DFX Intelligence

B•••••• P•••• W••••• A••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

B•••••• P•••• W••••• A••••••• L••

CRD 287603

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:902a008f-5668-0c15-58b5-26c202bf28a4

Data as of Aug 25, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 7
On other graphs: 0
Observed: Mar 1, 2017 to Aug 25, 2025
21 observations

Across DFX

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.

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: $27.7M••• Locked
Discretionary RAUM: $22.1M
Private client RAUM: $27.7Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• P•••• L••	MANAGING MEMBER	E	yes	01/2017	Mar 1, 2017	Mar 25, 2024
C•••••• K••••• P•	Ceo	Na	yes	02/2017	Mar 1, 2017	Mar 25, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
Z••••••••• A••••••••• L••	n/a	Asset manager	$1.6B	N	yes	n/a
W•••••••• S••••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Westport	Ct	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$27.7M	$31.8M	-12.9%	$33.4M	-6.1%	18	14	1	1

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F••••••• P••••••• A•• W•••••••• A•••••••	2	Aug 16, 2018	Nov 7, 2018	BOSTON, MA	Team lift out	Ibd to RIA	0.0%

Relationships

Affiliated with (2)

← Z••••••••• A••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ Z••••••••• A••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (4)

← D••••••• J•••••• A••••••OwnerOWNER, ownership code E, individual
Mar 1, 2017 to Mar 25, 2024factForm ADV
← M••••••••• P•••• D••••Owner

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 29, 2022
Regulatory AUM changed
B•••••• P•••• W••••• A••••••• L•• reported RAUM $33.4M, down 95% from $642.8M (2022-01-07 to 2022-03-29)
Form ADVobserved 7 days ago
$-609M
Occurred
Jan 19, 2022
Advisor changed firm
Matthew H Wu left B•••••• P•••• W••••• A••••••• L•• for Mai Capital Management, Llc (registered 2022-04-05)
Form ADVobserved 7 days ago
Occurred
Jan 7, 2022
Control person left
Francis Xavier Patrick Gingras (Co-President And Head Of Private Clients) no longer on Schedule A of B•••••• P•••• W••••• A••••••• L•• (listed 2021-03-25, absent 2022-01-07)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:902a008f-5668-0c15-58b5-26c202bf28a4
First observed: Mar 1, 2017
Last observed: Aug 25, 2025 13 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.