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.

Former SEC-registered adviser

Northstar Financial Management, Inc.

Former SEC-registered adviserMoscow, IdahoCRD 287594SEC 801-122129websiteIAPD
Latest filing May 19, 2025
First filing on the tape Jul 20, 2021 · 13 filings
SEC status approved since Aug 18, 2021
RAUM
$119M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$119M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$119M as of May 19, 2025
Feb 7, 2022$110M then
HNW client RAUM$83.8M as of May 19, 2025
Feb 7, 2022$69.7M then
State-registered IARs (5.B.3)3 as of May 19, 2025
Feb 7, 20224 then
Employees (5.A)3 as of May 19, 2025
Feb 7, 20224 then
Private funds: no history
RAUM +15% over the last fiscal year+2.8% a year over threeIARs 4 to 3
Practice profile
derived from the filing of May 19, 2025; every figure names its basis
RAUM per advisor
$39.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
88derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$177,649derivedRAUM over accounts (5.F.2.f)
Discretionary
99%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
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+12%derived
Compensation
percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 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
  • High-net-worth individuals$83.8M70%
  • Individuals$35.5M30%
Individual clients
230reported
HNW clients
35reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
672reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Marie Charlotte Jones · Chief Operations Officercontrol
      since 09/2020 · owns 25% to 50%
    • Christine Kaitlin Jones · Presidentcontrol
      since 01/2017 · owns 25% to 50%
    • Alexander Mark Mooring · Chief Compliance Officercontrol
      since 07/2020 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Moscow, Id · principal0021
    San Diego, Ca001
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Financial planning clients · 1-10 to 1-10
      Feb 26, 2025 to May 19, 2025
    • Accounts · 616 to 672
      Sep 16, 2024 to Jan 31, 2025
    • HNW clients · 33 to 35
      Sep 16, 2024 to Jan 31, 2025
    • Individual clients · 203 to 230
      Sep 16, 2024 to Jan 31, 2025
    • Financial planning clients · 11-25 to 1-10
      Sep 16, 2024 to Jan 31, 2025
    • Discretionary RAUM · $103M to $119M
      Sep 16, 2024 to Jan 31, 2025
    • HNW RAUM · $64.6M to $83.8M
      Sep 16, 2024 to Jan 31, 2025
    • Individual RAUM · $39.2M to $35.5M
      Sep 16, 2024 to Jan 31, 2025
    • Non-discretionary RAUM · $438,625 to $598,433
      Sep 16, 2024 to Jan 31, 2025
    • RAUM · $104M to $119M
      Sep 16, 2024 to Jan 31, 2025
    • Related insurance company · true to false
      Sep 16, 2024 to Jan 31, 2025
    • Advisory employees · 4 to 3
      Feb 27, 2024 to Sep 16, 2024
    • Employees · 4 to 3
      Feb 27, 2024 to Sep 16, 2024
    • State-registered IARs · 4 to 3
      Feb 27, 2024 to Sep 16, 2024
    • Accounts · 561 to 616
      Dec 20, 2023 to Feb 27, 2024
    • Charity clients · unset to 0.0
      Dec 20, 2023 to Feb 27, 2024
    • Corporate clients · unset to 0.0
      Dec 20, 2023 to Feb 27, 2024
    • HNW clients · 24 to 33
      Dec 20, 2023 to Feb 27, 2024
    • Individual clients · 198 to 203
      Dec 20, 2023 to Feb 27, 2024
    • Pension plan clients · unset to 0.0
      Dec 20, 2023 to Feb 27, 2024
    • Pooled vehicle clients · unset to 0.0
      Dec 20, 2023 to Feb 27, 2024
    • Assets in custody · $12,000 to $0
      Dec 20, 2023 to Feb 27, 2024
    • Custody of client assets · true to false
      Dec 20, 2023 to Feb 27, 2024
    • Financial planning clients · 1-10 to 11-25
      Dec 20, 2023 to Feb 27, 2024
    • Discretionary RAUM · $90.0M to $103M
      Dec 20, 2023 to Feb 27, 2024
    • HNW RAUM · $49.3M to $64.6M
      Dec 20, 2023 to Feb 27, 2024
    • Individual RAUM · $41.9M to $39.2M
      Dec 20, 2023 to Feb 27, 2024
    • Non-discretionary RAUM · $1.2M to $438,625
      Dec 20, 2023 to Feb 27, 2024
    • Pension RAUM · unset to 0.0
      Dec 20, 2023 to Feb 27, 2024
    • Pooled vehicle RAUM · unset to 0.0
      Dec 20, 2023 to Feb 27, 2024
    • RAUM · $91.2M to $104M
      Dec 20, 2023 to Feb 27, 2024
    • Accounts · 521 to 561
      Oct 27, 2022 to Mar 29, 2023
    • HNW clients · 29 to 24
      Oct 27, 2022 to Mar 29, 2023
    • Individual clients · 179 to 198
      Oct 27, 2022 to Mar 29, 2023
    • Assets in custody · $0 to $12,000
      Oct 27, 2022 to Mar 29, 2023
    • Custody of client assets · false to true
      Oct 27, 2022 to Mar 29, 2023
    • Discretionary RAUM · $109M to $90.0M
      Oct 27, 2022 to Mar 29, 2023
    • HNW RAUM · $69.7M to $49.3M
      Oct 27, 2022 to Mar 29, 2023
    • Individual RAUM · $40.3M to $41.9M
      Oct 27, 2022 to Mar 29, 2023
    • Non-discretionary RAUM · $1.5M to $1.2M
      Oct 27, 2022 to Mar 29, 2023
    Signals
    7 dated events
    • Northstar Financial Management, Inc. no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $119.4M)
      Jan 2, 2026 · Left the SEC roster · derived
    • Charlotte Marie Jones left Northstar Financial Management, Inc. for Compound Planning, Inc. (registered 2025-06-10)
      Dec 5, 2025 · Advisor changed firm · fact
    • Kaitlin Christine Jones left Northstar Financial Management, Inc. for Compound Planning, Inc. (registered 2025-06-11)
      Dec 5, 2025 · Advisor changed firm · fact
    • Mark Alexander Mooring left Northstar Financial Management, Inc. for Compound Planning, Inc. (registered 2025-06-11)
      Dec 5, 2025 · Advisor changed firm · fact
    • 2 advisors left Northstar Financial Management, Inc. (Moscow, ID) for Compound Planning, Inc. on the same day
      Dec 5, 2025 · Team lift-out · derived
    • Sarah Busch left Northstar Financial Management, Inc. for Boldin Advisors (registered 2025-06-17)
      Sep 16, 2024 · Advisor changed firm · fact
    • Northstar Financial Management, Inc. filed its initial SEC registration (Form ADV)
      Jul 20, 2021 · 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