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
C••••••• I••••••••• M••••••••• L••
Latest filing May 4, 2026
First filing on the tape Feb 21, 2023 · 9 filings
SEC status approved since Mar 23, 2023
RAUM
$130M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$130M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$64.9M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$130M as of May 4, 2026
Mar 25, 2024$124M then
HNW client RAUM$121M as of May 4, 2026
Mar 25, 2024$111M then
State-registered IARs (5.B.3)2 as of May 4, 2026
Mar 25, 20243 then
Employees (5.A)4 as of May 4, 2026
Mar 25, 20245 then
Private funds: no history
RAUM +6.4% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of May 4, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $64.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $606,589derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -48%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $130MreportedItem 5.I
- Custody
- $52.0M, 49 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$121M93%
- Individuals$9.2M7.1%
- Individual clients
- 25reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 214reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $52.0M for 49 clientsreported
- Compensation
- % of AUM, 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 |
|---|---|---|---|---|
| N••••••• J••••• S••• | Windham, Nh | Oct 18, 2018 | 41 y | 5 |
| T••••• B•••• M•••••••Certified Financial Planner | Windham, Nh | Oct 11, 2020 | 40 y | 3 |
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
- K••••••• A• Q•••• to K•• F•••••••• S••••••• L••Feb 5, 2025 · RIA to a state-registered adviser
Joined, latest
- T••••• B•••• M••••••• from M•••• F•••••••• A•••••••• I•••Oct 11, 2020 · Other
- K••••••• A• Q•••• from L•• F•••••••• L••Jun 19, 2019 · RIA to RIA
- N••••••• J••••• S••• from C•••••• S••••• • C••• I•••Oct 18, 2018 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• D••• · Principalcontrolsince 02/2021 · owns 25% to 50%
- Q••••• K•••••••• A• · Partnercontrolsince 06/2019 · owns 5% to 10%
- S•••• N•••••••• J••••• · Managing Member And Chief Compliance Officercontrolsince 07/2018 · owns 50% to 75%
Related persons
Schedule D 7.A
- C••••••• I••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Windham, Nh | 2 | 0 | 0 | ||
| Halifax, Ma | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New Gloucester, ME1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Feb 23, 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 $121,999,175 to $129,810,000, advisors 2 to 2, private clients 116 to 60, offices 2 to 2 (2025-04-28 to 2026-02-23)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Feb 23, 2026individual and HNW clients (Item 5.D) moved from 116.0 to 60.0 (-48.0%) between the annual amendments of 2025-04-28 and 2026-02-23; the peer median change was +3.0% (3309 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 1.8% percentile
What changed
consecutive filings, newest first
- Accounts · 204 to 214Apr 28, 2025 to Feb 23, 2026
- HNW clients · 31 to 35Apr 28, 2025 to Feb 23, 2026
- Individual clients · 85 to 25Apr 28, 2025 to Feb 23, 2026
- Assets in custody · $54,069 to $52.0MApr 28, 2025 to Feb 23, 2026
- Discretionary RAUM · $122M to $130MApr 28, 2025 to Feb 23, 2026
- HNW RAUM · $96.8M to $121MApr 28, 2025 to Feb 23, 2026
- Individual RAUM · $25.2M to $9.2MApr 28, 2025 to Feb 23, 2026
- RAUM · $122M to $130MApr 28, 2025 to Feb 23, 2026
- Financial planning clients · 1-10 to 1-10Feb 4, 2025 to Apr 28, 2025
- Accounts · 240 to 204Aug 5, 2024 to Feb 4, 2025
- Advisory employees · 3 to 2Aug 5, 2024 to Feb 4, 2025
- Individual clients · 118 to 85Aug 5, 2024 to Feb 4, 2025
- Assets in custody · unset to 54069.0Aug 5, 2024 to Feb 4, 2025
- Custody of client assets · false to trueAug 5, 2024 to Feb 4, 2025
- Employees · 5 to 4Aug 5, 2024 to Feb 4, 2025
- HQ city · unset to Aug 5, 2024 to Feb 4, 2025
- HQ state · unset to Aug 5, 2024 to Feb 4, 2025
- State-registered IARs · 3 to 2Aug 5, 2024 to Feb 4, 2025
- Discretionary RAUM · $124M to $122MAug 5, 2024 to Feb 4, 2025
- HNW RAUM · $111M to $96.8MAug 5, 2024 to Feb 4, 2025
- Individual RAUM · $13.4M to $25.2MAug 5, 2024 to Feb 4, 2025
- RAUM · $124M to $122MAug 5, 2024 to Feb 4, 2025
- Accounts · 210 to 240Feb 23, 2023 to Mar 25, 2024
- HNW clients · 25 to 31Feb 23, 2023 to Mar 25, 2024
- Individual clients · 106 to 118Feb 23, 2023 to Mar 25, 2024
- Assets in custody · 500000.0 to unsetFeb 23, 2023 to Mar 25, 2024
- Custody of client assets · true to falseFeb 23, 2023 to Mar 25, 2024
- Financial planning clients · 11-25 to 1-10Feb 23, 2023 to Mar 25, 2024
- Discretionary RAUM · $104M to $124MFeb 23, 2023 to Mar 25, 2024
- HNW RAUM · $107M to $111MFeb 23, 2023 to Mar 25, 2024
- Individual RAUM · $270,000 to $13.4MFeb 23, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $3.1M to $0Feb 23, 2023 to Mar 25, 2024
- RAUM · $107M to $124MFeb 23, 2023 to Mar 25, 2024
Signals
3 dated events
- K••••••• A• Q•••• left C••••••• I••••••••• M••••••••• L•• for K•• F•••••••• S••••••• L•• (registered 2024-11-18)Feb 5, 2025 · Advisor changed firm · fact
- Dawn Atkins (Marketing Director) appeared on Schedule A of C••••••• I••••••••• M••••••••• L••Jun 18, 2024 · Control person joined · fact
- C••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 21, 2023 · 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 phone
- 207-838-4302reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 603-952-1209reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- catalystinvestmentmanagement.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (603) 952-1209reportedpublic record, Form ADV, May 4, 2026
- Contact form
- catalystinvestmentmanagement.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- catalystinvestmentmanagement.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $64.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026