEC-registered adviserConway, New HampshireCRD 284566SEC 801-108155IAPD
Legal name M•••••••• B••••••• H•••••• C•••••••••
Latest filing Mar 29, 2019
First filing on the tape Jul 14, 2016 · 14 filings
RAUM
$27.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
66%
$18.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$27.3M as of Mar 29, 2019
Jan 31, 2017$44.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 29, 2019
Jan 31, 20171 then
Employees (5.A)5 as of Mar 29, 2019
Jan 31, 20171 then
Private funds: no history
RAUM -76% over the last fiscal yearIARs 1 to 4
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
RAUM per advisor
$6.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$156,979derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-76%derivedbetween the last two annual amendments
Advisor growth, one year
+300%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$18.1M66%
  • Other investment advisers$9.3M34%
Individual clients
172reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
174reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M••••••••• C••••••••• · Directorcontrol
    since 01/2019 · owns 25% to 50%
  • M••••••••• M•••••• · Directorcontrol
    since 01/2019 · owns 25% to 50%
  • M••••••••• M••••••• J••• · Director And Ccocontrol
    since 01/2019 · owns 25% to 50%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 321 to 174
    Feb 26, 2019 to Mar 29, 2019
  • Individual clients · 321 to 172
    Feb 26, 2019 to Mar 29, 2019
  • Legal name · T•••• O• I•••••••• L•• to M•••••••• B••••••• H•••••• C•••••••••
    Feb 26, 2019 to Mar 29, 2019
  • Discretionary RAUM · $27.0M to $27.3M
    Feb 26, 2019 to Mar 29, 2019
  • Individual RAUM · $27.0M to $18.1M
    Feb 26, 2019 to Mar 29, 2019
  • RAUM · $27.0M to $27.3M
    Feb 26, 2019 to Mar 29, 2019
  • Accounts · 495 to 321
    Aug 1, 2018 to Jan 7, 2019
  • Advisory employees · 3 to 4
    Aug 1, 2018 to Jan 7, 2019
  • Employees · 4 to 5
    Aug 1, 2018 to Jan 7, 2019
  • State-registered IARs · 3 to 4
    Aug 1, 2018 to Jan 7, 2019
  • Discretionary RAUM · $113M to $27.0M
    Aug 1, 2018 to Jan 7, 2019
  • Individual RAUM · $113M to $27.0M
    Aug 1, 2018 to Jan 7, 2019
  • RAUM · $113M to $27.0M
    Aug 1, 2018 to Jan 7, 2019
  • State-registered IARs · 1 to 3
    Mar 29, 2018 to Jun 13, 2018
  • Advisory employees · 2 to 3
    Mar 29, 2018 to Jun 13, 2018
  • Employees · 3 to 4
    Mar 29, 2018 to Jun 13, 2018
  • Advisory activities · 1 to 2
    Mar 22, 2018 to Mar 29, 2018
  • Accounts · 545 to 495
    Jan 31, 2017 to Mar 19, 2018
  • Advisory employees · 1 to 2
    Jan 31, 2017 to Mar 19, 2018
  • Individual clients · unset to 321.0
    Jan 31, 2017 to Mar 19, 2018
  • Employees · 1 to 3
    Jan 31, 2017 to Mar 19, 2018
  • Insurance-licensed employees · 1 to 0
    Jan 31, 2017 to Mar 19, 2018
  • Financial planning clients · unset to 0
    Jan 31, 2017 to Mar 19, 2018
  • HQ city · OSSIPEE to CONWAY
    Jan 31, 2017 to Mar 19, 2018
  • Other offices · unset to 1.0
    Jan 31, 2017 to Mar 19, 2018
  • Discretionary RAUM · $44.4M to $113M
    Jan 31, 2017 to Mar 19, 2018
  • Individual RAUM · unset to 112913456.0
    Jan 31, 2017 to Mar 19, 2018
  • RAUM · $44.4M to $113M
    Jan 31, 2017 to Mar 19, 2018
  • Related adviser · true to false
    Jan 31, 2017 to Mar 19, 2018
  • Accounts · 526 to 545
    Nov 3, 2016 to Jan 31, 2017
  • Discretionary RAUM · $58.1M to $44.4M
    Nov 3, 2016 to Jan 31, 2017
  • RAUM · $58.1M to $44.4M
    Nov 3, 2016 to Jan 31, 2017
  • Accounts · 0 to 526
    Jul 15, 2016 to Nov 3, 2016
  • Discretionary RAUM · $0 to $58.1M
    Jul 15, 2016 to Nov 3, 2016
  • RAUM · $0 to $58.1M
    Jul 15, 2016 to Nov 3, 2016
Signals
5 dated events
  • Robert Anthony Cloutier (Chief Compliance Officer) no longer on Schedule A of T•••• O• I•••••••• L•• (listed 2019-02-26, absent 2019-03-29)
    Mar 29, 2019 · Control person left · inference
  • Matthew Markowski (Director) appeared on Schedule A of T•••• O• I•••••••• L••
    Feb 26, 2019 · Control person joined · fact
  • John Michael Markowski (Director) appeared on Schedule A of T•••• O• I•••••••• L••
    Feb 26, 2019 · Control person joined · fact
  • Christopher Markowski (Director) appeared on Schedule A of T•••• O• I•••••••• L••
    Feb 26, 2019 · Control person joined · fact
  • T•••• O• I•••••••• L•• filed its initial SEC registration (Form ADV)
    Jul 14, 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.
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