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
N••••• C•••••• A•••••••
Legal name N••••• E••••••••• L••
Latest filing Feb 21, 2026
First filing on the tape Mar 3, 2020 · 10 filings
SEC status approved since Aug 16, 2023
RAUM
$1.4B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.4B
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.4B as of Feb 21, 2026
Feb 24, 2024$198M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 21, 2026
Feb 24, 20241 then
Employees (5.A)1 as of Feb 21, 2026
Feb 24, 20241 then
Private funds: no history
RAUM -10% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 21, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.4BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $453MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, otherreportedItem 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
- Banks and thrifts$1.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• J••• N•••••Chartered Financial Analyst | Orono, Me | Apr 2, 2020 | 34 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• C••••••••• J••• · President And Chief Compliance Officercontrolsince 03/2020 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Feb 21, 2026discretionary share of RAUM of 0% against a peer median of 100% (247 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $1B to $5B (247) · 0.0% percentile
What changed
consecutive filings, newest first
- Non-discretionary RAUM · $1.5B to $1.4BMar 14, 2025 to Feb 21, 2026
- RAUM · $1.5B to $1.4BMar 14, 2025 to Feb 21, 2026
- Accounts · 2 to 3Feb 24, 2024 to Mar 14, 2025
- Financial planning clients · unset to 1-10Feb 24, 2024 to Mar 14, 2025
- HQ city · unset to Feb 24, 2024 to Mar 14, 2025
- HQ state · unset to Feb 24, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $198M to $1.5BFeb 24, 2024 to Mar 14, 2025
- RAUM · $198M to $1.5BFeb 24, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $188M to $198MJul 17, 2023 to Feb 24, 2024
- RAUM · $188M to $198MJul 17, 2023 to Feb 24, 2024
- Accounts · 0 to 2Nov 2, 2020 to Jul 17, 2023
- Non-discretionary RAUM · $0 to $188MNov 2, 2020 to Jul 17, 2023
- RAUM · $0 to $188MNov 2, 2020 to Jul 17, 2023
- Advisory activities · 3 to 2Oct 1, 2020 to Nov 2, 2020
Signals
2 dated events
- N••••• C•••••• A••••••• reported RAUM $1.5B, up 668% from $197.6M (2024-02-24 to 2025-03-14)Mar 14, 2025 · RAUM change · derived
- N••••• C•••••• A••••••• filed its initial SEC registration (Form ADV)Mar 3, 2020 · 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
- Website
- NelsonCapitalAdvisors.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 207-420-2442reportedpublic record, Form ADV, Feb 21, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026