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
Bridgeport Financial Solutions
Legal name Bridgeport Financial Solutions LLC
Latest filing Aug 20, 2026
First filing on the tape Mar 10, 2023 · 20 filings
SEC status approved since Apr 10, 2023
RAUM
$1.0B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
87%
$909M individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$80.5M
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.0B as of Aug 20, 2026
Jan 13, 2025$0 then
HNW client RAUM$679M as of Aug 20, 2026
Mar 30, 2024$0 then
State-registered IARs (5.B.3)9 as of Aug 20, 2026
Mar 30, 20240 then
Employees (5.A)9 as of Aug 20, 2026
Mar 30, 20245 then
Private funds: no history
RAUM +116% over the last fiscal yearIARs 11 to 9offices 8 to 7
Practice profile
derived from the filing of Aug 20, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $80.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $379,818derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 1.6derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +116%derivedbetween the last two annual amendments
- Advisor growth, one year
- -18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $582MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$679M65%
- Individuals$230M22%
- Pension and profit-sharing plans$131M12%
- Corporations and businesses$4.0M0.4%
- Charitable organizations$2.4M0.2%
- Individual clients
- 654reported
- HNW clients
- 241reported
- Pension plan clients
- 20reported
- Charitable clients
- 0reported
- Accounts
- 2,755reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Luke Perry | Fairfield, Ia | Jun 28, 2024 | 19 y | 4 |
| Avangeline Subsin | Fairfield, Ia | Jun 28, 2024 | 10 y | 2 |
| Michael William Mallon | Malden, Ma | Jul 3, 2024 | 15 y | 1 |
| Evan Peter WelchCertified Financial Planner | Boxborough, Ma | Jul 3, 2024 | 28 y | 3 |
| Mitchell Sanford | Boxborough, Ma | Jul 3, 2024 | 10 y | 1 |
| Andrew Joseph SohnChartered Financial Consultant | Boxborough, Ma | Jul 3, 2024 | 28 y | 2 |
| Brian Allen Peardon | Roseville, Ca | Dec 19, 2024 | 20 y | 4 |
| Robin Alan Hall | Indianapolis, In | Apr 29, 2025 | 30 y | 2 |
| Kole Denning Cook | Lincoln, Ca | Jul 2, 2026 | 10 y | 0 |
| Tina Virginia Decker | Phoenix, Az | Aug 24, 2026 | 25 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Tina Virginia Decker from Osaic Wealth, Inc.Aug 24, 2026 · Affiliated broker-dealer or bank to independent RIA
- Robin Alan Hall from Cambridge Investment Research Advisors, Inc.Apr 29, 2025 · Affiliated broker-dealer or bank to independent RIA
- Brian Allen Peardon from Cambridge Investment Research Advisors, Inc.Dec 19, 2024 · Other
- Evan Peter Welch from Cambridge Investment Research Advisors, Inc.Jul 3, 2024 · Other
- Michael William Mallon from Cambridge Investment Research Advisors, Inc.Jul 3, 2024 · Other
- Andrew Joseph Sohn from Cambridge Investment Research Advisors, Inc.Jul 3, 2024 · Other
- Mitchell Sanford from Cambridge Investment Research Advisors, Inc.Jul 3, 2024 · Other
- Avangeline Subsin from Cambridge Investment Research Advisors, Inc.Jun 28, 2024 · Other
- Luke Perry from Cambridge Investment Research Advisors, Inc.Jun 28, 2024 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Cambridge Investment Research Advisors, Inc.Dec 31, 2025 · Fairfield, Ia
- 4 joined from Cambridge Investment Research Advisors, Inc.Dec 31, 2025 · Boxborough, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Mcguire Colleen Bell · Managercontrolsince 03/2023 · owns less than 5%
- Aaron Seth Miller · Managercontrolsince 03/2023 · owns less than 5%
- Ann Tammy Robbins · Managercontrolsince 03/2023 · owns less than 5%
- Thomas Eddie Rollins · Managing Directorcontrolsince 12/2023 · owns less than 5%
- Clara Sierra · Managing Directorcontrolsince 05/2026 · owns less than 5%
