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
R• F•••••••• S•••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Feb 5, 2021 · 12 filings
SEC status approved since Mar 8, 2021
RAUM
$245M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
95%
$234M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$81.8M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$245M as of Mar 23, 2026
Feb 19, 2021$126M then
HNW client RAUM$164M as of Mar 23, 2026
Feb 19, 2021$89.4M then
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Feb 19, 20212 then
Employees (5.A)4 as of Mar 23, 2026
Feb 19, 20214 then
Private funds: no history
RAUM +11% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 23, 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
- RAUM per advisor
- $81.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 130derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $250,400derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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$164M67%
- Individuals$70.1M29%
- Pension and profit-sharing plans$8.7M3.5%
- Corporations and businesses$1.6M0.6%
- Charitable organizations$731,6300.3%
- State and municipal entities$716,8030.3%
- Individual clients
- 271reported
- HNW clients
- 119reported
- Pension plan clients
- 5reported
- Charitable clients
- 2reported
- Accounts
- 980reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• P••• R••• | Falmouth, Me | Oct 25, 2019 | 32 y | 1 |
| M••• L••••••• M•••••• | Falmouth, Me | Nov 15, 2019 | 27 y | 1 |
| C•••• J••• M•••• | Falmouth, Me | Mar 6, 2023 | 11 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
- C•••• J••• M•••• from N••• F•••••••• G••••• I•••Mar 6, 2023 · Affiliated broker-dealer or bank to independent RIA
- M••• L••••••• M•••••• from N••• F•••••••• G••••• I•••Nov 15, 2019 · Affiliated broker-dealer or bank to independent RIA
- A•••• P••• R••• from N••• F•••••••• G••••• I•••Oct 25, 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 N••• F•••••••• G••••• I•••Oct 20, 2023 · Falmouth, Me
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• M•••• L••••••• · Managing Member / Presidentcontrolsince 05/2019 · owns 50% to 75%
- R•••• A••••• P••• · Chief Executive Officercontrolsince 05/2019 · owns 50% to 75%
- M••••• C••••• J••• · Chief Compliance Officersince 02/2023 · owns less than 5%
Related persons
Schedule D 7.A
- B••••••••• P••• I••insurancen
- P••••• K••••• S••••••• I••••••••• I•••broker-dealerinvestment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Falmouth, Me · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Delray Beach, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 993 to 980Apr 22, 2025 to Mar 23, 2026
- HNW clients · 113 to 119Apr 22, 2025 to Mar 23, 2026
- Individual clients · 238 to 271Apr 22, 2025 to Mar 23, 2026
- Employees · 5 to 4Apr 22, 2025 to Mar 23, 2026
- Discretionary RAUM · $212M to $237MApr 22, 2025 to Mar 23, 2026
- HNW RAUM · $155M to $164MApr 22, 2025 to Mar 23, 2026
- Individual RAUM · $53.3M to $70.1MApr 22, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $9.5M to $8.7MApr 22, 2025 to Mar 23, 2026
- Pension RAUM · $9.5M to $8.7MApr 22, 2025 to Mar 23, 2026
- RAUM · $221M to $245MApr 22, 2025 to Mar 23, 2026
- Accounts · 934 to 993Nov 13, 2024 to Apr 22, 2025
- Advisory activities · 2 to 3Nov 13, 2024 to Apr 22, 2025
- Charity clients · 1 to 2Nov 13, 2024 to Apr 22, 2025
- HNW clients · 118 to 113Nov 13, 2024 to Apr 22, 2025
- Individual clients · 374 to 238Nov 13, 2024 to Apr 22, 2025
- Pension plan clients · 4 to 5Nov 13, 2024 to Apr 22, 2025
- Financial planning clients · 26-50 to 26-50Nov 13, 2024 to Apr 22, 2025
- Discretionary RAUM · $201M to $212MNov 13, 2024 to Apr 22, 2025
- HNW RAUM · $73.2M to $155MNov 13, 2024 to Apr 22, 2025
- Individual RAUM · $125M to $53.3MNov 13, 2024 to Apr 22, 2025
- Non-discretionary RAUM · $6.7M to $9.5MNov 13, 2024 to Apr 22, 2025
- Pension RAUM · $6.7M to $9.5MNov 13, 2024 to Apr 22, 2025
- RAUM · $208M to $221MNov 13, 2024 to Apr 22, 2025
- Related adviser · true to falseNov 13, 2024 to Apr 22, 2025
- Related broker-dealer · true to falseNov 13, 2024 to Apr 22, 2025
- Accounts · 872 to 934Oct 26, 2023 to Mar 25, 2024
- BD registered reps · 4 to 3Oct 26, 2023 to Mar 25, 2024
- Corporate clients · 3 to 4Oct 26, 2023 to Mar 25, 2024
- HNW clients · 90 to 118Oct 26, 2023 to Mar 25, 2024
- Individual clients · 257 to 374Oct 26, 2023 to Mar 25, 2024
- Pension plan clients · unset to 4.0Oct 26, 2023 to Mar 25, 2024
- Employees · 6 to 5Oct 26, 2023 to Mar 25, 2024
- Insurance-licensed employees · 4 to 0Oct 26, 2023 to Mar 25, 2024
- Discretionary RAUM · $172M to $201MOct 26, 2023 to Mar 25, 2024
- HNW RAUM · $116M to $73.2MOct 26, 2023 to Mar 25, 2024
- Individual RAUM · $54.8M to $125MOct 26, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $0 to $6.7MOct 26, 2023 to Mar 25, 2024
- Pension RAUM · unset to 6741367.0Oct 26, 2023 to Mar 25, 2024
- RAUM · $172M to $208MOct 26, 2023 to Mar 25, 2024
- HQ city · DELRAY BEACH to FALMOUTHMar 23, 2023 to Jul 21, 2023
Signals
2 dated events
- 2 advisors left N••• F•••••••• G••••• I••• (Falmouth, ME) for R• F•••••••• S•••••••• L•• within 6 daysOct 20, 2023 · Team lift-out · derived
- R• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Feb 5, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 207-781-7637reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 207-781-7639reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 877-781-7637reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- r••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (207) 781-7637reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- r••••••.comreportedpublished 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
- $81.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026