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
Penobscot Financial Advisors
Legal name Penobscot Wealth Management
Latest filing Apr 27, 2026
First filing on the tape Jan 13, 2017 · 33 filings
SEC status approved since Jan 25, 2017
RAUM
$545M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$543M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$68.1M
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$545M as of Apr 27, 2026
Mar 26, 2018$153M then
HNW client RAUM$397M as of Apr 27, 2026
Mar 26, 2018$67.4M then
State-registered IARs (5.B.3)7 as of Apr 27, 2026
Mar 26, 20184 then
Employees (5.A)12 as of Apr 27, 2026
Mar 26, 20187 then
Private funds: no history
RAUM +25% over the last fiscal year+18% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Apr 27, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $68.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $300,681derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -29%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Wrap fee program
- $471MreportedItem 5.I
- Custody
- $3.9M, 10 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$397M73%
- Individuals$146M27%
- Charitable organizations$1.2M0.2%
- Individual clients
- 369reported
- HNW clients
- 193reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,811reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $3.9M for 10 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
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Craig Arthur JoncasCertified Financial Planner | Portland, Me | Jan 30, 2017 | 18 y | 3 |
| James Edgar BradleyCertified Financial Planner, Chartered Financial Analyst | Portland, Me | Jan 30, 2017 | 29 y | 3 |
| Samuel David Chaplin | Portland, Me | Feb 1, 2019 | 11 y | 0 |
| Tyler James Hafford | Bangor, Me | Apr 3, 2019 | 14 y | 1 |
| Elizabeth Sandra MckayCertified Financial Planner | Portland, Me | Aug 5, 2022 | 10 y | 1 |
| Rebecca Marie Angelica SchumanCertified Financial Planner | Portland, Me | Sep 29, 2023 | 13 y | 0 |
| Yelshaday Teklu Gebreselassie | Portland, Me | Jul 2, 2025 | 12 y | 0 |
| Nathan Chase HubbardCertified Financial Planner | Portland, Me | Apr 17, 2026 | 10 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount2 left over 36 months
Left, latest
- Jessica Dolmage to Allodium Investment Consultants, LLCJan 14, 2026 · RIA to RIA
- Colby Jordan Mank to Coppell Advisory Solutions LLCFeb 27, 2025 · RIA to RIA
- James Kane to Aj WealthSep 15, 2022 · RIA to RIA
- Abrin Angelus Berkemeyer to Rwm Capital, LLCOct 29, 2021 · RIA to RIA
Joined, latest
- Nathan Chase Hubbard from Strategic Advisers LLCApr 17, 2026 · Affiliated broker-dealer or bank to independent RIA
- Elizabeth Sandra Mckay from Coats Financial PlanningAug 5, 2022 · Other
- Tyler James Hafford from Morgan StanleyApr 3, 2019 · Wirehouse to independent RIA
- Craig Arthur Joncas from Mid Atlantic Financial Management, Inc.Jan 30, 2017 · Other
- James Edgar Bradley from Mid Atlantic Financial Management, Inc.Jan 30, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Mid Atlantic Financial Management, Inc.Jul 31, 2017 · Pittsburgh, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Edgar James Bradley · Chief Investment Officercontrolsince 08/2020 · owns 50% to 75%
- Arthur Craig Joncas · Chief Executive Officercontrolsince 08/2020 · owns 25% to 50%
- Marie Hannah Tackett · Chief Compliance Officer & Chief Operating Officercontrolsince 08/2020 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Portland, Me · principal | 8 | 1 | 0 | ||
| Bangor, Me | 2 | 0 | 0 | ||
| Cedar Rapids, Ia | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Bangor, ME3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 27, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $434,543,021 to $544,532,434, advisors 7 to 7, private clients 796 to 562, offices 1 to 1 (2025-02-25 to 2026-04-27)peers: independent wealth managers, $500M to $1B (1,483)