- Francis Jeffrey Vivacqua · Managercontrolsince 03/2023 · owns less than 5%
- Lynn Amy Webber · Managercontrolsince 03/2023 · owns less than 5%
- Eric Schwartz · Trusteecontrolsince 09/2024 · owns F of Schwartz Family Trust II
- Eric Schwartz · Trusteecontrolsince 08/2015 · owns F of Eric And Kelly Schwartz Charitable Trust
- A Kelly Schwartz · Trusteecontrolsince 08/2015 · owns F of Eric And Kelly Schwartz Charitable Trust
- Murphy Nelson Graham · Chief Technology Officersince 07/2024 · owns less than 5%
- Henry Richard Kuhlman · Chief Legal Officersince 05/2023 · owns less than 5%
- Lynn Andrea Shafer · Chief Supervision Officersince 07/2024 · owns less than 5%
- Jean Carla Stone · Chief Accounting Officersince 03/2023 · owns less than 5%
- Michael Stephen Youhn · Chief Compliance Officersince 03/2023 · owns less than 5%
Entity owners
- Cambridge Investment Group, Inc. · Memberdirect · owns 75% or more
- Eric And Kelly Schwartz Charitable Trust · Shareholderindirect · owns 25% to 50% of Cambridge Investment Group, Inc.
- Schwartz Family Trust II · Shareholderindirect · owns 25% to 50% of Cambridge Investment Group, Inc.
Related persons
Schedule D 7.A
- Cambridge Investment Research Advisors, Inc.investment advisernRAUM $139B
- Cambridge Investment Research, Inc.broker-dealern
- Tbs Agency, Inc.real estaten
Advisers that list Bridgeport Financial Solutions as a related person
- 134139 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boxborough, Ma | 5 | 0 | 0 | ||
| Fairfield, Ia | 3 | 0 | 0 | ||
| Roseville, Ca | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boxborough, MA5 employees
- Malden, MA1 employees
- , 1 employees
- Phoenix, AZ
- West Des Moines, IA
ADV anomalies
7 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 20, 2026ROLLINS, EDDIE, THOMAS (MANAGING DIRECTOR) left Schedule A between the filings of 2024-12-03 and 2026-08-20peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 20, 2026SIERRA, CLARA (MANAGING DIRECTOR) appeared on Schedule A between the filings of 2024-12-03 and 2026-08-20peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 20, 2026SCHWARTZ, ERIC (TRUSTEE) left Schedule A between the filings of 2024-12-03 and 2026-08-20peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 20, 2026SCHWARTZ, KELLY, A (TRUSTEE) left Schedule A between the filings of 2024-12-03 and 2026-08-20peers: independent wealth managers, $1B to $5B (1,360)
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $484,508,230 to $1,046,399,893 (+116.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +17.0% (1297 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,297) · 98% percentile
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 3.0% to 65.0% between the annual amendments of 2025-03-28 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,360)
- account count surgeChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 1,572.0 to 2,755.0 (+75.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +6.0% (1206 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 1,572 to 2,755Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 11 to 9Mar 28, 2025 to Mar 31, 2026
- BD registered reps · 1 to 0Mar 28, 2025 to Mar 31, 2026
- Corporate clients · 0 to 5Mar 28, 2025 to Mar 31, 2026
- HNW clients · unset to 241.0Mar 28, 2025 to Mar 31, 2026
- Individual clients · 523 to 654Mar 28, 2025 to Mar 31, 2026
- Pension plan clients · 0 to 20Mar 28, 2025 to Mar 31, 2026
- Employees · 11 to 9Mar 28, 2025 to Mar 31, 2026
- Insurance-licensed employees · 11 to 1Mar 28, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 101-250Mar 28, 2025 to Mar 31, 2026
- State-registered IARs · 11 to 9Mar 28, 2025 to Mar 31, 2026
