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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

R••••••• I••••••••• A•••••••

Independent wealth managerSalem, MassachusettsCRD 337504SEC 801-133979websiteIAPD
Legal name R••••••• I••••••••• A••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jul 3, 2025 · 3 filings
SEC status approved since Jul 29, 2025
RAUM
$188M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$187M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$62.6M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$188M as of Mar 30, 2026
Jul 3, 2025$0 then
HNW client RAUM$91.9M as of Mar 30, 2026
Nov 28, 2025$95.0M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Jul 3, 20252 then
Employees (5.A)5 as of Mar 30, 2026
Jul 3, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
  • 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
236derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$701,202derivedHNW RAUM over HNW clients
Average account
$137,703derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$188MreportedItem 5.I
Custody
$80.9M, 439 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$94.8M50%
  • High-net-worth individuals$91.9M49%
  • Corporations and businesses$1.1M0.6%
  • Charitable organizations$7,7690.0%
Individual clients
576reported
HNW clients
131reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
1,363reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$80.9M for 439 clientsreported
Compensation
% of AUMreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
B•••••• J••• M•••••••Salem, MaJul 29, 202518 y2
M••• A••••• M•••••••Salem, MaJul 29, 202521 y1
N••••• M•••• S••••••••New Orleans, La Feb 26, 202620 y1
Advisor movement
0 left, 1 joined in 12 months
net +1 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
    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
      • M•••••••• B••••••• J••• · Ownercontrol
        since 06/2025 · owns 75% or more
      • S••••••••• N•••••• M•••• · Wealth Manager / Ccocontrol
        since 03/2026 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Salem, Ma · principal310
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      2 against comparable advisers; where to look, not conclusions
      • unusually high clients per advisorStatic outlier · filing Mar 30, 2026
        private clients per advisor of 235.7 against a peer median of 57.3 (3076 comparable advisers, 98.0th percentile, 5.1 robust deviations)
        peers: independent wealth managers, $100M to $500M (3,076) · 98% percentile
      • custody status changedChange between filings · filing Mar 30, 2026
        custody of client assets (Item 9.A): no on the filing of 2025-11-28, yes on the filing of 2026-03-30
        peers: independent wealth managers, $100M to $500M (5,676)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 1,337 to 1,363
        Nov 28, 2025 to Mar 30, 2026
      • Advisory employees · 2 to 3
        Nov 28, 2025 to Mar 30, 2026
      • BD registered reps · 2 to 3
        Nov 28, 2025 to Mar 30, 2026
      • HNW clients · 124 to 131
        Nov 28, 2025 to Mar 30, 2026
      • Individual clients · 571 to 576
        Nov 28, 2025 to Mar 30, 2026
      • Assets in custody · unset to 80885737.0
        Nov 28, 2025 to Mar 30, 2026
      • Custody of client assets · false to true
        Nov 28, 2025 to Mar 30, 2026
      • Employees · 4 to 5
        Nov 28, 2025 to Mar 30, 2026
      • State-registered IARs · 2 to 3
        Nov 28, 2025 to Mar 30, 2026
      • Discretionary RAUM · $189M to $188M
        Nov 28, 2025 to Mar 30, 2026
      • HNW RAUM · $95.0M to $91.9M
        Nov 28, 2025 to Mar 30, 2026
      • Individual RAUM · $92.6M to $94.8M
        Nov 28, 2025 to Mar 30, 2026
      • RAUM · $189M to $188M
        Nov 28, 2025 to Mar 30, 2026
      • Accounts · 0 to 1,337
        Jul 3, 2025 to Nov 28, 2025
      • Charity clients · unset to 1.0
        Jul 3, 2025 to Nov 28, 2025
      • Corporate clients · unset to 1.0
        Jul 3, 2025 to Nov 28, 2025
      • HNW clients · unset to 124.0
        Jul 3, 2025 to Nov 28, 2025
      • Individual clients · unset to 571.0
        Jul 3, 2025 to Nov 28, 2025
      • Financial planning clients · 0 to 0
        Jul 3, 2025 to Nov 28, 2025
      • Discretionary RAUM · $0 to $189M
        Jul 3, 2025 to Nov 28, 2025
      • HNW RAUM · unset to 95012851.0
        Jul 3, 2025 to Nov 28, 2025
      • Individual RAUM · unset to 92597623.0
        Jul 3, 2025 to Nov 28, 2025
      • RAUM · $0 to $189M
        Jul 3, 2025 to Nov 28, 2025
      Signals
      1 dated events
      • 2 advisors left F••••••• H••••• A•••••••• L•• (Boston, MA) for R••••••• I••••••••• A••••••• on the same day
        Oct 24, 2025 · 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
      978-594-8828reportedpublished by the firm, firm site, Sep 15, 2026
      Business phone
      978-832-1224reportedpublished by the firm, firm site, Sep 15, 2026
      Firm profile
      linkedin.com/company/maitland-financial-groupreportedpublic record, Form ADV, Sep 18, 2026
      Website
      maitlandfinancialgroup.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      978-594-8828reportedpublic record, Form ADV, Mar 30, 2026
      Team page
      maitlandfinancialgroup.com/team.htmreportedpublished 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
      $62.6Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026