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•••••• M••••• • A••••••••• I••

Former SEC-registered adviserAlbany, New YorkCRD 105341SEC 801-20433IAPD
Latest filing Mar 15, 2019
First filing on the tape Mar 14, 2012 · 12 filings
RAUM
$128M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$124M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$128M as of Mar 15, 2019
Mar 14, 2012$124M then
HNW client RAUM$87.7M as of Mar 15, 2019
Mar 26, 2018$99.2M then
State-registered IARs (5.B.3)0 as of Mar 15, 2019
Mar 14, 20120 then
Employees (5.A)4 as of Mar 15, 2019
Mar 25, 20138 then
Private funds: no history
RAUM -5.2% over the last fiscal year+6.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 15, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$301,225derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.2%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-4.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$87.7M68%
  • Individuals$36.6M29%
  • Charitable organizations$4.0M3.1%
  • Corporations and businesses$1680.0%
Individual clients
72reported
HNW clients
37reported
Pension plan clients
0reported
Charitable clients
3reported
Accounts
426reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• B••••••• D••••• · Chief Investment Officercontrol
        since 05/2005 · owns 25% to 50%
      • B••••••• T••••••• · Ceo / Chief Compliance Officercontrol
        since 06/2008 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 436 to 426
        Mar 26, 2018 to Mar 15, 2019
      • HNW clients · 38 to 37
        Mar 26, 2018 to Mar 15, 2019
      • Individual clients · 76 to 72
        Mar 26, 2018 to Mar 15, 2019
      • Financial planning clients · 11-25 to 1-10
        Mar 26, 2018 to Mar 15, 2019
      • Discretionary RAUM · $135M to $128M
        Mar 26, 2018 to Mar 15, 2019
      • HNW RAUM · $99.2M to $87.7M
        Mar 26, 2018 to Mar 15, 2019
      • Individual RAUM · $31.7M to $36.6M
        Mar 26, 2018 to Mar 15, 2019
      • RAUM · $135M to $128M
        Mar 26, 2018 to Mar 15, 2019
      • Accounts · 394 to 436
        Mar 29, 2017 to Mar 26, 2018
      • Advisory employees · 4 to 3
        Mar 29, 2017 to Mar 26, 2018
      • Charity clients · unset to 3.0
        Mar 29, 2017 to Mar 26, 2018
      • Corporate clients · unset to 2.0
        Mar 29, 2017 to Mar 26, 2018
      • HNW clients · unset to 38.0
        Mar 29, 2017 to Mar 26, 2018
      • Individual clients · unset to 76.0
        Mar 29, 2017 to Mar 26, 2018
      • Pension plan clients · unset to 0.0
        Mar 29, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 29, 2017 to Mar 26, 2018
      • Employees · 5 to 4
        Mar 29, 2017 to Mar 26, 2018
      • State-registered IARs · 1 to 0
        Mar 29, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 26, 2018
      • Discretionary RAUM · $111M to $135M
        Mar 29, 2017 to Mar 26, 2018
      • HNW RAUM · unset to 99230365.0
        Mar 29, 2017 to Mar 26, 2018
      • Individual RAUM · unset to 31699547.0
        Mar 29, 2017 to Mar 26, 2018
      • Pension RAUM · unset to 0.0
        Mar 29, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 29, 2017 to Mar 26, 2018
      • RAUM · $111M to $135M
        Mar 29, 2017 to Mar 26, 2018
      • Accounts · 412 to 394
        Mar 18, 2016 to Mar 29, 2017
      • Employees · 6 to 5
        Mar 18, 2016 to Mar 29, 2017
      • Discretionary RAUM · $106M to $111M
        Mar 18, 2016 to Mar 29, 2017
      • RAUM · $106M to $111M
        Mar 18, 2016 to Mar 29, 2017
      • Accounts · 418 to 412
        Apr 8, 2015 to Mar 18, 2016
      • Financial planning clients · 26-50 to 11-25
        Apr 8, 2015 to Mar 18, 2016
      • Discretionary RAUM · $108M to $106M
        Apr 8, 2015 to Mar 18, 2016
      • RAUM · $108M to $106M
        Apr 8, 2015 to Mar 18, 2016
      • Accounts · 468 to 418
        Mar 21, 2014 to Mar 18, 2015
      • Advisory employees · 5 to 4
        Mar 21, 2014 to Mar 18, 2015
      • Employees · 7 to 6
        Mar 21, 2014 to Mar 18, 2015
      • Financial planning clients · 11-25 to 26-50
        Mar 21, 2014 to Mar 18, 2015
      • Discretionary RAUM · $112M to $108M
        Mar 21, 2014 to Mar 18, 2015
      • RAUM · $112M to $108M
        Mar 21, 2014 to Mar 18, 2015
      • Accounts · 518 to 468
        Mar 25, 2013 to Mar 21, 2014
      Signals
      No event on the tape.
      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