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
Goodman Advisory Group, LLC
Latest filing Mar 12, 2026
First filing on the tape Nov 9, 2016 · 27 filings
SEC status approved since Nov 18, 2016
RAUM
$415M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$367M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$69.2M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$415M as of Mar 12, 2026
Mar 18, 2017$111M then
HNW client RAUM$327M as of Mar 12, 2026
Mar 23, 2018$160M then
State-registered IARs (5.B.3)6 as of Mar 12, 2026
Mar 18, 20174 then
Employees (5.A)8 as of Mar 12, 2026
Mar 18, 20174 then
Private funds: no history
RAUM +12% over the last fiscal year+17% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $69.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $556,942derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$327M79%
- Charitable organizations$45.9M11%
- Individuals$40.0M9.6%
- Corporations and businesses$1.3M0.3%
- Pension and profit-sharing plans$1.2M0.3%
- Individual clients
- 160reported
- HNW clients
- 212reported
- Pension plan clients
- 3reported
- Charitable clients
- 2reported
- Accounts
- 746reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $97.6M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Deborah Nicole GoodmanCertified Financial Planner | Needham, Ma | Jan 3, 2017 | 19 y | 0 |
| Joseph Paul Rofino | Needham, Ma | Jan 3, 2017 | 13 y | 1 |
| Steven Martin GoodmanCertified Financial Planner | Needham, Ma | Jan 3, 2017 | 38 y | 1 |
| Rosalie CryanChartered Financial Analyst | Needham, Ma | Feb 27, 2023 | 13 y | 0 |
| Brad Edward Barthelemy | Needham, Ma | Nov 15, 2023 | 12 y | 0 |
| Bernard John LynchCertified Financial Planner | Needham, Ma | Sep 9, 2025 | 11 y | 6 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount2 left over 36 months
Left, latest
- Alan Abraham Zwicker to Schwab Wealth Advisory, Inc.Jan 21, 2026 · Other
- David Luke Barlow to Grimes & CompanyJun 3, 2024 · RIA to RIA
- Timothy Robert Couture to Svb Investment Services Inc.Mar 26, 2019 · RIA to RIA
Joined, latest
- Bernard John Lynch from Arcadia Wealth Management, LLCSep 9, 2025 · RIA to RIA
- Alan Abraham Zwicker from Northwestern Mutual Investment Services,LLCSep 9, 2025 · Other
- David Luke Barlow from Ferris Capital, LLCOct 31, 2019 · RIA to RIA
- Timothy Robert Couture from Washington Trust AdvisorsFeb 22, 2017 · Other
- Steven Martin Goodman from LPL Financial LLCJan 3, 2017 · Other
- Joseph Paul Rofino from Morgan StanleyJan 3, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Nicole Deborah Goodman · Managing Member, President And Chief Compliance Officercontrolsince 10/2016 · owns 50% to 75%
- Paul Joseph Rofino · Director Of Research And Portfolio Managercontrolsince 01/2020 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Needham, Ma · principal | 6 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 817 to 746May 5, 2025 to Mar 12, 2026
- Advisory employees · 4 to 6May 5, 2025 to Mar 12, 2026
- BD registered reps · 3 to 6May 5, 2025 to Mar 12, 2026
- Charity clients · 1 to 2May 5, 2025 to Mar 12, 2026
- Corporate clients · 4 to 3May 5, 2025 to Mar 12, 2026
- HNW clients · 211 to 212May 5, 2025 to Mar 12, 2026
- Individual clients · 220 to 160May 5, 2025 to Mar 12, 2026
- Pension plan clients · 2 to 3May 5, 2025 to Mar 12, 2026
- Assets in custody · unset to 9206992.0May 5, 2025 to Mar 12, 2026
- Financial planning clients · 11-25 to 101-250May 5, 2025 to Mar 12, 2026
- State-registered IARs · 5 to 6May 5, 2025 to Mar 12, 2026
- Discretionary RAUM · $370M to $415MMay 5, 2025 to Mar 12, 2026
- HNW RAUM · $285M to $327MMay 5, 2025 to Mar 12, 2026
- Individual RAUM · $47.8M to $40.0MMay 5, 2025 to Mar 12, 2026
- Pension RAUM · $891,962 to $1.2MMay 5, 2025 to Mar 12, 2026
- RAUM · $370M to $415MMay 5, 2025 to Mar 12, 2026
- Wrap assets (manager) · $0 to $97.6MMay 5, 2025 to Mar 12, 2026
- Financial planning clients · 11-25 to 11-25Mar 27, 2025 to May 5, 2025
- Accounts · 776 to 817Nov 8, 2024 to Mar 27, 2025
- Advisory employees · 6 to 4Nov 8, 2024 to Mar 27, 2025
- Advisory activities · 5 to 4Nov 8, 2024 to Mar 27, 2025
- BD registered reps · 2 to 3Nov 8, 2024 to Mar 27, 2025
- HNW clients · 189 to 211Nov 8, 2024 to Mar 27, 2025
- Individual clients · 231 to 220Nov 8, 2024 to Mar 27, 2025
- State-registered IARs · 6 to 5Nov 8, 2024 to Mar 27, 2025
- Discretionary RAUM · $297M to $370MNov 8, 2024 to Mar 27, 2025
- HNW RAUM · $220M to $285MNov 8, 2024 to Mar 27, 2025
- Individual RAUM · $48.9M to $47.8MNov 8, 2024 to Mar 27, 2025
- Pension RAUM · $679,256 to $891,962Nov 8, 2024 to Mar 27, 2025
- RAUM · $297M to $370MNov 8, 2024 to Mar 27, 2025
- Accounts · 747 to 776Mar 27, 2023 to Mar 27, 2024
- Advisory employees · 5 to 6Mar 27, 2023 to Mar 27, 2024
- Charity clients · 0 to 1Mar 27, 2023 to Mar 27, 2024
- Corporate clients · 5 to 4Mar 27, 2023 to Mar 27, 2024
- HNW clients · 181 to 189Mar 27, 2023 to Mar 27, 2024
- Individual clients · 234 to 231Mar 27, 2023 to Mar 27, 2024
- Employees · 6 to 8Mar 27, 2023 to Mar 27, 2024
- State-registered IARs · 4 to 6Mar 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $259M to $297MMar 27, 2023 to Mar 27, 2024
- HNW RAUM · $196M to $220MMar 27, 2023 to Mar 27, 2024
Signals
4 dated events
- Alan Abraham Zwicker left Goodman Advisory Group, Llc for Schwab Wealth Advisory, Inc. (registered 2026-04-16)Jan 21, 2026 · Advisor changed firm · fact
- David Luke Barlow left Goodman Advisory Group, Llc for Grimes & Company (registered 2024-09-26)Jun 3, 2024 · Advisor changed firm · fact
- Goodman Advisory Group, Llc reported RAUM $222.8M, up 101% from $110.8M (2017-09-20 to 2018-03-23)Mar 23, 2018 · RAUM change · derived
- Goodman Advisory Group, Llc filed its initial SEC registration (Form ADV)Nov 9, 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
- 781-350-9995reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-559-0320reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-559-0321reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/GOODMAN-ADVISORY-GROUP-LLCreportedpublic record, Form ADV, Sep 17, 2026
- Website
- GOODMANADVISORYGROUP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (781) 559-0320reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- goodmanadvisorygroup.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- goodmanadvisorygroup.com/meet-the-teamreportedpublished 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
- $69.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026