DFX Intelligence

B•••• F•••••••• M••••••••• G••••• 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•••• F•••••••• M••••••••• G••••• L••

CRD 282501

LATHAM, NY

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Search this name across graphsid dfx:ria:f625e036-6f23-18dc-5a37-046d6c15b1a3

Data as of Feb 17, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 4
On other graphs: 0
Observed: Jan 4, 2016 to Feb 17, 2025
23 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: $56.8M••• Locked
Discretionary RAUM: $55.0M
Private client RAUM: $52.7Mderived••• Locked
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• T•••••• J••••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	12/2015	Jan 4, 2016	Mar 15, 2024

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	n/a	0	0	0	0	1

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	$56.8M	$46.4M	22.6%	$51.5M	3.3%	3	2	0	0

Relationships

Registered with (1)

← T••••• J•••• B••••Advisorregistration: previous registration
Apr 4, 2021 to Dec 31, 2025factForm ADV

Controls (1)

← B••••• T•••••• J••••OwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jan 4, 2016 to Mar 15, 2024factForm ADV

Dated events

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

Occurred
Dec 31, 2025
Advisor changed firm
Thomas James Brown left B•••• F•••••••• M••••••••• G••••• L•• for Lpl Financial Llc (registered 2025-10-29)
Form ADVobserved 7 days ago
Occurred
Jan 4, 2016
Succession filed (Item 4)
B•••• F•••••••• M••••••••• G••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago
Occurred
Jan 4, 2016
First Form ADV filing
B•••• F•••••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f625e036-6f23-18dc-5a37-046d6c15b1a3
First observed: Jan 4, 2016
Last observed: Feb 17, 2025 19 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.