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.
SEC-registered adviser
Donoghue Forlines LLC
Latest filing Mar 27, 2026
First filing on the tape Oct 17, 2016 · 32 filings
SEC status approved since Nov 9, 2016
RAUM
$371M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.3%
$999,915 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$371M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$371M as of Mar 27, 2026
Mar 20, 2017$2.2B then
HNW client RAUM$1.0M as of Mar 30, 2021
Jan 10, 2018$495,355 then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 20, 20170 then
Employees (5.A)7 as of Mar 27, 2026
Mar 20, 201715 then
Private funds: no history
RAUM -4.6% over the last fiscal year-2.4% a year over threeIARs 1 to 1offices 2 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $371MderivedRAUM 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
- $18.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$367M99%
- Pension and profit-sharing plans$1.5M0.4%
- Individuals$999,9150.3%
- Corporations and businesses$536,5480.1%
- Individual clients
- 5reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 20reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jeffrey Robert Thompson | Boston, Ma | Dec 15, 2016 | 29 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
- Steven Grady Carver to LPL Financial LLCApr 5, 2023 · Other
- Kyle Patrick Soucy to Paulson Investment Advisors, LLCJul 31, 2020 · Other
- James Patrick Pritchard to Saxony Capital Management, LLCApr 30, 2020 · Other
- Anthony P Mazzariello to Edward JonesDec 20, 2019 · Other
- Byron Thomas Ramult to Wealth Enhancement Advisory Services, LLCDec 20, 2019 · Other
- Nathaniel Omeltchenko to Stifel, Nicolaus & Company, IncorporatedMar 25, 2019 · Other
- Wayne Washowich to Absolute Capital Management, LLCMar 25, 2019 · Other
Joined, latest
- Steven Grady Carver from MML Investors Services, LLCFeb 25, 2020 · Other
- James Patrick Pritchard from Swan Global Investments, LLCJun 6, 2018 · Other
- Kyle Patrick Soucy from Symmetry PartnersMar 7, 2018 · Other
- Jeffrey Robert Thompson from W.E. Donoghue & Co., IncDec 15, 2016 · Other
- Wayne Washowich from W.E. Donoghue & Co., IncDec 15, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W.E. Donoghue & Co., IncDec 13, 2016 · Norwood, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Alexander Jack Earp · Chief Compliance Officercontrolsince 10/2019 · owns less than 5%
- Arthur John Forlines · Chief Investment Officer, Directorcontrolsince 12/2017 · owns less than 5%
- Anthony David Minella · Directorcontrolsince 10/2016 · owns less than 5%
- Edward Richard Molari · Chief Operating Officer, Treasurer, And Directorcontrolsince 09/2016 · owns less than 5%
- Robert Jeffrey Thompson · Chief Executive Officer, Directorcontrolsince 09/2016 · owns less than 5%
- Bradley William Dowler · Membercontrolsince 05/2022 · owns 25% to 50% of Df Management LLC
- Anthony David Minella · Membercontrolsince 10/2006 · owns 75% or more of Minella Capital Management, LLC
- Robert Jeffrey Thompson · Membercontrolsince 05/2022 · owns 25% to 50% of Df Management LLC
Entity owners
- Df Management LLC · Memberdirect · owns 25% to 50%
- Wedco Acquisition Co., LLC · Memberdirect · owns 50% to 75%
- Minella Capital Management, LLC · Memberindirect · owns 75% or more of Wedco Acquisition Co., LLC
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 · 23 to 20May 2, 2025 to Mar 27, 2026
- Advisory employees · 4 to 3May 2, 2025 to Mar 27, 2026
- Individual clients · unset to 5.0May 2, 2025 to Mar 27, 2026
- Employees · 8 to 7May 2, 2025 to Mar 27, 2026
- Other offices · 2 to 1May 2, 2025 to Mar 27, 2026
- Discretionary RAUM · $389M to $371MMay 2, 2025 to Mar 27, 2026
- Individual RAUM · $646,255 to $999,915May 2, 2025 to Mar 27, 2026
- Pension RAUM · $1.3M to $1.5MMay 2, 2025 to Mar 27, 2026
- RAUM · $389M to $371MMay 2, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to May 2, 2025
