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
S••••• P•••••••
Legal name S••••• P•••••••• L••
Latest filing May 6, 2026
First filing on the tape Nov 21, 2011 · 29 filings
SEC status approved since Jun 19, 1998
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$187M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$46.8M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$187M as of May 6, 2026
Feb 3, 2012$118M then
HNW client RAUM$64.4M as of May 6, 2026
Feb 26, 2018$26.7M then
State-registered IARs (5.B.3)4 as of May 6, 2026
Feb 3, 20120 then
Employees (5.A)5 as of May 6, 2026
Feb 26, 20136 then
Private funds: no history
RAUM +10% over the last fiscal year+7.1% a year over threeIARs 6 to 4
Practice profile
derived from the filing of May 6, 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)
- 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
- RAUM per advisor
- $46.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 132derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $221,057derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
- is an insurance broker or agent (6.A.6)
- 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
- Individuals$123M66%
- High-net-worth individuals$64.4M34%
- Individual clients
- 510reported
- HNW clients
- 19reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 846reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• J••• M•••••Certified Financial Planner | Portsmouth, Nh | Jun 20, 1997 | 35 y | 0 |
| J••••••• M••• S•••• | Portsmouth, Nh | Jun 14, 2006 | 22 y | 1 |
| L••• A••• D••••Certified Financial Planner | Portsmouth, Nh | Nov 16, 2007 | 28 y | 0 |
| J••••• D••• F••• | Portsmouth, Nh | Jul 24, 2012 | 26 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
- R••••• C•••••• S••••• to N•• W••••• M••••••••• L••Mar 2, 2015 · Other
Joined, latest
- J••••••• M••• S•••• from A••••••••• F•••••••• S•••••••• L••Jun 14, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• E••••• J••• J• · President/T••••••controlsince 10/1990 · owns less than 5%
- D••••• L••• A••• · Executive Officersince 05/2006 · owns less than 5%
- G••••••• K•••• M•••• · Finopsince 10/2008 · owns less than 5%
- S••••• J••••••• M••• · Chief Compliance Officersince 02/2007 · owns less than 5%
Entity owners
- E••••• J• M••••• R•••••••• T••••• E••••• J• M••••• T•••••• · Ownerdirect · 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 | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Portsmouth, NH2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Mar 26, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 4.0 (-33.0%) between the annual amendments of 2025-01-29 and 2026-03-26; the peer median change was 0.0% (965 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 4.1% percentile
What changed
consecutive filings, newest first
- Accounts · 868 to 846Jan 29, 2025 to Mar 26, 2026
- Advisory employees · 6 to 3Jan 29, 2025 to Mar 26, 2026
- HNW clients · 13 to 19Jan 29, 2025 to Mar 26, 2026
- Individual clients · 502 to 510Jan 29, 2025 to Mar 26, 2026
- Employees · 6 to 5Jan 29, 2025 to Mar 26, 2026
- State-registered IARs · 6 to 4Jan 29, 2025 to Mar 26, 2026
- Discretionary RAUM · $169M to $187MJan 29, 2025 to Mar 26, 2026
- HNW RAUM · $49.9M to $64.4MJan 29, 2025 to Mar 26, 2026
- Individual RAUM · $119M to $123MJan 29, 2025 to Mar 26, 2026
- RAUM · $169M to $187MJan 29, 2025 to Mar 26, 2026
- Accounts · 822 to 868Jul 30, 2024 to Jan 29, 2025
- Advisory employees · 4 to 6Jul 30, 2024 to Jan 29, 2025
- BD registered reps · 6 to 5Jul 30, 2024 to Jan 29, 2025
- HNW clients · 47 to 13Jul 30, 2024 to Jan 29, 2025
- Individual clients · 480 to 502Jul 30, 2024 to Jan 29, 2025
- Financial planning clients · 1-10 to 1-10Jul 30, 2024 to Jan 29, 2025
- State-registered IARs · 5 to 6Jul 30, 2024 to Jan 29, 2025
- Discretionary RAUM · $163M to $169MJul 30, 2024 to Jan 29, 2025
- HNW RAUM · $48.2M to $49.9MJul 30, 2024 to Jan 29, 2025
- Individual RAUM · $115M to $119MJul 30, 2024 to Jan 29, 2025
- RAUM · $163M to $169MJul 30, 2024 to Jan 29, 2025
- Accounts · 927 to 822Mar 1, 2023 to Mar 13, 2024
- HNW clients · 25 to 47Mar 1, 2023 to Mar 13, 2024
- Individual clients · 902 to 480Mar 1, 2023 to Mar 13, 2024
- Discretionary RAUM · $152M to $163MMar 1, 2023 to Mar 13, 2024
- HNW RAUM · $38.6M to $48.2MMar 1, 2023 to Mar 13, 2024
- Individual RAUM · $114M to $115MMar 1, 2023 to Mar 13, 2024
- RAUM · $152M to $163MMar 1, 2023 to Mar 13, 2024
- Accounts · 896 to 927Feb 17, 2022 to Mar 1, 2023
- HNW clients · 24 to 25Feb 17, 2022 to Mar 1, 2023
- Individual clients · 444 to 902Feb 17, 2022 to Mar 1, 2023
- Discretionary RAUM · $177M to $152MFeb 17, 2022 to Mar 1, 2023
- HNW RAUM · $50.3M to $38.6MFeb 17, 2022 to Mar 1, 2023
- Individual RAUM · $124M to $114MFeb 17, 2022 to Mar 1, 2023
- RAUM · $177M to $152MFeb 17, 2022 to Mar 1, 2023
- Accounts · 892 to 896Mar 4, 2021 to Feb 17, 2022
- Advisory employees · 5 to 4Mar 4, 2021 to Feb 17, 2022
- HNW clients · 29 to 24Mar 4, 2021 to Feb 17, 2022
- Individual clients · 411 to 444Mar 4, 2021 to Feb 17, 2022
- Discretionary RAUM · $161M to $177MMar 4, 2021 to Feb 17, 2022
Signals
1 dated events
- S••••• P•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 11, 2019 · Succession (Item 4) · 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
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/27217615reportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••P•••••••INC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 603-433-5515reportedpublic record, Form ADV, May 6, 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
- $46.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026