DFX Intelligence
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.
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Former SEC-registered adviser
B••• W••••• A•••••••
Legal name B••• A••••••••• I•••••••••
Latest filing Jul 8, 2025
First filing on the tape Dec 20, 2011 · 33 filings
SEC status approved since Apr 23, 1985
RAUM
$876M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$876M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$876M as of Jul 8, 2025
Feb 8, 2012$374M then
HNW client RAUM$807M as of Jul 8, 2025
Mar 10, 2018$58.3M then
State-registered IARs (5.B.3)8 as of Jul 8, 2025
Mar 4, 20135 then
Employees (5.A)15 as of Jul 8, 2025
Mar 4, 201312 then
Private funds: no history
RAUM +10% over the last fiscal year+1.7% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Jul 8, 2025; every figure names its basis
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $642,400derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $470M, 248 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$807M92%
- Individuals$68.8M7.9%
- Individual clients
- 180reported
- HNW clients
- 215reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,364reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $470M for 248 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
8 left, 0 joined in 12 months
net -8 in 12 months0 left in 90 days0 joined in 90 days9 left over 36 months
Left, latest
- B••• K• V•••• to C••••••• P•••••••Mar 27, 2026 · RIA to RIA
- P•••••• P•• F•••••• to C••••••• P•••••••Mar 27, 2026 · RIA to RIA
- J••••••• C• M•••••••• to C••••••• P•••••••Mar 27, 2026 · RIA to RIA
- F•••••••• J••••• C•••••••• to C••••••• P•••••••Mar 27, 2026 · RIA to RIA
- M•••• A••••••• S••••• to C••••••• P•••••••Mar 27, 2026 · RIA to RIA
- T••• D••••• G•••••• to C••••••• P•••••••Mar 27, 2026 · RIA to RIA
- M•••• G••••••••• C•••••••• to C••••••• P•••••••Mar 27, 2026 · RIA to RIA
- D••••• C••••• T•••••••• to C••••••• P•••••••Mar 27, 2026 · RIA to RIA
- S••••• C•••••••• J••••••••• L•••• to M••••• W•••••Sep 30, 2024 · RIA to RIA
- C••••••••• H• R••• to G•••• V••• A••••••• L••Aug 29, 2008 · Other
Joined, latest
- P•••••• P•• F•••••• from B••••••• J•••• L••Jul 25, 2024 · RIA to RIA
- D••••• C••••• T•••••••• from M••••••• C••••• W••••• S•••••••• I•••Mar 9, 2018 · Other
- B••• K• V•••• from W•••• F•••• A•••••••Sep 21, 2015 · Other
- T••• D••••• G•••••• from C•••••• S••••• • C••• I•••Dec 11, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 8 left for C••••••• P•••••••Mar 27, 2026 · North B•••Esda, Md · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• F••••••••• J••••• · President, Ceo And Chief Compliance Officercontrolsince 01/2003 · owns less than 5%
- C••••••••• M••••• G••••••••• · Executive Vice Presidentcontrolsince 01/2003 · owns less than 5%
Entity owners
- B•• H•••••••• I••••••••• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- D•••• K•••••n
- D•••• J••••• P••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| North B•••Esda, Md · principal | 0 | 0 | 8 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250Mar 12, 2025 to Jul 8, 2025
- Accounts · 1,309 to 1,364Dec 3, 2024 to Mar 12, 2025
- HNW clients · 195 to 215Dec 3, 2024 to Mar 12, 2025
- Individual clients · 191 to 180Dec 3, 2024 to Mar 12, 2025
- Assets in custody · $307M to $470MDec 3, 2024 to Mar 12, 2025
- Employees · 13 to 15Dec 3, 2024 to Mar 12, 2025
- Discretionary RAUM · $796M to $876MDec 3, 2024 to Mar 12, 2025
- HNW RAUM · $720M to $807MDec 3, 2024 to Mar 12, 2025
