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••••• B•••• F•••••••• L••
Latest filing Aug 14, 2026
First filing on the tape Apr 17, 2026 · 4 filings
SEC status 120-day approval since May 8, 2026
RAUM
$399M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$391M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$133M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$399M as of Aug 14, 2026
Apr 17, 2026$0 then
HNW client RAUM$46.1M as of Aug 14, 2026
Apr 17, 2026$0 then
State-registered IARs (5.B.3)1 as of Aug 14, 2026
Apr 17, 20260 then
Employees (5.A)7 as of Aug 14, 2026
Apr 17, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 14, 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
- $133MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $371,888derivedHNW RAUM over HNW clients
- Average account
- $420,942derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 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 assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $158M, 273 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
- 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)
- 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$345M86%
- High-net-worth individuals$46.1M12%
- Pension and profit-sharing plans$3.6M0.9%
- Corporations and businesses$2.8M0.7%
- Charitable organizations$1.7M0.4%
- Individual clients
- 105reported
- HNW clients
- 124reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 949reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $158M for 273 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 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 |
|---|---|---|---|---|
| M•••••• P•••• W•••••• | Middlebury, Vt | May 11, 2026 | 25 y | 3 |
| M•••• S•••••• M•••••• | Middlebury, Vt | Jun 2, 2026 | 10 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- M•••• S•••••• M•••••• from M••••• T•••• A•••••••Jun 2, 2026 · RIA to a newly registered adviser
- M•••••• P•••• W•••••• from M••••• T•••• A•••••••May 11, 2026 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• M••••••• P•••• · Presidentcontrolsince 03/2026 · owns 75% or more
- D••••••••• M••••••• E••••• · Chief Officersince 06/2026 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Middlebury, Vt | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 949Jul 8, 2026 to Aug 14, 2026
- Advisory employees · 1 to 4Jul 8, 2026 to Aug 14, 2026
- Charity clients · 0 to 2Jul 8, 2026 to Aug 14, 2026
- Corporate clients · 0 to 15Jul 8, 2026 to Aug 14, 2026
- HNW clients · 0 to 124Jul 8, 2026 to Aug 14, 2026
- Individual clients · 0 to 105Jul 8, 2026 to Aug 14, 2026
- Pension plan clients · 0 to 1Jul 8, 2026 to Aug 14, 2026
- Assets in custody · $0 to $158MJul 8, 2026 to Aug 14, 2026
- Employees · 1 to 7Jul 8, 2026 to Aug 14, 2026
- Financial planning clients · 0 to 101-250Jul 8, 2026 to Aug 14, 2026
- State-registered IARs · 0 to 1Jul 8, 2026 to Aug 14, 2026
- Discretionary RAUM · $0 to $396MJul 8, 2026 to Aug 14, 2026
- HNW RAUM · $0 to $46.1MJul 8, 2026 to Aug 14, 2026
- Individual RAUM · $0 to $345MJul 8, 2026 to Aug 14, 2026
- Non-discretionary RAUM · $0 to $3.2MJul 8, 2026 to Aug 14, 2026
- Pension RAUM · $0 to $3.6MJul 8, 2026 to Aug 14, 2026
- RAUM · $0 to $399MJul 8, 2026 to Aug 14, 2026
Signals
No event on the tape.
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
- 802-302-5222reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 207-781-7800reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 802-302-5122reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- silverbirchfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (802) 302-5122reportedpublic record, Form ADV, Aug 14, 2026
- Contact form
- silverbirchfinancial.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- silverbirchfinancial.com/who-we-arereportedpublished 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
- $133Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026