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

Briggs Advisory Group, Inc.

Former SEC-registered adviserLincoln, Rhode IslandCRD 291947SEC 801-112491IAPD
Latest filing Jul 12, 2023
First filing on the tape Jan 23, 2018 · 11 filings
RAUM
$421M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$402M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
11 filings and snapshots on the tape
RAUM$421M as of Mar 7, 2023
Mar 11, 2019$271M then
HNW client RAUM$249M as of Mar 7, 2023
Mar 11, 2019$168M then
State-registered IARs (5.B.3)6 as of Mar 7, 2023
Mar 11, 20197 then
Employees (5.A)8 as of Mar 7, 2023
Mar 11, 20199 then
Private funds: no history
RAUM -2.7% over the last fiscal year+8.4% a year over threeIARs 8 to 6offices 1 to 0
Practice profile
derived from the filing of Jul 12, 2023; every figure names its basis
RAUM per advisor
$70.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
68derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$435,287derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.7%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
-2.7%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.7%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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$249M59%
  • Individuals$154M36%
  • Pension and profit-sharing plans$15.5M3.7%
  • Corporations and businesses$3.8M0.9%
Individual clients
333reported
HNW clients
76reported
Pension plan clients
15reported
Charitable clients
0reported
Accounts
968reported
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
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
  • Edward Harold Briggs · Partner / President / Chief Compliance Officercontrol
    since 10/2014 · owns 75% or more
  • J Christopher Ricci · Partner / Vice Presidentcontrol
    since 01/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
  • James G. Couch
    n
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Lincoln, Ri · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 899 to 968
    Mar 17, 2022 to Mar 7, 2023
  • Advisory employees · 8 to 6
    Mar 17, 2022 to Mar 7, 2023
  • HNW clients · 77 to 76
    Mar 17, 2022 to Mar 7, 2023
  • Individual clients · 310 to 333
    Mar 17, 2022 to Mar 7, 2023
  • Pension plan clients · 8 to 15
    Mar 17, 2022 to Mar 7, 2023
  • Assets in custody · 5132206.0 to unset
    Mar 17, 2022 to Mar 7, 2023
  • Custody of client assets · true to false
    Mar 17, 2022 to Mar 7, 2023
  • Employees · 10 to 8
    Mar 17, 2022 to Mar 7, 2023
  • Financial planning clients · 0 to 1-10
    Mar 17, 2022 to Mar 7, 2023
  • State-registered IARs · 8 to 6
    Mar 17, 2022 to Mar 7, 2023
  • Other offices · 1 to 0
    Mar 17, 2022 to Mar 7, 2023
  • Discretionary RAUM · $433M to $421M
    Mar 17, 2022 to Mar 7, 2023
  • HNW RAUM · $271M to $249M
    Mar 17, 2022 to Mar 7, 2023
  • Individual RAUM · $149M to $154M
    Mar 17, 2022 to Mar 7, 2023
  • Pension RAUM · $9.9M to $15.5M
    Mar 17, 2022 to Mar 7, 2023
  • RAUM · $433M to $421M
    Mar 17, 2022 to Mar 7, 2023
  • Related insurance company · true to false
    Mar 17, 2022 to Mar 7, 2023
  • Accounts · 848 to 899
    Feb 22, 2021 to Mar 17, 2022
  • Advisory employees · 7 to 8
    Feb 22, 2021 to Mar 17, 2022
  • Advisory activities · 4 to 5
    Feb 22, 2021 to Mar 17, 2022
  • Corporate clients · 4 to 5
    Feb 22, 2021 to Mar 17, 2022
  • Individual clients · 287 to 310
    Feb 22, 2021 to Mar 17, 2022
  • Pension plan clients · 11 to 8
    Feb 22, 2021 to Mar 17, 2022
  • Assets in custody · $3.7M to $5.1M
    Feb 22, 2021 to Mar 17, 2022
  • Employees · 9 to 10
    Feb 22, 2021 to Mar 17, 2022
  • Financial planning clients · unset to 0
    Feb 22, 2021 to Mar 17, 2022
  • State-registered IARs · 7 to 8
    Feb 22, 2021 to Mar 17, 2022
  • Discretionary RAUM · $361M to $433M
    Feb 22, 2021 to Mar 17, 2022
  • HNW RAUM · $232M to $271M
    Feb 22, 2021 to Mar 17, 2022
  • Individual RAUM · $115M to $149M
    Feb 22, 2021 to Mar 17, 2022
  • Pension RAUM · $10.9M to $9.9M
    Feb 22, 2021 to Mar 17, 2022
  • RAUM · $361M to $433M
    Feb 22, 2021 to Mar 17, 2022
  • Accounts · 847 to 848
    Jun 17, 2020 to Feb 22, 2021
  • Advisory activities · 5 to 4
    Jun 17, 2020 to Feb 22, 2021
  • HNW clients · 74 to 77
    Jun 17, 2020 to Feb 22, 2021
  • Individual clients · 293 to 287
    Jun 17, 2020 to Feb 22, 2021
  • Pension plan clients · 18 to 11
    Jun 17, 2020 to Feb 22, 2021
  • Assets in custody · $8.9M to $3.7M
    Jun 17, 2020 to Feb 22, 2021
  • Financial planning clients · 0 to unset
    Jun 17, 2020 to Feb 22, 2021
  • Discretionary RAUM · $330M to $361M
    Jun 17, 2020 to Feb 22, 2021
Signals
11 dated events
  • Nolin Rossi Frias left Briggs Advisory Group, Inc. for Buckingham Strategic Wealth, Llc (registered 2023-12-06)
    Dec 6, 2023 · Advisor changed firm · fact
  • Dawn Ellen Filliatreault Wood left Briggs Advisory Group, Inc. for Buckingham Strategic Wealth, Llc (registered 2023-12-06)
    Dec 6, 2023 · Advisor changed firm · fact
  • Christopher J Ricci left Briggs Advisory Group, Inc. for Buckingham Strategic Wealth, Llc (registered 2023-12-06)
    Dec 6, 2023 · Advisor changed firm · fact
  • Kevin Robert Tremor left Briggs Advisory Group, Inc. for Buckingham Strategic Wealth, Llc (registered 2023-12-07)
    Dec 6, 2023 · Advisor changed firm · fact
  • James Gerard Couch left Briggs Advisory Group, Inc. for Wildflower Wealth Advisors, Llc (registered 2024-01-31)
    Dec 6, 2023 · Advisor changed firm · fact
  • Briggs Advisory Group, Inc.'s advisors moved to Buckingham Strategic Wealth, LLC (Lincoln, RI): 4 of 5 registered, on the same day
    Dec 6, 2023 · Firm absorbed (people side) · derived
  • Glenn Stuart Logan left Briggs Advisory Group, Inc. for Slb Advisors, Llc (registered 2023-04-27)
    Oct 28, 2022 · Advisor changed firm · fact
  • Ronald Scott Sanderson left Briggs Advisory Group, Inc. for Slb Advisors, Llc (registered 2023-04-27)
    Oct 28, 2022 · Advisor changed firm · fact
  • Bradley Steven Bechok left Briggs Advisory Group, Inc. for Slb Advisors, Llc (registered 2023-04-27)
    Oct 28, 2022 · Advisor changed firm · fact
  • 3 advisors left Briggs Advisory Group, Inc. (Lincoln, RI) for Slb Advisors, LLC on the same day
    Oct 28, 2022 · Team lift-out · derived
  • Briggs Advisory Group, Inc. filed its initial SEC registration (Form ADV)
    Jan 23, 2018 · 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