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
Integrity Financial Advisors, LLC
Latest filing Jun 26, 2026
First filing on the tape Apr 26, 2021 · 18 filings
SEC status approved since Jul 1, 2021
RAUM
$135M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
82%
$111M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$15.0M
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$135M as of Jun 26, 2026
Mar 22, 2022$62.5M then
HNW client RAUM$35.0M as of Jun 26, 2026
Mar 22, 2022$23.6M then
State-registered IARs (5.B.3)8 as of Jun 26, 2026
Mar 22, 20225 then
Employees (5.A)9 as of Jun 26, 2026
Mar 22, 20225 then
Private funds: no history
RAUM +8.5% over the last fiscal year+21% a year over threeIARs 9 to 8offices 6 to 5
Practice profile
derived from the filing of Jun 26, 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
- $15.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $272,451derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$75.7M56%
- High-net-worth individuals$35.0M26%
- Pension and profit-sharing plans$19.7M15%
- Corporations and businesses$4.4M3.3%
- Individual clients
- 208reported
- HNW clients
- 22reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 495reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert Forest Held | Lower Gwynedd, Pa | Jul 7, 2021 | 41 y | 7 |
| Lacey Lynn Roberts | Woburn, Ma | Apr 28, 2022 | 25 y | 8 |
| Michael Dale KoontzChartered Financial Consultant | Forest, Va | Apr 28, 2022 | 44 y | 4 |
| Leanne Atencio MartinCertified Financial Planner | Woburn, Ma | Apr 28, 2023 | 23 y | 3 |
| Atencio Taylor Martin | Kittery, Me | Apr 9, 2024 | 13 y | 0 |
| David Morgan Schubach | Tolland, Ct | Apr 15, 2025 | 31 y | 4 |
| Christian Frederick Bockrath | Lansdale, Pa | Oct 10, 2025 | 10 y | 0 |
| Lori Ann Day | Simi Valley, Ca | Jan 26, 2026 | 16 y | 5 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Lori Ann Day from Blue Ocean Capital Management, LLCJan 26, 2026 · Other
- David Morgan Schubach from New Frontier Advisors, LLCApr 15, 2025 · Other
- Leanne Atencio Martin from Arete Wealth Advisors, LLCApr 28, 2023 · Affiliated broker-dealer or bank to independent RIA
- Lacey Lynn Roberts from Cape Investment Advisory, Inc.Apr 28, 2022 · RIA to RIA
- Michael Dale Koontz from Exodus Wealth, LLCApr 28, 2022 · RIA to RIA
- Robert Forest Held from Exodus Wealth, LLCJul 7, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Byron Joseph Hosler · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- Forest Robert Held · Ownercontrolsince 06/2008 · owns 75% or more of Advanced Financial Partners, LLC
- Byron Joseph Hosler · Managin Principalcontrolsince 03/2013 · owns 25% to 50% of Auour Investments LLC
- Zlatko Robert Kuftinec · Membercontrolsince 01/2015 · owns 25% to 50% of Auour Investments LLC
Entity owners
- Advanced Financial Partners, LLC · Memberdirect · owns 50% to 75%
- Auour Investments LLC · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- Auour Investments LLCinvestment adviseryRAUM $378M
Advisers that list Integrity Financial Advisors, LLC as a related person
- 173392 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Woburn, Ma · principal | 7 | 1 | 0 | ||
| Kittery, Me | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Kittery, ME2 employees
- Edmond, OK1 employees
- Lansdale, PA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 485 to 495Apr 15, 2025 to Mar 26, 2026
- Advisory employees · 9 to 8Apr 15, 2025 to Mar 26, 2026
- Corporate clients · 4 to 5Apr 15, 2025 to Mar 26, 2026
- HNW clients · 21 to 22Apr 15, 2025 to Mar 26, 2026
- Individual clients · 207 to 208Apr 15, 2025 to Mar 26, 2026
- Assets in custody · unset to 147944.0Apr 15, 2025 to Mar 26, 2026
- Employees · 10 to 9Apr 15, 2025 to Mar 26, 2026
- Financial planning clients · 11-25 to 101-250Apr 15, 2025 to Mar 26, 2026
- State-registered IARs · 9 to 8Apr 15, 2025 to Mar 26, 2026
- Other offices · 6 to 5Apr 15, 2025 to Mar 26, 2026
- Discretionary RAUM · $97.9M to $115MApr 15, 2025 to Mar 26, 2026
- HNW RAUM · $30.6M to $35.0MApr 15, 2025 to Mar 26, 2026
- Individual RAUM · $70.8M to $75.7MApr 15, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $26.4M to $19.7MApr 15, 2025 to Mar 26, 2026
- Pension RAUM · $19.5M to $19.7MApr 15, 2025 to Mar 26, 2026
- RAUM · $124M to $135MApr 15, 2025 to Mar 26, 2026
- Advisory employees · 8 to 9Sep 30, 2024 to Apr 15, 2025
- Accounts · 444 to 485Sep 30, 2024 to Apr 15, 2025
- Individual clients · 203 to 207Sep 30, 2024 to Apr 15, 2025
- Pension plan clients · 4 to 5Sep 30, 2024 to Apr 15, 2025
- Employees · 9 to 10Sep 30, 2024 to Apr 15, 2025
- Financial planning clients · 11-25 to 11-25Sep 30, 2024 to Apr 15, 2025
- State-registered IARs · 8 to 9Sep 30, 2024 to Apr 15, 2025
- Other offices · 5 to 6Sep 30, 2024 to Apr 15, 2025
- Discretionary RAUM · $89.6M to $97.9MSep 30, 2024 to Apr 15, 2025
- HNW RAUM · $30.2M to $30.6MSep 30, 2024 to Apr 15, 2025
- Individual RAUM · $59.4M to $70.8MSep 30, 2024 to Apr 15, 2025
- Non-discretionary RAUM · $14.0M to $26.4MSep 30, 2024 to Apr 15, 2025
- Pension RAUM · $11.9M to $19.5MSep 30, 2024 to Apr 15, 2025
- RAUM · $104M to $124MSep 30, 2024 to Apr 15, 2025
- Employees · 8 to 9Mar 15, 2024 to Sep 30, 2024
- HQ city · WENHAM to WOBURNMar 15, 2024 to Sep 30, 2024
- Other offices · 4 to 5Mar 15, 2024 to Sep 30, 2024
- Accounts · 327 to 444Jan 24, 2024 to Mar 15, 2024
- Advisory employees · 5 to 8Jan 24, 2024 to Mar 15, 2024
- Corporate clients · 3 to 4Jan 24, 2024 to Mar 15, 2024
- Individual clients · 161 to 203Jan 24, 2024 to Mar 15, 2024
- Pension plan clients · 5 to 4Jan 24, 2024 to Mar 15, 2024
- Employees · 6 to 8Jan 24, 2024 to Mar 15, 2024
- Financial planning clients · 0 to 11-25Jan 24, 2024 to Mar 15, 2024
Signals
2 dated events
- James Kenneth Doerr (Member) no longer on Schedule A of Integrity Financial Advisors, Llc (listed 2022-11-08, absent 2023-02-22)Feb 22, 2023 · Control person left · inference
- Integrity Financial Advisors, Llc filed its initial SEC registration (Form ADV)Apr 26, 2021 · 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 phone
- 207-205-7527reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 781-405-1967reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- twotugboats.netreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 978-338-4830reportedpublic record, Form ADV, Jun 26, 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
- $15.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026