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
B••• P•••• F••••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Jun 11, 2025 · 2 filings
SEC status approved since Jun 4, 2025
RAUM
$153M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
96%
$146M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$76.3M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$153M as of Mar 24, 2026
Jun 11, 2025$113M then
HNW client RAUM$106M as of Mar 24, 2026
Jun 11, 2025$85.9M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Jun 11, 20252 then
Employees (5.A)3 as of Mar 24, 2026
Jun 11, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 24, 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
- RAUM per advisor
- $76.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $302,920derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $1.5M, 1 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$106M70%
- Individuals$40.1M26%
- Pension and profit-sharing plans$6.4M4.2%
- Individual clients
- 119reported
- HNW clients
- 68reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 504reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5M for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| J••••• T•••• B•••••••••Certified Financial Planner | Scarborough, Me | Jun 4, 2019 | 16 y | 1 |
| T•••••• A••••• O•••••••••Certified Financial Planner | Scarborough, Me | Jun 4, 2019 | 34 y | 1 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- T•••••• A••••• O••••••••• from E•• F•••••••• A•••••••Jun 4, 2019 · Affiliated broker-dealer or bank to independent RIA
- J••••• T•••• B••••••••• from E•• F•••••••• A•••••••Jun 4, 2019 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from E•• F•••••••• A•••••••Jun 6, 2019 · Portland, Me
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••••• T••••••• A••••• · Presidentcontrolsince 11/2018 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Scarborough, Me · 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
- custody status changedChange between filings · filing Mar 24, 2026custody of client assets (Item 9.A): no on the filing of 2025-06-11, yes on the filing of 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 476 to 504Jun 11, 2025 to Mar 24, 2026
- HNW clients · 76 to 68Jun 11, 2025 to Mar 24, 2026
- Individual clients · 111 to 119Jun 11, 2025 to Mar 24, 2026
- Assets in custody · unset to 1549337.0Jun 11, 2025 to Mar 24, 2026
- Custody of client assets · false to trueJun 11, 2025 to Mar 24, 2026
- Discretionary RAUM · $105M to $142MJun 11, 2025 to Mar 24, 2026
- HNW RAUM · $85.9M to $106MJun 11, 2025 to Mar 24, 2026
- Individual RAUM · $24.3M to $40.1MJun 11, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $8.8M to $10.2MJun 11, 2025 to Mar 24, 2026
- Pension RAUM · $2.9M to $6.4MJun 11, 2025 to Mar 24, 2026
- RAUM · $113M to $153MJun 11, 2025 to Mar 24, 2026
Signals
No event on the tape.
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
- 207-883-2009reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- bpfncl.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 207-883-2009reportedpublic record, Form ADV, Mar 24, 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
- $76.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026