DFX Intelligence
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B••••••••• LLC, CRD 149117
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| N••••••• H•••••• | Certified Financial Planner | NEW YORK, NY | 8 | 12 | n/a | no |
| J••••••• W••••• | n/a | NEW YORK, NY | 8 | 10 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••••••• H•••••••• I••• | MANAGING MEMBER, PARENT ENTITY | E | yes | 04/2009 | Jul 31, 2026 | Jul 31, 2026 |
| L•••• S••••• K•••••••• | CHIEF EXECUTIVE OFFICER | Na | yes | 12/2020 | Jul 31, 2026 | Jul 31, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| M••• L•• | n/a | n/a | n/a | N | yes | NY |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Denver | Co | United States | 0 | no |
| WASHINGTON, DC | Dc | United States | 0 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 3 | 1 | 2 | 3.6% | 0 | 0 | 0 | 12 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $70B | $56B | 23.3% | $34B | 26.5% | 794 | 631 | 0 | 1 |
| no |
| C••••• B•••••••• D•••••• | Certified Financial Planner | NEW YORK, NY | 7 | 11 | 3 | no |
| d••• C••••••• T••••••••• | n/a | NEW YORK, NY | 5 | 12 | n/a | no |
| A••••• L•••••• N••••••••• | n/a | NEW YORK, NY | 5 | 10 | n/a | no |
| K••• M•••••• | Certified Financial Planner | Algonquin, IL | NEW YORK, NY | 4 | 13 | 1 | no |
| S••• K•••••• | Certified Financial Planner | NEW YORK, NY | 4 | 11 | 4 | no |
| A••• D••••• P••• | n/a | NEW YORK, NY | 4 | 12 | 1 | no |
| M•••• Y• | n/a | NEW YORK, NY | 4 | 12 | 2 | no |
| T•••• J•••• M•••• | n/a | Longmont, CO | NEW YORK, NY | 3 | 13 | n/a | no |
| R••••• J•••• H••••••••• | n/a | NEW YORK, NY | 3 | 11 | n/a | no |
| H••••• M•••• K•••••• | Certified Financial Planner | NEW YORK, NY | 2 | 11 | 1 | no |
| M•••• L••••••• | Certified Financial Planner|Chartered Financial Consultant | NEW YORK, NY | 2 | 12 | 2 | no |
| C••••• J••••• T••••••• | n/a | NEW YORK, NY | 2 | 13 | n/a | no |
| N••••• A••••• P•••••• | Certified Financial Planner | NEW YORK, NY | Washington, UT | 2 | 10 | 2 | no |
| N•••••• K•• R••••• | n/a | NEW YORK, NY | 2 | 14 | 1 | no |
| E•• G••• S•••••• | n/a | NEW YORK, NY | 2 | 13 | 5 | no |
| S••••••• L••••• B••••••• | Certified Financial Planner | Boynton Beach, FL | NEW YORK, NY | 2 | 11 | 1 | no |
| J••••• G•••• | n/a | NEW YORK, NY | 2 | 10 | n/a | no |
| C•••• A••• H••• | n/a | NEW YORK, NY | 1 | 12 | n/a | no |
| L•••• E••••• M•••••• | n/a | NEW YORK, NY | 1 | 11 | n/a | no |
| M•••••• T••••••• R••••••• | n/a | Scottsdale, AZ | NEW YORK, NY | 1 | 14 | 3 | no |
| J••••• J••• B•••••• | n/a | NEW YORK, NY | 1 | 17 | n/a | no |
| R••••• J••• G•••••••• | n/a | NEW YORK, NY | 1 | 11 | 2 | no |
| R••• A••••••• F••••••• | n/a | NEW YORK, NY | Roque Bluffs, ME | 1 | 11 | n/a | no |
| CHIEF FINANCIAL OFFICER |
| Na |
| yes |
| 10/2018 |
| Jul 31, 2026 |
| Jul 31, 2026 |
| R••••••••• S•••• J••••• | GENERAL COUNSEL | Na | yes | 06/2020 | Jul 31, 2026 | Jul 31, 2026 |
| S•••••• K•••••• A• | CHIEF COMPLIANCE OFFICER | Na | yes | 06/2020 | Jul 31, 2026 | Jul 31, 2026 |
| Mar 30, 2026 |
| $70B |
| $69B |
| 794 |
| 34 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 28, 2025 | $56B | $56B | 631 | 33 | 1 | n/a | n/a |
| 2023 | Mar 29, 2024 | $46B | $46B | 532 | 32 | 2 | n/a | n/a |
| 2022 | Mar 30, 2023 | $34B | $34B | 449 | 29 | 3 | n/a | n/a |
| 2021 | Mar 30, 2022 | $34B | $34B | 397 | 27 | 3 | n/a | n/a |
| 2020 | Mar 30, 2021 | $28B | $28B | 325 | 17 | 1 | n/a | n/a |
| 2019 | Mar 30, 2020 | $18B | $18B | 300 | 16 | 2 | n/a | n/a |
| 2018 | Mar 29, 2019 | $16B | $16B | 245 | 17 | 1 | n/a | n/a |
| 2017 | Mar 28, 2018 | $13B | $13B | 216 | 20 | 1 | n/a | n/a |
| 2016 | Jan 31, 2017 | $7.4B | $7.4B | 219 | 22 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $4.0B | $4.0B | 136 | 8 | n/a | n/a | n/a |
| 2014 | Mar 26, 2015 | $1.7B | $1.7B | 85 | 5 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $455M | $0 | 45 | 5 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $159M | $0 | 20 | 5 | n/a | n/a | n/a |
| 2011 | Apr 3, 2012 | $36.0M | $0 | n/a | n/a | n/a | n/a | n/a |