- Discretionary RAUM · $389M to $389MMar 31, 2025 to May 2, 2025
- RAUM · $389M to $389MMar 31, 2025 to May 2, 2025
- Accounts · 29 to 23Feb 3, 2025 to Mar 31, 2025
- Advisory activities · 6 to 5Feb 3, 2025 to Mar 31, 2025
- Individual clients · 6.0 to unsetFeb 3, 2025 to Mar 31, 2025
- Other offices · 0 to 2Feb 3, 2025 to Mar 31, 2025
- Discretionary RAUM · $376M to $389MFeb 3, 2025 to Mar 31, 2025
- Individual RAUM · $1.0M to $646,255Feb 3, 2025 to Mar 31, 2025
- Pension RAUM · $1.2M to $1.3MFeb 3, 2025 to Mar 31, 2025
- RAUM · $376M to $389MFeb 3, 2025 to Mar 31, 2025
- Accounts · 30 to 29Aug 21, 2023 to Mar 28, 2024
- BD registered reps · 1 to 0Aug 21, 2023 to Mar 28, 2024
- Individual clients · 5 to 6Aug 21, 2023 to Mar 28, 2024
- Pooled vehicle clients · 1.0 to unsetAug 21, 2023 to Mar 28, 2024
- Employees · 11 to 8Aug 21, 2023 to Mar 28, 2024
- State-registered IARs · 2 to 1Aug 21, 2023 to Mar 28, 2024
- Other offices · 1 to 0Aug 21, 2023 to Mar 28, 2024
- Discretionary RAUM · $399M to $376MAug 21, 2023 to Mar 28, 2024
- Individual RAUM · $691,002 to $1.0MAug 21, 2023 to Mar 28, 2024
- Pension RAUM · $1.1M to $1.2MAug 21, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · 1699345.0 to unsetAug 21, 2023 to Mar 28, 2024
- RAUM · $399M to $376MAug 21, 2023 to Mar 28, 2024
- Accounts · 34 to 30Aug 18, 2022 to Mar 31, 2023
- BD registered reps · 2 to 1Aug 18, 2022 to Mar 31, 2023
- Individual clients · 8 to 5Aug 18, 2022 to Mar 31, 2023
- Employees · 12 to 11Aug 18, 2022 to Mar 31, 2023
- State-registered IARs · 3 to 2Aug 18, 2022 to Mar 31, 2023
- Discretionary RAUM · $656M to $399MAug 18, 2022 to Mar 31, 2023
- Individual RAUM · $1.6M to $691,002Aug 18, 2022 to Mar 31, 2023
- Pension RAUM · $1.2M to $1.1MAug 18, 2022 to Mar 31, 2023
Signals
12 dated events
- Steven Grady Carver left Donoghue Forlines Llc for Lpl Financial Llc (registered 2023-05-18)Apr 5, 2023 · Advisor changed firm · fact
- Bradley William Dowler (Member) appeared on Schedule A of Donoghue Forlines LlcMar 31, 2023 · Control person joined · fact
- Donoghue Forlines Llc reported RAUM $398.8M, down 39% from $656.1M (2022-08-18 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Curtis Alexander Meyer (Director Of Sales, Director) no longer on Schedule A of Donoghue Forlines Llc (listed 2022-03-31, absent 2022-08-18)Aug 18, 2022 · Control person left · inference
- Donoghue Forlines Llc reported RAUM $706.9M, down 73% from $2.6B (2020-01-09 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Joseph Robert Shea (Co-Chief Investment Officer) no longer on Schedule A of Donoghue Forlines Llc (listed 2019-10-31, absent 2020-01-09)Jan 9, 2020 · Control person left · inference
- Alexander Jack Earp (Chief Compliance Officer) appeared on Schedule A of Donoghue Forlines LlcOct 31, 2019 · Control person joined · fact
- Bradley William Dowler (Chief Compliance Officer And Treasurer) no longer on Schedule A of Donoghue Forlines Llc (listed 2019-03-25, absent 2019-10-31)Oct 31, 2019 · Control person left · inference
- Joseph Robert Shea (Co-Chief Investment Officer) appeared on Schedule A of Donoghue Forlines LlcMar 25, 2019 · Control person joined · fact
- Donoghue Forlines Llc reported RAUM $3.5B, up 30% from $2.7B (2017-12-05 to 2018-01-10)Jan 10, 2018 · RAUM change · derived
- W.E. Donoghue & Co., Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 17, 2016 · Succession (Item 4) · fact
- W.E. Donoghue & Co., Llc filed its initial SEC registration (Form ADV)Oct 17, 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
- Firm profile
- linkedin.com/company/donoghueforlinesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- donoghueforlines.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800.642.4276reportedpublic record, Form ADV, Mar 27, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $371Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026