- Individual RAUM · $75.8M to $68.8MDec 3, 2024 to Mar 12, 2025
- RAUM · $796M to $876MDec 3, 2024 to Mar 12, 2025
- Accounts · 1,258 to 1,309Mar 28, 2023 to Mar 28, 2024
- HNW clients · 183 to 195Mar 28, 2023 to Mar 28, 2024
- Individual clients · 192 to 191Mar 28, 2023 to Mar 28, 2024
- Assets in custody · $390M to $307MMar 28, 2023 to Mar 28, 2024
- Employees · 14 to 13Mar 28, 2023 to Mar 28, 2024
- State-registered IARs · 9 to 8Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $739M to $796MMar 28, 2023 to Mar 28, 2024
- HNW RAUM · $660M to $720MMar 28, 2023 to Mar 28, 2024
- Individual RAUM · $79.5M to $75.8MMar 28, 2023 to Mar 28, 2024
- RAUM · $739M to $796MMar 28, 2023 to Mar 28, 2024
- Related adviser · true to falseMar 28, 2023 to Mar 28, 2024
- Accounts · 1,177 to 1,258Nov 4, 2022 to Mar 28, 2023
- HNW clients · 203 to 183Nov 4, 2022 to Mar 28, 2023
- Individual clients · 148 to 192Nov 4, 2022 to Mar 28, 2023
- Assets in custody · $452M to $390MNov 4, 2022 to Mar 28, 2023
- Employees · 13 to 14Nov 4, 2022 to Mar 28, 2023
- Discretionary RAUM · $834M to $739MNov 4, 2022 to Mar 28, 2023
- HNW RAUM · $779M to $660MNov 4, 2022 to Mar 28, 2023
- Individual RAUM · $54.8M to $79.5MNov 4, 2022 to Mar 28, 2023
- RAUM · $834M to $739MNov 4, 2022 to Mar 28, 2023
- Accounts · 1,089 to 1,177Mar 29, 2021 to Feb 22, 2022
- HNW clients · 191 to 203Mar 29, 2021 to Feb 22, 2022
- Individual clients · 138 to 148Mar 29, 2021 to Feb 22, 2022
- Assets in custody · $564M to $452MMar 29, 2021 to Feb 22, 2022
- Employees · 12 to 13Mar 29, 2021 to Feb 22, 2022
- Discretionary RAUM · $703M to $834MMar 29, 2021 to Feb 22, 2022
- HNW RAUM · $648M to $779MMar 29, 2021 to Feb 22, 2022
- Individual RAUM · $54.9M to $54.8MMar 29, 2021 to Feb 22, 2022
- RAUM · $703M to $834MMar 29, 2021 to Feb 22, 2022
- Accounts · 1,124 to 1,089May 26, 2020 to Mar 29, 2021
Signals
11 dated events
- B••• W••••• A••••••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $876.2M)Apr 1, 2026 · Left the SEC roster · derived
- T••• D••••• G•••••• left B••• W••••• A••••••• for C••••••• P••••••• (registered 2025-11-25)Mar 27, 2026 · Advisor changed firm · fact
- M•••• A••••••• S••••• left B••• W••••• A••••••• for C••••••• P••••••• (registered 2025-11-25)Mar 27, 2026 · Advisor changed firm · fact
- P•••••• P•• F•••••• left B••• W••••• A••••••• for C••••••• P••••••• (registered 2025-11-25)Mar 27, 2026 · Advisor changed firm · fact
- D••••• C••••• T•••••••• left B••• W••••• A••••••• for C••••••• P••••••• (registered 2025-11-25)Mar 27, 2026 · Advisor changed firm · fact
- B••• K• V•••• left B••• W••••• A••••••• for C••••••• P••••••• (registered 2025-11-25)Mar 27, 2026 · Advisor changed firm · fact
- F•••••••• J••••• C•••••••• left B••• W••••• A••••••• for C••••••• P••••••• (registered 2025-11-25)Mar 27, 2026 · Advisor changed firm · fact
- J••••••• C• M•••••••• left B••• W••••• A••••••• for C••••••• P••••••• (registered 2025-11-25)Mar 27, 2026 · Advisor changed firm · fact
- M•••• G••••••••• C•••••••• left B••• W••••• A••••••• for C••••••• P••••••• (registered 2025-11-25)Mar 27, 2026 · Advisor changed firm · fact
- B••• W••••• A•••••••'s advisors moved to C••••••• P••••••• (North Bethesda, MD): 8 of 8 registered, on the same dayMar 27, 2026 · Firm absorbed (people side) · derived
- S••••• C•••••••• J••••••••• L•••• left B••• W••••• A••••••• for M••••• W••••• (registered 2025-03-12)Sep 30, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026