- Other offices · 8 to 7Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $485M to $1.0BMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $12.7M to $679MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $472M to $230MMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $10.8MMar 28, 2025 to Mar 31, 2026
- Pension RAUM · $0 to $131MMar 28, 2025 to Mar 31, 2026
- RAUM · $485M to $1.0BMar 28, 2025 to Mar 31, 2026
- Accounts · 0 to 1,572Jan 13, 2025 to Mar 28, 2025
- Advisory employees · 7 to 11Jan 13, 2025 to Mar 28, 2025
- BD registered reps · 0 to 1Jan 13, 2025 to Mar 28, 2025
- HNW clients · 0.0 to unsetJan 13, 2025 to Mar 28, 2025
- Individual clients · 0 to 523Jan 13, 2025 to Mar 28, 2025
- Employees · 7 to 11Jan 13, 2025 to Mar 28, 2025
- Insurance-licensed employees · 7 to 11Jan 13, 2025 to Mar 28, 2025
- Financial planning clients · 0 to 1-10Jan 13, 2025 to Mar 28, 2025
- HQ city · FAIRFIELD to PHOENIXJan 13, 2025 to Mar 28, 2025
- HQ state · IA to AZJan 13, 2025 to Mar 28, 2025
- State-registered IARs · 7 to 11Jan 13, 2025 to Mar 28, 2025
- Other offices · 5 to 8Jan 13, 2025 to Mar 28, 2025
- Discretionary RAUM · $0 to $485MJan 13, 2025 to Mar 28, 2025
- HNW RAUM · $0 to $12.7MJan 13, 2025 to Mar 28, 2025
- Individual RAUM · $0 to $472MJan 13, 2025 to Mar 28, 2025
- RAUM · $0 to $485MJan 13, 2025 to Mar 28, 2025
- Related insurance company · false to trueJan 13, 2025 to Mar 28, 2025
- Wrap assets (manager) · unset to 0.0Jan 13, 2025 to Mar 28, 2025
- Wrap assets (sponsor) · unset to 0.0Jan 13, 2025 to Mar 28, 2025
- Accounts · unset to 0.0Dec 3, 2024 to Jan 13, 2025
- Discretionary RAUM · unset to 0.0Dec 3, 2024 to Jan 13, 2025
- Non-discretionary RAUM · unset to 0.0Dec 3, 2024 to Jan 13, 2025
Signals
10 dated events
- Bridgeport Financial Solutions reported RAUM $1.0B, up 116% from $484.5M (2025-03-28 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- 4 advisors left Cambridge Investment Research Advisors, Inc. (Boxborough, MA) for Bridgeport Financial Solutions on the same dayDec 31, 2025 · Team lift-out · derived
- 2 advisors left Cambridge Investment Research Advisors, Inc. (Fairfield, IA) for Bridgeport Financial Solutions on the same dayDec 31, 2025 · Team lift-out · derived
- A Kelly Schwartz (Trustee) appeared on Schedule A of Bridgeport Financial SolutionsDec 3, 2024 · Control person joined · fact
- Charles Richard Boyles (Manager) no longer on Schedule A of Bridgeport Financial Solutions (listed 2024-07-16, absent 2024-07-17)Jul 17, 2024 · Control person left · inference
- Charles Richard Boyles (Manager) appeared on Schedule A of Bridgeport Financial SolutionsJul 15, 2024 · Control person joined · fact
- Ann Tammy Robbins (Manager) appeared on Schedule A of Bridgeport Financial SolutionsJul 15, 2024 · Control person joined · fact
- Thomas Eddie Rollins (Managing Director) appeared on Schedule A of Bridgeport Financial SolutionsFeb 5, 2024 · Control person joined · fact
- Henry Richard Kuhlman (Senior Vice President, Chief Legal Officer) appeared on Schedule A of Bridgeport Financial SolutionsMay 25, 2023 · Control person joined · fact
- Bridgeport Financial Solutions filed its initial SEC registration (Form ADV)Mar 10, 2023 · 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@bridgeport.financialreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-411-2737reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/bridgeport-financial-solutionsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- BridgePort.financialreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 877-411-2737reportedpublic record, Form ADV, Aug 20, 2026
- Contact form
- bridgeport.financial/about-us/contactreportedpublished by the firm, firm site, Sep 15, 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
- $80.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026