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Former SEC-registered adviser

B••••• G••••• A•••• M•••••••••

Former SEC-registered adviserMorristown, New JerseyCRD 106862SEC 801-6482IAPD
Legal name B••••• G••••• A•••• M••••••••• I•••
Latest filing Nov 21, 2011
First filing on the tape Nov 21, 2011 · 1 filings
RAUM
$161M
reported, Item 5.F
Discretionary
68%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $161M
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Nov 21, 2011; 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
unknownderivedHNW RAUM over HNW clients
Average account
$953,584derivedRAUM over accounts (5.F.2.f)
Discretionary
68%derivedof RAUM
Institutional
0.0%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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$175,827, 2 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • compensates persons for client referrals (8.G.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
169reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$175,827 for 2 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
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
    • G••••••••• M••••••• J••••• · Chief Compliance Officercontrol
      since 08/2011 · owns less than 5%
    • G••••••• L••••••• G••••• · General Counselcontrol
      since 08/2011 · owns less than 5%
    • K••••• J•••• F•••••• · Directorcontrol
      since 08/2011 · owns less than 5%
    • L••••• T•••••• M•••••• · Directorcontrol
      since 08/2011 · owns less than 5%
    • M•••••• C••••••••• P••• · Directorcontrol
      since 08/2011 · owns less than 5%
    • N••••• J••••• D••••••• · President; Directorcontrol
      since 08/2011 · owns less than 5%
    Entity owners
    • T•• P•••••••• B••• · Shareholder
      direct · owns 75% or more
    • P•••••••• F•••••••• S•••••••• I••• · Shareholder
      indirect · owns 75% or more of T•• P•••••••• B••• · public reporting company
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    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