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.
Former SEC-registered adviser
Saybrook Wealth Group, Inc.
Latest filing Mar 13, 2026
First filing on the tape Dec 1, 2021 · 7 filings
SEC status approved since Jan 3, 2022
RAUM
$292M
reported, Item 5.F
Discretionary
31%
of RAUM
Private clients
98%
$286M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$292M as of Mar 13, 2026
Mar 29, 2023$161M then
HNW client RAUM$213M as of Mar 13, 2026
Mar 29, 2023$59.8M then
State-registered IARs (5.B.3)1 as of Mar 13, 2026
Mar 29, 20231 then
Employees (5.A)2 as of Mar 13, 2026
Mar 29, 20232 then
Private funds: no history
RAUM +21% over the last fiscal year+22% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
- RAUM per advisor
- $292MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 316derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $292,668derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 31%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.1%derived
- 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, selection of other advisers, educational seminars, 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)
- 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
- High-net-worth individuals$213M73%
- Individuals$73.5M25%
- Pension and profit-sharing plans$5.6M1.9%
- Individual clients
- 241reported
- HNW clients
- 75reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 998reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- Stephen Ernest Norton to Mai Capital Management, LLCJun 19, 2026 · RIA to RIA
Joined, latest
- Stephen Ernest Norton from Raymond James Financial Services Advisors, IncJan 4, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ernest Stephen Norton · President And Chief Compliance Officercontrolsince 11/2007 · 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 |
|---|---|---|---|---|---|
| Old Saybrook, Ct · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 932 to 998Mar 21, 2025 to Mar 13, 2026
- Advisory activities · 6 to 7Mar 21, 2025 to Mar 13, 2026
- HNW clients · 67 to 75Mar 21, 2025 to Mar 13, 2026
- Individual clients · 228 to 241Mar 21, 2025 to Mar 13, 2026
- Assets in custody · 41014.0 to unsetMar 21, 2025 to Mar 13, 2026
- Custody of client assets · true to falseMar 21, 2025 to Mar 13, 2026
- Discretionary RAUM · $86.9M to $90.9MMar 21, 2025 to Mar 13, 2026
- HNW RAUM · $179M to $213MMar 21, 2025 to Mar 13, 2026
- Individual RAUM · $55.8M to $73.5MMar 21, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $155M to $201MMar 21, 2025 to Mar 13, 2026
- Pension RAUM · $7.3M to $5.6MMar 21, 2025 to Mar 13, 2026
- RAUM · $242M to $292MMar 21, 2025 to Mar 13, 2026
- Accounts · 928 to 932Mar 28, 2024 to Mar 21, 2025
- Advisory activities · 5 to 6Mar 28, 2024 to Mar 21, 2025
- HNW clients · 102 to 67Mar 28, 2024 to Mar 21, 2025
- Individual clients · 182 to 228Mar 28, 2024 to Mar 21, 2025
- Pension plan clients · 4 to 3Mar 28, 2024 to Mar 21, 2025
- Assets in custody · $86,615 to $41,014Mar 28, 2024 to Mar 21, 2025
- Financial planning clients · 101-250 to 101-250Mar 28, 2024 to Mar 21, 2025
- Discretionary RAUM · $18.0M to $86.9MMar 28, 2024 to Mar 21, 2025
- HNW RAUM · $171M to $179MMar 28, 2024 to Mar 21, 2025
- Individual RAUM · $15.9M to $55.8MMar 28, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $179M to $155MMar 28, 2024 to Mar 21, 2025
- Pension RAUM · $10.2M to $7.3MMar 28, 2024 to Mar 21, 2025
- RAUM · $197M to $242MMar 28, 2024 to Mar 21, 2025
- Accounts · 751 to 928Mar 29, 2023 to Mar 28, 2024
- Corporate clients · 3.0 to unsetMar 29, 2023 to Mar 28, 2024
- HNW clients · 17 to 102Mar 29, 2023 to Mar 28, 2024
- Individual clients · 256 to 182Mar 29, 2023 to Mar 28, 2024
- Pension plan clients · 3 to 4Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $170,381 to $86,615Mar 29, 2023 to Mar 28, 2024
- Financial planning clients · 51-100 to 101-250Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $12.6M to $18.0MMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $59.8M to $171MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $90.9M to $15.9MMar 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $149M to $179MMar 29, 2023 to Mar 28, 2024
- Pension RAUM · $9.8M to $10.2MMar 29, 2023 to Mar 28, 2024
- RAUM · $161M to $197MMar 29, 2023 to Mar 28, 2024
- Accounts · 387 to 751May 2, 2022 to Mar 29, 2023
- Advisory employees · 2 to 1May 2, 2022 to Mar 29, 2023
Signals
3 dated events
- Saybrook Wealth Group, Inc. no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $292.1M)Jul 1, 2026 · Left the SEC roster · derived
- Stephen Ernest Norton left Saybrook Wealth Group, Inc. for Mai Capital Management, Llc (registered 2026-06-18)Jun 19, 2026 · Advisor changed firm · fact
- Saybrook Wealth Group, Inc. filed its initial SEC registration (Form ADV)Dec 1, 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026