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
44 North Capital, LLC
Latest filing Aug 26, 2026
First filing on the tape Jul 14, 2023 · 14 filings
SEC status approved since Aug 15, 2023
RAUM
$125M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$122M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$62.6M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$125M as of Aug 26, 2026
Mar 1, 2024$104M then
HNW client RAUM$96.4M as of Aug 26, 2026
Mar 1, 2024$84.8M then
State-registered IARs (5.B.3)2 as of Aug 26, 2026
Mar 1, 20242 then
Employees (5.A)3 as of Aug 26, 2026
Mar 1, 20243 then
Private funds: no history
RAUM +9.8% over the last fiscal yearIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Aug 26, 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
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $62.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 213derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $444,336derivedHNW RAUM over HNW clients
- Average account
- $285,668derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, otherreportedItem 5.G
- Wrap fee program
- $125MreportedItem 5.I
- Custody
- $16.4M, 45 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$96.4M77%
- Individuals$25.6M20%
- Corporations and businesses$2.1M1.6%
- Pension and profit-sharing plans$1.1M0.9%
- Individual clients
- 208reported
- HNW clients
- 217reported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 438reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $16.4M for 45 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jonathan A LandryCertified Financial Planner | Burlington, Vt | Dec 3, 2023 | 14 y | 1 |
| Alexandra Kaknes ForestCertified Financial Planner | Burlington, Vt | Jan 1, 2025 | 13 y | 3 |
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
- Alexandra Kaknes Forest from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 1, 2025 · Wirehouse to independent RIA
- Jonathan A Landry from Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 3, 2023 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 9, 2023 · Burlington, Vt
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A Jonathan Landry · Founder/Managing Directorcontrolsince 09/2023 · owns 75% or more
- George Christopher Plummer · Chief Compliance Officercontrolsince 11/2023 · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Burlington, Vt · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related adviser · false to trueJul 27, 2026 to Aug 26, 2026
- Accounts · 402 to 438Mar 10, 2025 to Mar 30, 2026
- Corporate clients · 12 to 4Mar 10, 2025 to Mar 30, 2026
- HNW clients · 173 to 217Mar 10, 2025 to Mar 30, 2026
- Individual clients · 217 to 208Mar 10, 2025 to Mar 30, 2026
- Pension plan clients · unset to 9.0Mar 10, 2025 to Mar 30, 2026
- Assets in custody · unset to 16409480.0Mar 10, 2025 to Mar 30, 2026
- Custody of client assets · false to trueMar 10, 2025 to Mar 30, 2026
- Financial planning clients · 51-100 to 101-250Mar 10, 2025 to Mar 30, 2026
- Other offices · 0 to 1Mar 10, 2025 to Mar 30, 2026
- Discretionary RAUM · $114M to $125MMar 10, 2025 to Mar 30, 2026
- HNW RAUM · $84.1M to $96.4MMar 10, 2025 to Mar 30, 2026
- Individual RAUM · $27.9M to $25.6MMar 10, 2025 to Mar 30, 2026
- Pension RAUM · unset to 1081422.0Mar 10, 2025 to Mar 30, 2026
- RAUM · $114M to $125MMar 10, 2025 to Mar 30, 2026
- Wrap assets (manager) · $114M to $0Mar 10, 2025 to Mar 30, 2026
- Accounts · 327 to 402Jan 3, 2025 to Mar 10, 2025
- Corporate clients · unset to 12.0Jan 3, 2025 to Mar 10, 2025
- HNW clients · 63 to 173Jan 3, 2025 to Mar 10, 2025
- Individual clients · 24 to 217Jan 3, 2025 to Mar 10, 2025
- Financial planning clients · 51-100 to 51-100Jan 3, 2025 to Mar 10, 2025
- Discretionary RAUM · $104M to $114MJan 3, 2025 to Mar 10, 2025
- HNW RAUM · $84.8M to $84.1MJan 3, 2025 to Mar 10, 2025
- Individual RAUM · $18.5M to $27.9MJan 3, 2025 to Mar 10, 2025
- RAUM · $104M to $114MJan 3, 2025 to Mar 10, 2025
- Wrap assets (manager) · $96.0M to $114MJan 3, 2025 to Mar 10, 2025
- Accounts · 318 to 327Nov 29, 2023 to Mar 1, 2024
- HNW clients · 25 to 63Nov 29, 2023 to Mar 1, 2024
- Individual clients · 55 to 24Nov 29, 2023 to Mar 1, 2024
- Discretionary RAUM · $101M to $104MNov 29, 2023 to Mar 1, 2024
- HNW RAUM · $76.7M to $84.8MNov 29, 2023 to Mar 1, 2024
- Individual RAUM · $24.7M to $18.5MNov 29, 2023 to Mar 1, 2024
- RAUM · $101M to $104MNov 29, 2023 to Mar 1, 2024
- Accounts · 0 to 318Nov 10, 2023 to Nov 29, 2023
- HNW clients · unset to 25.0Nov 10, 2023 to Nov 29, 2023
- Individual clients · unset to 55.0Nov 10, 2023 to Nov 29, 2023
- Financial planning clients · 0 to 51-100Nov 10, 2023 to Nov 29, 2023
- Discretionary RAUM · $0 to $101MNov 10, 2023 to Nov 29, 2023
- HNW RAUM · unset to 76727852.0Nov 10, 2023 to Nov 29, 2023
- Individual RAUM · unset to 24707282.0Nov 10, 2023 to Nov 29, 2023
Signals
9 dated events
- Leigh Stacy Sizemore (Chief Compliance Officer) no longer on Schedule A of 44 North Capital, Llc (listed 2023-11-10, absent 2023-11-29)Nov 29, 2023 · Control person left · inference
- George Christopher Plummer (Chief Compliance Officer) appeared on Schedule A of 44 North Capital, LlcNov 29, 2023 · Control person joined · fact
- 2 advisors left Merrill Lynch, Pierce, Fenner & Smith Incorporated (Burlington, VT) for 44 North Capital, LLC within 3 daysSep 9, 2023 · Team lift-out · derived
- Marc Bianchi (Owner) no longer on Schedule A of 44 North Capital, Llc (listed 2023-07-14, absent 2023-09-08)Sep 8, 2023 · Control person left · inference
- Leigh Stacy Sizemore (Chief Compliance Officer) appeared on Schedule A of 44 North Capital, LlcSep 8, 2023 · Control person joined · fact
- George Christopher Plummer (Chief Compliance Officer) no longer on Schedule A of 44 North Capital, Llc (listed 2023-09-08, absent 2023-09-08)Sep 8, 2023 · Control person left · inference
- George Christopher Plummer (Chief Compliance Officer) appeared on Schedule A of 44 North Capital, LlcSep 8, 2023 · Control person joined · fact
- A Jonathan Landry (Founder/Managing Director) appeared on Schedule A of 44 North Capital, LlcSep 8, 2023 · Control person joined · fact
- 44 North Capital, Llc filed its initial SEC registration (Form ADV)Jul 14, 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 phone
- 802-300-0614reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/44-north-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- 44NCAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 802-300-0614reportedpublic record, Form ADV, Aug 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
- $62.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026