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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Former SEC-registered adviser

B•••• C••• C••••••

Former SEC-registered adviserCumberland Foreside, MaineCRD 305393SEC 801-117328IAPD
Latest filing Nov 4, 2021
First filing on the tape Aug 13, 2019 · 16 filings
RAUM
$185M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
83%
$153M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$185M as of Jan 11, 2021
Mar 24, 2020$138M then
HNW client RAUM$124M as of Jan 11, 2021
Mar 24, 2020$90.2M then
State-registered IARs (5.B.3)2 as of Jan 11, 2021
Mar 24, 20202 then
Employees (5.A)4 as of Jan 11, 2021
Mar 24, 20204 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Nov 4, 2021; every figure names its basis
RAUM per advisor
$92.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
46derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$496,247derivedRAUM over accounts (5.F.2.f)
Discretionary
83%derivedof RAUM
Institutional
17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+34%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-23%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
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$124M67%
  • Pension and profit-sharing plans$31.8M17%
  • Individuals$28.9M16%
Individual clients
50reported
HNW clients
41reported
Pension plan clients
6reported
Charitable clients
0reported
Accounts
373reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
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
    • D••••••••• M••••••• E••••• D••••••• · Sole Director, Acting President, Chief Compliance Officercontrol
      since 09/2019 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 3 to 2
      Oct 27, 2021 to Nov 2, 2021
    • Employees · 4 to 3
      Oct 27, 2021 to Nov 2, 2021
    • Insurance-licensed employees · 0 to 2
      Oct 27, 2021 to Nov 2, 2021
    • State-registered IARs · 3 to 2
      Oct 27, 2021 to Nov 2, 2021
    • Advisory activities · 5 to 4
      Jan 11, 2021 to Aug 19, 2021
    • BD registered reps · 2 to 0
      Jan 11, 2021 to Aug 19, 2021
    • Custody of client assets · true to false
      Jan 11, 2021 to Aug 19, 2021
    • Financial planning clients · 51-100 to 0
      Jan 11, 2021 to Aug 19, 2021
    • State-registered IARs · 2 to 3
      Jan 11, 2021 to Aug 19, 2021
    • Accounts · 125 to 373
      Oct 8, 2020 to Jan 11, 2021
    • Charity clients · unset to 0.0
      Oct 8, 2020 to Jan 11, 2021
    • Corporate clients · unset to 0.0
      Oct 8, 2020 to Jan 11, 2021
    • HNW clients · 52 to 41
      Oct 8, 2020 to Jan 11, 2021
    • Individual clients · 66 to 50
      Oct 8, 2020 to Jan 11, 2021
    • Pension plan clients · 7 to 6
      Oct 8, 2020 to Jan 11, 2021
    • Pooled vehicle clients · unset to 0.0
      Oct 8, 2020 to Jan 11, 2021
    • Assets in custody · $3.8M to $12.0M
      Oct 8, 2020 to Jan 11, 2021
    • Financial planning clients · 0 to 51-100
      Oct 8, 2020 to Jan 11, 2021
    • Discretionary RAUM · $111M to $153M
      Oct 8, 2020 to Jan 11, 2021
    • HNW RAUM · $90.2M to $124M
      Oct 8, 2020 to Jan 11, 2021
    • Individual RAUM · $21.0M to $28.9M
      Oct 8, 2020 to Jan 11, 2021
    • Non-discretionary RAUM · $26.9M to $31.8M
      Oct 8, 2020 to Jan 11, 2021
    • Pension RAUM · $26.9M to $31.8M
      Oct 8, 2020 to Jan 11, 2021
    • Pooled vehicle RAUM · unset to 0.0
      Oct 8, 2020 to Jan 11, 2021
    • RAUM · $138M to $185M
      Oct 8, 2020 to Jan 11, 2021
    • Accounts · 303 to 125
      Dec 26, 2019 to Mar 24, 2020
    • Advisory employees · 2 to 3
      Dec 26, 2019 to Mar 24, 2020
    • BD registered reps · 1 to 2
      Dec 26, 2019 to Mar 24, 2020
    • Corporate clients · 1.0 to unset
      Dec 26, 2019 to Mar 24, 2020
    • HNW clients · 53 to 52
      Dec 26, 2019 to Mar 24, 2020
    • Individual clients · 58 to 66
      Dec 26, 2019 to Mar 24, 2020
    • Assets in custody · $9.1M to $3.8M
      Dec 26, 2019 to Mar 24, 2020
    • Discretionary RAUM · $114M to $111M
      Dec 26, 2019 to Mar 24, 2020
    • HNW RAUM · $94.3M to $90.2M
      Dec 26, 2019 to Mar 24, 2020
    • Individual RAUM · $18.7M to $21.0M
      Dec 26, 2019 to Mar 24, 2020
    • Non-discretionary RAUM · $27.9M to $26.9M
      Dec 26, 2019 to Mar 24, 2020
    • Pension RAUM · $27.9M to $26.9M
      Dec 26, 2019 to Mar 24, 2020
    • RAUM · $142M to $138M
      Dec 26, 2019 to Mar 24, 2020
    • Accounts · 0 to 303
      Sep 30, 2019 to Dec 26, 2019
    • Corporate clients · unset to 1.0
      Sep 30, 2019 to Dec 26, 2019
    Signals
    4 dated events
    • Denis John Duffy (Director, President) no longer on Schedule A of B•••• C••• C•••••• (listed 2021-10-27, absent 2021-11-02)
      Nov 2, 2021 · Control person left · inference
    • Roserio Peter Guarino (Chief Compliance Officer) no longer on Schedule A of B•••• C••• C•••••• (listed 2019-09-12, absent 2019-09-30)
      Sep 30, 2019 · Control person left · inference
    • Roserio Peter Guarino (Chief Compliance Officer) appeared on Schedule A of B•••• C••• C••••••
      Sep 12, 2019 · Control person joined · fact
    • B•••• C••• C•••••• filed its initial SEC registration (Form ADV)
      Aug 13, 2019 · 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