DFX Intelligence

B••••• A••••••• G••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

B••••• A••••••• G••••• I•••

CRD 291947

LINCOLN, RI

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Search this name across graphsid dfx:ria:840d3189-0cbc-9eab-507f-80ace3b23252

Data as of Jul 12, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 11
On other graphs: 1
Observed: Jan 23, 2018 to Jul 12, 2023
11 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

B••••• A••••••• G••••• I•••

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $421M••• Locked
Discretionary RAUM: $421M
Private client RAUM: $402Mderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• H•••••• E•••••	PARTNER / PRESIDENT / CHIEF COMPLIANCE OFFICER	E	yes	10/2014	Jan 23, 2018	Jul 12, 2023
R••••• C••••••••• J•	PARTNER / VICE PRESIDENT	C	yes	01/2018	Jan 23, 2018	Jul 12, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J•••• G• C••••	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 7, 2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$421M	$433M	-2.7%	$330M	8.4%	8	10	0	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B••••••••• S•••••••• W•••••• L••	4	Dec 6, 2023	Dec 7, 2023	LINCOLN, RI	Firm absorbed	RIA to RIA	80.0%
S•• A•••••••• L••	3	Oct 28, 2022	Apr 27, 2023

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
1•• G••••• A••••••• I••	2	Jun 12, 2018	Mar 26, 2018	BOSTON, MA	Team lift out	Ibd to new firm	0.4%
1•• G••••• A••••••• I••	3	Jun 12, 2018	Mar 19, 2018

Relationships

Controls (2)

← B•••••• H•••••• E•••••OwnerPARTNER / PRESIDENT / CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jan 23, 2018 to presentfactForm ADV
← R••••• C••••••••• J•OwnerPARTNER / VICE PRESIDENT, ownership code C, individual
Jan 23, 2018 to presentfactForm ADV

Moved with (3)

→ B••••••••• S•••••••• W•••••• L••Registered adviser4 advisors, firm absorbed, same day
Dec 6, 2023 to Dec 7, 2023factForm ADV
→ S•• A•••••••• L••

Dated events

Occurred
Dec 6, 2023
Firm absorbed
••• Locked
Form ADVobserved 8 days ago
4 advisors
Occurred
Dec 6, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 6, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 6, 2023
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:840d3189-0cbc-9eab-507f-80ace3b23252
First observed: Jan 23, 2018
Last observed: Jul 12, 2023 38 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.