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
Brendel Financial Advisors LLC
Latest filing Apr 29, 2026
First filing on the tape Jun 28, 2017 · 20 filings
SEC status approved since Jul 31, 2017
RAUM
$260M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$260M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$260M as of Apr 29, 2026
Mar 27, 2018$182M then
HNW client RAUM$206M as of Apr 29, 2026
Mar 27, 2018$146M then
State-registered IARs (5.B.3)2 as of Apr 29, 2026
Mar 27, 20181 then
Employees (5.A)4 as of Apr 29, 2026
Mar 27, 20184 then
Private funds: no history
RAUM +15% over the last fiscal year+7.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 29, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 161derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $365,390derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $47.4M, 149 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
- is an insurance broker or agent (6.A.6)
- 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$206M79%
- Individuals$53.4M21%
- Corporations and businesses$607,0360.2%
- Individual clients
- 248reported
- HNW clients
- 73reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 712reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $47.4M for 149 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Joseph Brendel | Hanover, Nh | Nov 15, 2017 | 38 y | 4 |
| John Joseph Brendel | Hanover, Nh | Sep 5, 2024 | 11 y | 0 |
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 headcount1 left over 36 months
Left, latest
- Timothy G Draper to Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 22, 2024 · RIA to wirehouse
Joined, latest
- John Joseph Brendel from Brendel & Fisher Financial AdvisorsNov 15, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph John Brendel · Managing Member, Ccocontrolsince 06/2017 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Hanover, Nh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Apr 29, 2026HNW share of RAUM moved from 61.0% to 79.0% between the annual amendments of 2025-03-28 and 2026-04-29peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 650 to 712Mar 28, 2025 to Mar 19, 2026
- Corporate clients · unset to 4.0Mar 28, 2025 to Mar 19, 2026
- HNW clients · 90 to 73Mar 28, 2025 to Mar 19, 2026
- Individual clients · 265 to 248Mar 28, 2025 to Mar 19, 2026
- Assets in custody · $36.9M to $47.4MMar 28, 2025 to Mar 19, 2026
- Discretionary RAUM · $207M to $238MMar 28, 2025 to Mar 19, 2026
- HNW RAUM · $139M to $206MMar 28, 2025 to Mar 19, 2026
- Individual RAUM · $86.8M to $53.4MMar 28, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $19.3M to $22.7MMar 28, 2025 to Mar 19, 2026
- RAUM · $226M to $260MMar 28, 2025 to Mar 19, 2026
- Accounts · 709 to 650Nov 20, 2024 to Mar 28, 2025
- HNW clients · 38 to 90Nov 20, 2024 to Mar 28, 2025
- Individual clients · 217 to 265Nov 20, 2024 to Mar 28, 2025
- Assets in custody · $58.6M to $36.9MNov 20, 2024 to Mar 28, 2025
- Financial planning clients · 11-25 to 11-25Nov 20, 2024 to Mar 28, 2025
- Discretionary RAUM · $206M to $207MNov 20, 2024 to Mar 28, 2025
- HNW RAUM · $162M to $139MNov 20, 2024 to Mar 28, 2025
- Individual RAUM · $60.8M to $86.8MNov 20, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $17.9M to $19.3MNov 20, 2024 to Mar 28, 2025
- RAUM · $223M to $226MNov 20, 2024 to Mar 28, 2025
- Accounts · 690 to 709Mar 20, 2023 to Mar 27, 2024
- Advisory activities · 4 to 5Mar 20, 2023 to Mar 27, 2024
- HNW clients · 41 to 38Mar 20, 2023 to Mar 27, 2024
- Individual clients · 230 to 217Mar 20, 2023 to Mar 27, 2024
- Assets in custody · $6.2M to $58.6MMar 20, 2023 to Mar 27, 2024
- Employees · 5 to 4Mar 20, 2023 to Mar 27, 2024
- Discretionary RAUM · $192M to $206MMar 20, 2023 to Mar 27, 2024
- HNW RAUM · $148M to $162MMar 20, 2023 to Mar 27, 2024
- Individual RAUM · $60.2M to $60.8MMar 20, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $16.5M to $17.9MMar 20, 2023 to Mar 27, 2024
- RAUM · $209M to $223MMar 20, 2023 to Mar 27, 2024
- Accounts · 635 to 690Mar 30, 2022 to Mar 20, 2023
- HNW clients · 60 to 41Mar 30, 2022 to Mar 20, 2023
- Individual clients · 195 to 230Mar 30, 2022 to Mar 20, 2023
- Assets in custody · $8.2M to $6.2MMar 30, 2022 to Mar 20, 2023
- Financial planning clients · 1-10 to 11-25Mar 30, 2022 to Mar 20, 2023
- Discretionary RAUM · $190M to $192MMar 30, 2022 to Mar 20, 2023
- HNW RAUM · $194M to $148MMar 30, 2022 to Mar 20, 2023
- Individual RAUM · $44.2M to $60.2MMar 30, 2022 to Mar 20, 2023
- Non-discretionary RAUM · $48.9M to $16.5MMar 30, 2022 to Mar 20, 2023
Signals
2 dated events
- Timothy G Draper left Brendel Financial Advisors Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-09-13)May 22, 2024 · Advisor changed firm · fact
- Brendel Financial Advisors Llc filed its initial SEC registration (Form ADV)Jun 28, 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
- Business email
- adeline@brendelfinancial.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- ashley@brendelfinancial.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- jack@brendelfinancial.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- john@brendelfinancial.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 603-643-4441reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 603-724-4256reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 802-296-1896reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- BRENDELFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 603-643-4441reportedpublic record, Form ADV, Apr 29, 2026
- Contact form
- brendelfinancial.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026