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
J.M. Arbour, LLC
Latest filing Mar 31, 2026
First filing on the tape Apr 6, 2022 · 15 filings
SEC status approved since May 6, 2022
RAUM
$183M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$183M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$20.4M
derived; firm RAUM over IAPD count
Employees
12
10 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$183M as of Mar 31, 2026
Mar 17, 2023$92.9M then
HNW client RAUM$60.5M as of Mar 31, 2026
Mar 17, 2023$31.6M then
State-registered IARs (5.B.3)10 as of Mar 31, 2026
Mar 17, 20236 then
Employees (5.A)12 as of Mar 31, 2026
Mar 17, 20238 then
Private funds: no history
RAUM +19% over the last fiscal year+25% a year over threeIARs 6 to 10offices 2 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $20.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $146,176derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $75.7M, 325 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$123M67%
- High-net-worth individuals$60.5M33%
- Individual clients
- 692reported
- HNW clients
- 28reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,253reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $75.7M for 325 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jac Michael ArbourCertified Financial Planner, Chartered Financial Consultant | Gardiner, Me | Jun 21, 2022 | 19 y | 1 |
| Miles Thomas WhitlockChartered Financial Consultant | Gardiner, Me | Jun 24, 2022 | 10 y | 1 |
| William Sinclair Cummings | Gardiner, Me | Jun 24, 2022 | 13 y | 2 |
| James C Lowell | Gardiner, Me | Jun 24, 2022 | 15 y | 2 |
| Evan Nathaniel CampbellChartered Financial Analyst | Gardiner, Me | Aug 25, 2025 | 18 y | 0 |
| Gavin Mayland Stern | Gardiner, Me | Oct 21, 2025 | 11 y | 0 |
| Matthew Thomas Gosselin | Gardiner, Me | Dec 19, 2025 | 10 y | 0 |
| Nicholas John Sickinger | Gardiner, Me | Jan 6, 2026 | 10 y | 0 |
| Donald R. Riddle | Scottsdale, Az | Aug 4, 2026 | 20 y | 3 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 22% of current headcount3 left over 36 months
Left, latest
- Carson Evan Kunkle to Harding Wealth, Inc.Jan 15, 2026 · RIA to RIA
- Nathan Jandreau to Ameriprise Financial Services, LLCOct 24, 2025 · RIA to affiliated broker-dealer or bank
- John Brendan Fitzpatrick to SavvyJan 10, 2025 · RIA to RIA
Joined, latest
- Donald R. Riddle from Strategic Advisers LLCAug 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- Miles Thomas Whitlock from Foundations Investment Advisors LLCJun 24, 2022 · RIA to a newly registered adviser
- William Sinclair Cummings from Foundations Investment Advisors LLCJun 24, 2022 · RIA to a newly registered adviser
- James C Lowell from Foundations Investment Advisors LLCJun 24, 2022 · RIA to a newly registered adviser
- John Brendan Fitzpatrick from Foundations Investment Advisors LLCJun 21, 2022 · RIA to a newly registered adviser
- Jac Michael Arbour from Foundations Investment Advisors LLCJun 21, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Foundations Investment Advisors LLCAug 2, 2022 · Phoenix, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Jac Arbour · Managing Member/Chief Compliance Officercontrolsince 11/2016 · owns 75% or more
- Rae Devon Pcolar · Chief Operating Officersince 05/2020 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Gardiner, Me · principal | 9 | 4 | 1 | ||
| Scottsdale, Az | 1 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- advisor count surgeChange between filings · filing Mar 31, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 10.0 (+67.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (965 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 99% percentile
