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••••••••• C•••

Former SEC-registered adviserBoston, MassachusettsCRD 105732SEC 801-7288IAPD
Latest filing Jan 4, 2016
First filing on the tape Mar 29, 2012 · 9 filings
RAUM
$47.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$23.5M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$51.0M as of Mar 31, 2015
Mar 29, 2012$55.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2015
Mar 29, 20120 then
Employees (5.A)3 as of Mar 31, 2015
Mar 26, 20133 then
Private funds: no history
RAUM -12% over the last fiscal year-5.3% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Jan 4, 2016; every figure names its basis
RAUM per advisor
$23.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$428,159derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.6%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
110reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R•••••• W•••••• B••••Certified Financial PlannerBoston, MaFeb 26, 201621 y2
P••••• A••••• V•••••••Boston, MaFeb 26, 201641 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, 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••••• R••••••• W•••••• · President And Chief Compliance Officercontrol
      since 04/2012 · owns 75% or more
    • L••••••••• B••••••• B•••• · Director And Clerkcontrol
      since 04/2012 · owns less than 5%
    • V•••••••• P•••••• A••••• · Treasurer And Secretarycontrol
      since 04/2012 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Boston, Ma · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Discretionary RAUM · $51.0M to $47.1M
      Jul 13, 2015 to Sep 22, 2015
    • RAUM · $51.0M to $47.1M
      Jul 13, 2015 to Sep 22, 2015
    • Accounts · 115 to 110
      Mar 31, 2014 to Mar 31, 2015
    • Advisory employees · 3 to 2
      Mar 31, 2014 to Mar 31, 2015
    • State-registered IARs · 3 to 2
      Mar 31, 2014 to Mar 31, 2015
    • Discretionary RAUM · $53.5M to $51.0M
      Mar 31, 2014 to Mar 31, 2015
    • RAUM · $53.5M to $51.0M
      Mar 31, 2014 to Mar 31, 2015
    • Accounts · 117 to 115
      Mar 26, 2013 to Mar 27, 2014
    • Advisory activities · 2 to 3
      Mar 26, 2013 to Mar 27, 2014
    • Financial planning clients · 0 to 1-10
      Mar 26, 2013 to Mar 27, 2014
    • Discretionary RAUM · $52.3M to $53.5M
      Mar 26, 2013 to Mar 27, 2014
    • RAUM · $52.3M to $53.5M
      Mar 26, 2013 to Mar 27, 2014
    • Accounts · 127 to 117
      Jun 25, 2012 to Mar 26, 2013
    • Advisory employees · unset to 3.0
      Jun 25, 2012 to Mar 26, 2013
    • Employees · unset to 3.0
      Jun 25, 2012 to Mar 26, 2013
    • State-registered IARs · 0 to 3
      Jun 25, 2012 to Mar 26, 2013
    • Discretionary RAUM · $55.5M to $52.3M
      Jun 25, 2012 to Mar 26, 2013
    • RAUM · $55.5M to $52.3M
      Jun 25, 2012 to Mar 26, 2013
    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.
    How to reach
    public business contact points only, each with its source
    Website
    B•••••MANAGEMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
    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
    $23.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026