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.
SEC-registered adviser
Maiden Cove Capital
Legal name Maiden Cove Capital, LLC
Latest filing Mar 17, 2026
First filing on the tape May 6, 2024 · 7 filings
SEC status approved since Jun 6, 2024
RAUM
$154M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
80%
$123M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$51.2M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$154M as of Mar 17, 2026
Apr 28, 2025$122M then
HNW client RAUM$122M as of Mar 17, 2026
Apr 28, 2025$90.2M then
State-registered IARs (5.B.3)2 as of Mar 17, 2026
Apr 28, 20251 then
Employees (5.A)3 as of Mar 17, 2026
Apr 28, 20252 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 1 to 2offices 0 to 2
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $51.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $948,748derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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$122M79%
- Pension and profit-sharing plans$23.3M15%
- Corporations and businesses$5.6M3.6%
- Charitable organizations$2.1M1.3%
- Individuals$1.0M0.7%
- Individual clients
- n/areported
- HNW clients
- 46reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 162reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Damien J SaccaniCertified Financial Planner | Cape Elizabeth, Me | Mar 31, 2021 | 16 y | 3 |
| Thomas Joseph CollinsCertified Financial Planner | Yarmouth, Me | Jan 15, 2026 | 12 y | 2 |
| Andrew Martin Snider | Yarmouth, Me | Jul 14, 2026 | 14 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- John Garofalo to UBS Financial Services Inc.Apr 28, 2025 · RIA to wirehouse
- Kiersten Brennan to Fidelity Personal And Workplace AdvisorsMay 3, 2023 · RIA to affiliated broker-dealer or bank
- Beth Marie Fratalia to Fidelity Personal And Workplace AdvisorsJul 21, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- Thomas Joseph Collins from Capital Investment Advisors, LLCJan 15, 2026 · RIA to RIA
- John Garofalo from Morgan StanleyMar 5, 2025 · Wirehouse to independent RIA
- Kiersten Brennan from Raymond James Financial Services Advisors, IncJun 13, 2022 · Affiliated broker-dealer or bank to independent RIA
- Beth Marie Fratalia from Fidelity Personal And Workplace AdvisorsApr 25, 2021 · Affiliated broker-dealer or bank to independent RIA
- Damien J Saccani from Newedge AdvisorsMar 31, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J Damien Saccani · President And Chief Compliance Officercontrolsince 05/2020 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Yarmouth, Me · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 152 to 162Jan 9, 2026 to Mar 17, 2026
- Advisory employees · 1 to 2Jan 9, 2026 to Mar 17, 2026
- HNW clients · 43 to 46Jan 9, 2026 to Mar 17, 2026
- Employees · 2 to 3Jan 9, 2026 to Mar 17, 2026
- HQ city · CAPE ELIZABETH to YARMOUTHJan 9, 2026 to Mar 17, 2026
- State-registered IARs · 1 to 2Jan 9, 2026 to Mar 17, 2026
- Other offices · 0 to 2Jan 9, 2026 to Mar 17, 2026
- Discretionary RAUM · $104M to $151MJan 9, 2026 to Mar 17, 2026
- HNW RAUM · $90.2M to $122MJan 9, 2026 to Mar 17, 2026
- Individual RAUM · $3.3M to $1.0MJan 9, 2026 to Mar 17, 2026
- Non-discretionary RAUM · $18.5M to $3.2MJan 9, 2026 to Mar 17, 2026
- Pension RAUM · $18.5M to $23.3MJan 9, 2026 to Mar 17, 2026
- RAUM · $122M to $154MJan 9, 2026 to Mar 17, 2026
- Accounts · 146 to 152Jun 24, 2024 to Apr 28, 2025
- Employees · 1 to 2Jun 24, 2024 to Apr 28, 2025
- Financial planning clients · 0 to 0Jun 24, 2024 to Apr 28, 2025
- Discretionary RAUM · $95.4M to $104MJun 24, 2024 to Apr 28, 2025
- HNW RAUM · $80.4M to $90.2MJun 24, 2024 to Apr 28, 2025
- Individual RAUM · $4.1M to $3.3MJun 24, 2024 to Apr 28, 2025
- Non-discretionary RAUM · $14.4M to $18.5MJun 24, 2024 to Apr 28, 2025
- Pension RAUM · $14.4M to $18.5MJun 24, 2024 to Apr 28, 2025
- RAUM · $110M to $122MJun 24, 2024 to Apr 28, 2025
Signals
3 dated events
- John Garofalo left Maiden Cove Capital for Ubs Financial Services Inc. (registered 2025-05-14)Apr 28, 2025 · Advisor changed firm · fact
- Maiden Cove Capital filed its initial SEC registration (Form ADV)May 6, 2024 · First SEC registration · fact
- Kiersten Brennan left Maiden Cove Capital for Fidelity Personal And Workplace Advisors (registered 2024-10-25)May 3, 2023 · Advisor changed firm · 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 email
- info@maidencove.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 207-482-3840reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/maiden-cove-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- maidencove.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 207-482-3840reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- maidencove.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- maidencove.com/who-we-arereportedpublished 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
- $51.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026