What changed
consecutive filings, newest first
- Accounts · 1,925 to 1,811Jul 7, 2025 to Mar 26, 2026
- Advisory employees · 6 to 7Jul 7, 2025 to Mar 26, 2026
- HNW clients · 144 to 193Jul 7, 2025 to Mar 26, 2026
- Individual clients · 652 to 369Jul 7, 2025 to Mar 26, 2026
- Assets in custody · $3.8M to $3.9MJul 7, 2025 to Mar 26, 2026
- Employees · 11 to 12Jul 7, 2025 to Mar 26, 2026
- Financial planning clients · More than 500 to 26-50Jul 7, 2025 to Mar 26, 2026
- Discretionary RAUM · $425M to $544MJul 7, 2025 to Mar 26, 2026
- HNW RAUM · $274M to $397MJul 7, 2025 to Mar 26, 2026
- Individual RAUM · $158M to $146MJul 7, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $9.4M to $507,065Jul 7, 2025 to Mar 26, 2026
- Pension RAUM · 1048635.0 to unsetJul 7, 2025 to Mar 26, 2026
- RAUM · $435M to $545MJul 7, 2025 to Mar 26, 2026
- Financial planning clients · More than 500 to More than 500Feb 25, 2025 to Jul 7, 2025
- Accounts · 2,260 to 1,925Nov 14, 2024 to Feb 25, 2025
- Advisory employees · 9 to 6Nov 14, 2024 to Feb 25, 2025
- HNW clients · 127 to 144Nov 14, 2024 to Feb 25, 2025
- Individual clients · 669 to 652Nov 14, 2024 to Feb 25, 2025
- Employees · 12 to 11Nov 14, 2024 to Feb 25, 2025
- State-registered IARs · 9 to 7Nov 14, 2024 to Feb 25, 2025
- Discretionary RAUM · $334M to $425MNov 14, 2024 to Feb 25, 2025
- HNW RAUM · $230M to $274MNov 14, 2024 to Feb 25, 2025
- Individual RAUM · $173M to $158MNov 14, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $70.6M to $9.4MNov 14, 2024 to Feb 25, 2025
- Pension RAUM · $832,826 to $1.0MNov 14, 2024 to Feb 25, 2025
- RAUM · $405M to $435MNov 14, 2024 to Feb 25, 2025
- Employees · 11 to 12Mar 12, 2024 to Jul 29, 2024
- State-registered IARs · 7 to 9Mar 12, 2024 to Jul 29, 2024
- Advisory employees · 7 to 9Mar 12, 2024 to Jul 29, 2024
- Accounts · 2,053 to 2,260Aug 24, 2023 to Mar 12, 2024
- HNW clients · 94 to 127Aug 24, 2023 to Mar 12, 2024
- Individual clients · 682 to 669Aug 24, 2023 to Mar 12, 2024
- Assets in custody · $12.8M to $3.8MAug 24, 2023 to Mar 12, 2024
- Discretionary RAUM · $264M to $334MAug 24, 2023 to Mar 12, 2024
- HNW RAUM · $163M to $230MAug 24, 2023 to Mar 12, 2024
- Individual RAUM · $166M to $173MAug 24, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $66.4M to $70.6MAug 24, 2023 to Mar 12, 2024
- Pension RAUM · $604,869 to $832,826Aug 24, 2023 to Mar 12, 2024
- RAUM · $331M to $405MAug 24, 2023 to Mar 12, 2024
- Advisory employees · 5 to 7Mar 6, 2023 to Jun 22, 2023
Signals
6 dated events
- Penobscot Financial Advisors reported RAUM $544.5M, up 25% from $434.5M (2025-07-07 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- Jessica Dolmage left Penobscot Financial Advisors for Allodium Investment Consultants, Llc (registered 2026-04-22)Jan 14, 2026 · Advisor changed firm · fact
- Colby Jordan Mank left Penobscot Financial Advisors for Coppell Advisory Solutions Llc (registered 2025-03-17)Feb 27, 2025 · Advisor changed firm · fact
- James Kane left Penobscot Financial Advisors for Aj Wealth (registered 2022-09-13)Sep 15, 2022 · Advisor changed firm · fact
- Marie Hannah Tackett (Chief Compliance Officer & Chief Operating Officer) appeared on Schedule A of Penobscot Financial AdvisorsAug 31, 2020 · Control person joined · fact
- Penobscot Financial Advisors filed its initial SEC registration (Form ADV)Jan 13, 2017 · 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/penobscot-financial-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- anchor.fm/penobscotfareportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (207) 990-1901reportedpublic record, Form ADV, Apr 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $68.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026