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
S•••• W••••• A•••••••• L••
Latest filing Jan 30, 2026
First filing on the tape Nov 15, 2016 · 19 filings
SEC status approved since Dec 6, 2016
RAUM
$198M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$198M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$99.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$198M as of Jan 30, 2026
Mar 23, 2017$92.4M then
HNW client RAUM$189M as of Jan 30, 2026
Feb 1, 2018$78.5M then
State-registered IARs (5.B.3)2 as of Jan 30, 2026
Mar 23, 20172 then
Employees (5.A)2 as of Jan 30, 2026
Mar 23, 20172 then
Private funds: no history
RAUM +12% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $99.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $46.6M, 16 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$189M95%
- Individuals$9.1M4.6%
- Individual clients
- 18reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 186reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $46.6M for 16 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| A••••• M•••••• S••••Certified Financial Planner | Greenland, Nh | Jan 23, 2017 | 12 y | 1 |
| E•••• T••••••• S•••• | Greenland, Nh | Jan 26, 2017 | 43 y | 2 |
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
none on the tape
Joined, latest
- E•••• T••••••• S•••• from C••••• • M•••••••• I•••Jan 26, 2017 · Other
- A••••• M•••••• S•••• from C••••• • M•••••••• I•••Jan 23, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• A•••••• M•••••• · Member, Principal And Chief Compliance Officercontrolsince 01/2017 · owns 50% to 75%
- S••••• E••••• T••••••• · Member, Principalcontrolsince 01/2017 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Greenland, Nh | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 69 to 186Jan 15, 2025 to Jan 30, 2026
- HNW clients · 47 to 49Jan 15, 2025 to Jan 30, 2026
- Individual clients · 22 to 18Jan 15, 2025 to Jan 30, 2026
- Assets in custody · $49.8M to $46.6MJan 15, 2025 to Jan 30, 2026
- Discretionary RAUM · $176M to $198MJan 15, 2025 to Jan 30, 2026
- HNW RAUM · $165M to $189MJan 15, 2025 to Jan 30, 2026
- Individual RAUM · $11.0M to $9.1MJan 15, 2025 to Jan 30, 2026
- RAUM · $176M to $198MJan 15, 2025 to Jan 30, 2026
- Accounts · 70 to 69Jan 23, 2024 to Jan 15, 2025
- HNW clients · 37 to 47Jan 23, 2024 to Jan 15, 2025
- Individual clients · 33 to 22Jan 23, 2024 to Jan 15, 2025
- Assets in custody · $47.4M to $49.8MJan 23, 2024 to Jan 15, 2025
- Financial planning clients · 0 to 0Jan 23, 2024 to Jan 15, 2025
- HQ city · unset to Jan 23, 2024 to Jan 15, 2025
- HQ state · unset to Jan 23, 2024 to Jan 15, 2025
- Discretionary RAUM · $142M to $176MJan 23, 2024 to Jan 15, 2025
- HNW RAUM · $124M to $165MJan 23, 2024 to Jan 15, 2025
- Individual RAUM · $17.5M to $11.0MJan 23, 2024 to Jan 15, 2025
- RAUM · $142M to $176MJan 23, 2024 to Jan 15, 2025
- Accounts · 72 to 70Oct 11, 2023 to Jan 23, 2024
- HNW clients · 36 to 37Oct 11, 2023 to Jan 23, 2024
- Individual clients · 36 to 33Oct 11, 2023 to Jan 23, 2024
- Assets in custody · $31.8M to $47.4MOct 11, 2023 to Jan 23, 2024
- Discretionary RAUM · $126M to $142MOct 11, 2023 to Jan 23, 2024
- HNW RAUM · $109M to $124MOct 11, 2023 to Jan 23, 2024
- Individual RAUM · $17.7M to $17.5MOct 11, 2023 to Jan 23, 2024
- RAUM · $126M to $142MOct 11, 2023 to Jan 23, 2024
- Accounts · 182 to 72Feb 10, 2022 to Feb 6, 2023
- HNW clients · 38 to 36Feb 10, 2022 to Feb 6, 2023
- Individual clients · 33 to 36Feb 10, 2022 to Feb 6, 2023
- Assets in custody · $55.1M to $31.8MFeb 10, 2022 to Feb 6, 2023
- Discretionary RAUM · $149M to $126MFeb 10, 2022 to Feb 6, 2023
- HNW RAUM · $130M to $109MFeb 10, 2022 to Feb 6, 2023
- Individual RAUM · $18.6M to $17.7MFeb 10, 2022 to Feb 6, 2023
- RAUM · $149M to $126MFeb 10, 2022 to Feb 6, 2023
- Accounts · 170 to 182Feb 12, 2021 to Feb 10, 2022
- HNW clients · 35 to 38Feb 12, 2021 to Feb 10, 2022
- Individual clients · 34 to 33Feb 12, 2021 to Feb 10, 2022
- Assets in custody · $32.9M to $55.1MFeb 12, 2021 to Feb 10, 2022
- Discretionary RAUM · $128M to $149MFeb 12, 2021 to Feb 10, 2022
Signals
1 dated events
- S•• L•• filed its initial SEC registration (Form ADV)Nov 15, 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 email
- info@safiradvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 603-430-6001reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/safiradvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (603) 430-6001reportedpublic record, Form ADV, Jan 30, 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
- $99.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026