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.
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SEC-registered adviser
S••••• S••••• C•••••• L••
Latest filing Jul 21, 2026
First filing on the tape Jul 12, 2024 · 9 filings
SEC status approved since Aug 12, 2024
RAUM
$140M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
62%
$87.4M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$70.2M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$140M as of Jul 21, 2026
Mar 31, 2025$102M then
HNW client RAUM$74.5M as of Jul 21, 2026
Mar 31, 2025$45.1M then
State-registered IARs (5.B.3)1 as of Jul 21, 2026
Mar 31, 20251 then
Employees (5.A)3 as of Jul 21, 2026
Mar 31, 20252 then
Private funds: no history
RAUM +38% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jul 21, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $70.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $559,591derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 32%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +38%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -31%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $97.0MreportedItem 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
- is a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$74.5M53%
- Pension and profit-sharing plans$45.4M32%
- Individuals$12.9M9.2%
- Corporations and businesses$7.6M5.4%
- Individual clients
- 48reported
- HNW clients
- 31reported
- Pension plan clients
- 15reported
- Charitable clients
- n/areported
- Accounts
- 251reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.62 fund_share=0.0 institutional_share=0.32 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 |
|---|---|---|---|---|
| D•••• M•••••• G•••••• | Portsmouth, Nh | Sep 24, 2024 | 21 y | 4 |
| P••••• O••••••••• | Portsmouth, Nh | Sep 15, 2025 | 14 y | 0 |
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
- D•••• M•••••• G•••••• from W•••• F•••• A•••••••Sep 24, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• D••••• M•••••• · Owner, Chief Compliance Officercontrolsince 05/2024 · 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 |
|---|---|---|---|---|---|
| Portsmouth, Nh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 13, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $101,696,161 to $140,457,240, advisors 1 to 1, private clients 114 to 79, offices 0 to 0 (2025-03-31 to 2026-03-13)peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 25 %Change between filings · filing Mar 13, 2026RAUM (Item 5.F) moved from $101,696,161 to $140,457,240 (+38.0%) between the annual amendments of 2025-03-31 and 2026-03-13; the peer median change was +15.0% (4550 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 92% percentile
What changed
consecutive filings, newest first
- HQ city · KITTERY to PORTSMOUTHMar 13, 2026 to Jul 21, 2026
- HQ state · ME to NHMar 13, 2026 to Jul 21, 2026
- Accounts · 246 to 251Dec 2, 2025 to Mar 13, 2026
- Advisory employees · 1 to 2Dec 2, 2025 to Mar 13, 2026
- HNW clients · 25 to 31Dec 2, 2025 to Mar 13, 2026
- Individual clients · 89 to 48Dec 2, 2025 to Mar 13, 2026
- Pension plan clients · 8 to 15Dec 2, 2025 to Mar 13, 2026
- Employees · 2 to 3Dec 2, 2025 to Mar 13, 2026
- Financial planning clients · 0 to 11-25Dec 2, 2025 to Mar 13, 2026
- Discretionary RAUM · $96.6M to $124MDec 2, 2025 to Mar 13, 2026
- HNW RAUM · $45.1M to $74.5MDec 2, 2025 to Mar 13, 2026
- Individual RAUM · $21.7M to $12.9MDec 2, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $5.1M to $16.1MDec 2, 2025 to Mar 13, 2026
- Pension RAUM · $26.6M to $45.4MDec 2, 2025 to Mar 13, 2026
- RAUM · $102M to $140MDec 2, 2025 to Mar 13, 2026
- Accounts · 0 to 246Sep 18, 2024 to Mar 31, 2025
- Corporate clients · unset to 7.0Sep 18, 2024 to Mar 31, 2025
- HNW clients · unset to 25.0Sep 18, 2024 to Mar 31, 2025
- Individual clients · unset to 89.0Sep 18, 2024 to Mar 31, 2025
- Pension plan clients · unset to 8.0Sep 18, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Sep 18, 2024 to Mar 31, 2025
- Discretionary RAUM · $0 to $96.6MSep 18, 2024 to Mar 31, 2025
- HNW RAUM · unset to 45100039.0Sep 18, 2024 to Mar 31, 2025
- Individual RAUM · unset to 21705187.0Sep 18, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $5.1MSep 18, 2024 to Mar 31, 2025
- Pension RAUM · unset to 26611440.0Sep 18, 2024 to Mar 31, 2025
- RAUM · $0 to $102MSep 18, 2024 to Mar 31, 2025
- Financial planning clients · unset to 0Jul 12, 2024 to Aug 9, 2024
Signals
1 dated events
- S••••• S••••• C•••••• L•• filed its initial SEC registration (Form ADV)Jul 12, 2024 · 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
- inquiry@steelestreetcapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 207-475-0060reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- steelestreetcapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 207-475-0060reportedpublic record, Form ADV, Jul 21, 2026
- Team page
- steelestreetcapital.com/our-teamreportedpublished 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
- $70.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026