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 investment advisers
One row per CRD, from the adviser’s latest Form ADV. The class is a rule over Item 5.D (where the RAUM sits) and Item 7.A (related broker-dealer or bank); the wirehouses and national broker-dealers are a short curated list. Advisors is the count of representatives IAPD registers through the firm today, which is not the same as the firm’s own Item 5.B answer.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| H.M. Payson CRD 2993 | Portland, ME | independent RIA | $9.1B | 77% | 1 | $9.1B | 2 | 1 |
| R M Davis Inc CRD 105448 | Portland, ME | independent RIA | $8.2B | 93% | 22 | $371M | 2 | 0 |
| Greenbacker Capital Management LLC CRD 277101 | Portland, ME | asset manager | $3.1B | 0.0% | 0 | n/a | 3 | 4 |
| M•••• W••••• M••••••••• CRD 2748 | Bangor, ME | independent RIA | $1.6B | 89% | 14 | $114M | 5 | 0 |
| P••••••• G••••• A••••••• L•• CRD 109127 | Portland, ME | independent RIA | $1.2B | 96% | 11 | $107M | 0 | 0 |
| H••••••••• CRD 140518 | Portland, ME | independent RIA | $892M | 91% | 7 | $127M | 0 | 0 |
| G•••• D•••••• P•••••••• L•• CRD 299598 | Portland, ME | independent RIA | $804M | 98% | 8 | $101M | 1 | 0 |
| O•• P••• A••••••• CRD 108228 | Portland, ME | independent RIA | $783M | 87% | 11 | $71.2M | 0 | 0 |
| F•• P•••••••• L• CRD 329051 | Portland, ME | asset manager | $747M | 0.0% | 0 | n/a | 1 | 5 |
| A•••• W••••• M••••••••• L•• CRD 175477 | Portland, ME | independent RIA | $659M | 86% | 4 | $165M | 0 | 0 |
| H•••••••• C•••••• A•••••••• L•• CRD 168996 | Yarmouth, ME | institutional | $587M | 4.5% | 0 | n/a | 0 | 0 |
| B•••••• I••••••••• A•••••••• L•• CRD 143733 | Portland, ME | independent RIA | $555M | 74% | 4 | $139M | 0 | 0 |
| P•••••••• F•••••••• A••••••• CRD 286211 | Portland, ME | independent RIA | $545M | 100% | 8 | $68.1M | 1 | 0 |
| C•••••• M•••••• • S••• F•••••••• A••••••• CRD 194515 | Bar Harbor, ME | independent RIA | $467M | 100% | 10 | $46.7M | 1 | 0 |
| R••••••• S•••• W••••• A•••••••• L•• CRD 123098 | South Portland, ME | independent RIA | $445M | 99% | 5 | $89.0M | 1 | 0 |
| C••••• W••••• A••••••• L•• CRD 297745 | Waterville, ME | independent RIA | $323M | 97% | 3 | $108M | 0 | 0 |
| B••••••••• CRD 105164 | Bangor, ME | independent RIA | $296M | 95% | 6 | $49.4M | 1 | 0 |
| R• F•••••••• S•••••••• L•• CRD 304297 | Falmouth, ME | independent RIA | $245M | 95% | 3 | $81.8M | 1 | 0 |
| A•••••••• I••••••••• G••••• L•• CRD 174407 | South Portland, ME | independent RIA | $202M | 100% | 2 | $101M | 1 | 0 |
| C•••• • S••••• I•• CRD 107991 | Portland, ME | independent RIA | $196M | 97% | 3 | $65.2M | 1 | 0 |
| J••• A•••••• L•• CRD 313352 | Gardiner, ME | independent RIA | $183M | 100% | 9 | $20.4M | 3 | 0 |
| R•••••• B•••••••• F•••••••• A••••••• CRD 113826 | South Portland, ME | independent RIA | $181M | 99% | 6 | $30.1M | 0 | 0 |
| O•••••••• F•••••••• CRD 291413 | Brunswick, ME | independent RIA | $158M | 86% | 1 | $158M | 1 | 0 |
| G•• R••••••••• P••••••• CRD 333183 | Farmingdale, ME | independent RIA | $155M | 100% | 5 | $31.1M | 1 | 0 |
| M••••• C••• C•••••• CRD 312478 | Yarmouth, ME | independent RIA | $154M | 80% | 3 | $51.2M | 2 | 0 |
| B••• P•••• F••••••••• I••• CRD 299688 | Scarborough, ME | independent RIA | $153M | 96% | 2 | $76.3M | 1 | 0 |
| E•••• F•••••••• S••••••••• CRD 138825 | Bangor, ME | independent RIA | $146M | 95% | 3 | $48.7M | 0 | 0 |
| G••••• F•••••••• S••••••••• I••• CRD 117831 | Ellsworth, ME | independent RIA | $134M | 100% | 1 | $134M | 0 | 0 |
| W••••• C••• C•••••• CRD 307252 | Portland, ME | independent RIA | $121M | 100% | 2 | $60.3M | 1 | 0 |
| M•••• A••••••• A••••••••• CRD 311679 | Falmouth, ME | independent RIA | $117M | 99% | 3 | $38.8M | 1 | 0 |
| O••••••• W••••• P••••••• CRD 332765 | Bangor, ME | independent RIA | $110M | 100% | 4 | $27.5M | 0 | 0 |
| G••••••• P•••• R••••••••• S•••••••• L•• CRD 161000 | Portland, ME | other | $88.2M | 0.0% | 7 | $12.6M | 3 | 0 |
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