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-11-03, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,310 to 1,253Nov 3, 2025 to Mar 31, 2026
- Advisory employees · 6 to 10Nov 3, 2025 to Mar 31, 2026
- HNW clients · 22 to 28Nov 3, 2025 to Mar 31, 2026
- Individual clients · 632 to 692Nov 3, 2025 to Mar 31, 2026
- Assets in custody · unset to 75708552.0Nov 3, 2025 to Mar 31, 2026
- Custody of client assets · false to trueNov 3, 2025 to Mar 31, 2026
- Employees · 9 to 12Nov 3, 2025 to Mar 31, 2026
- State-registered IARs · 6 to 10Nov 3, 2025 to Mar 31, 2026
- Discretionary RAUM · $154M to $183MNov 3, 2025 to Mar 31, 2026
- HNW RAUM · $47.2M to $60.5MNov 3, 2025 to Mar 31, 2026
- Individual RAUM · $107M to $123MNov 3, 2025 to Mar 31, 2026
- RAUM · $154M to $183MNov 3, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Aug 14, 2025 to Nov 3, 2025
- Other offices · 2 to 3Aug 14, 2025 to Nov 3, 2025
- Accounts · 1,129 to 1,310Jul 11, 2024 to Mar 31, 2025
- Advisory employees · 5 to 6Jul 11, 2024 to Mar 31, 2025
- HNW clients · 19 to 22Jul 11, 2024 to Mar 31, 2025
- Individual clients · 474 to 632Jul 11, 2024 to Mar 31, 2025
- Employees · 8 to 9Jul 11, 2024 to Mar 31, 2025
- State-registered IARs · 5 to 6Jul 11, 2024 to Mar 31, 2025
- Other offices · 1 to 2Jul 11, 2024 to Mar 31, 2025
- Discretionary RAUM · $115M to $154MJul 11, 2024 to Mar 31, 2025
- HNW RAUM · $37.6M to $47.2MJul 11, 2024 to Mar 31, 2025
- Individual RAUM · $78.9M to $107MJul 11, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.0M to $0Jul 11, 2024 to Mar 31, 2025
- RAUM · $116M to $154MJul 11, 2024 to Mar 31, 2025
- Accounts · 1,040 to 1,129Aug 30, 2023 to Feb 16, 2024
- Advisory employees · 6 to 5Aug 30, 2023 to Feb 16, 2024
- HNW clients · 44 to 19Aug 30, 2023 to Feb 16, 2024
- Individual clients · 385 to 474Aug 30, 2023 to Feb 16, 2024
- Pension plan clients · 21 to 0Aug 30, 2023 to Feb 16, 2024
- State-registered IARs · 6 to 5Aug 30, 2023 to Feb 16, 2024
- Discretionary RAUM · $87.9M to $115MAug 30, 2023 to Feb 16, 2024
- HNW RAUM · $31.6M to $37.6MAug 30, 2023 to Feb 16, 2024
- Individual RAUM · $61.3M to $78.9MAug 30, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $5.1M to $1.0MAug 30, 2023 to Feb 16, 2024
- RAUM · $92.9M to $116MAug 30, 2023 to Feb 16, 2024
- HQ city · HALLOWELL to GARDINERMar 17, 2023 to Aug 15, 2023
- Accounts · 1,047 to 1,040Aug 30, 2022 to Mar 17, 2023
- HNW clients · 21 to 44Aug 30, 2022 to Mar 17, 2023
Signals
5 dated events
- Carson Evan Kunkle left J.M. Arbour, Llc for Harding Wealth, Inc. (registered 2026-02-10)Jan 15, 2026 · Advisor changed firm · fact
- Nathan Jandreau left J.M. Arbour, Llc for Ameriprise Financial Services, Llc (registered 2025-11-20)Oct 24, 2025 · Advisor changed firm · fact
- John Brendan Fitzpatrick left J.M. Arbour, Llc for Savvy (registered 2025-01-16)Jan 10, 2025 · Advisor changed firm · fact
- 2 advisors left Foundations Investment Advisors LLC (Phoenix, AZ) for J.M. Arbour, LLC within 2 daysAug 2, 2022 · Team lift-out · derived
- J.M. Arbour Wealth Management filed its initial SEC registration (Form ADV)Apr 6, 2022 · 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 email
- info@jmarbour.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 207-248-6767reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 207-466-3343reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/j-m-arbour-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- jmarbour.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (207) 248-6767reportedpublic record, Form ADV, Mar 31, 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
- $20.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026