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

M•••• A••••••• A•••••••••

Independent wealth managerFalmouth, MaineCRD 311679SEC 801-136260websiteIAPD
Legal name V••• F•••••••• L••
Latest filing Jul 24, 2026
First filing on the tape May 14, 2026 · 2 filings
SEC status approved since May 14, 2026
RAUM
$117M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
99%
$115M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$38.8M
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$117M as of Jul 24, 2026
May 14, 2026$117M then
HNW client RAUM$65.3M as of Jul 24, 2026
May 14, 2026$65.3M then
State-registered IARs (5.B.3)3 as of Jul 24, 2026
May 14, 20263 then
Employees (5.A)3 as of Jul 24, 2026
May 14, 20263 then
Private funds: no history
Practice profile
derived from the filing of Jul 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
$38.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
59derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$220,319derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 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 feesreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$65.3M56%
  • Individuals$50.1M43%
  • Charitable organizations$1.2M1.0%
Individual clients
143reported
HNW clients
33reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
529reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K••••••• L••• V•••Portland, Me Jan 4, 202120 y2
M••••••• M•••• L•••Certified Financial PlannerFalmouth, MeJan 4, 202112 y3
P••••••• B•••••Falmouth, MeJan 4, 202128 y3
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
    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
      No Schedule A on the extract for this adviser.
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Falmouth, Me · principal300
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      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
      207-778-2250reportedpublished by the firm, firm site, Sep 16, 2026
      Website
      m•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      207-778-2250reportedpublic record, Form ADV, Jul 24, 2026
      Team page
      m•••••••••.comreportedpublished 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
      $38.8Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026