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

Stage 2 Planning Partners LLC

Independent wealth managerS Burlington, VermontCRD 323281SEC 801-135707websiteIAPD
Latest filing Jun 1, 2026
First filing on the tape Mar 31, 2026 · 2 filings
SEC status approved since Mar 26, 2026
RAUM
$106M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
98%
$104M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$53.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$106M as of Jun 1, 2026
Mar 31, 2026$106M then
HNW client RAUM$34.3M as of Jun 1, 2026
Mar 31, 2026$34.3M then
State-registered IARs (5.B.3)2 as of Jun 1, 2026
Mar 31, 20262 then
Employees (5.A)2 as of Jun 1, 2026
Mar 31, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 1, 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
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$53.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
153derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$185,861derivedRAUM over accounts (5.F.2.f)
Discretionary
87%derivedof RAUM
Institutional
2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
Custody
$92.4M, 252 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$70.1M66%
  • High-net-worth individuals$34.3M32%
  • Pension and profit-sharing plans$2.1M2.0%
Individual clients
283reported
HNW clients
23reported
Pension plan clients
2reported
Charitable clients
0reported
Accounts
573reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$92.4M for 252 clientsreported
Compensation
% of AUM, hourlyreported
Class basis
private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Sandra Marie MaynardChartered Financial ConsultantS Burlington, VtSep 20, 202235 y4
Christopher Alan DouglassChartered Financial ConsultantS Burlington, VtJan 4, 202332 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
    Joined, latest
    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
      • Alan Christopher Douglass · Managing Partner And Chief Compliance Officercontrol
        since 01/2025 · owns 50% to 75%
      • Marie Sandra Maynard · Managing Partnercontrol
        since 01/2025 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      S Burlington, Vt · principal200
      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
      1 dated events
      • 2 advisors left Stage 2 Planning Partners (South Burlington, VT) for Stage 2 Planning Partners LLC on the same day
        Apr 13, 2023 · Team lift-out · derived
      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
      802-846-1264reportedpublished by the firm, firm site, Sep 16, 2026
      Website
      stage2planning.comreportedpublic record, Form ADV, Sep 17, 2026
      Principal office phone
      802-846-1264reportedpublic record, Form ADV, Jun 1, 2026
      Team page
      stage2planning.com/team-memberreportedpublished 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
      $53.2Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026