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.
SEC-registered adviser
Bradley Foster & Sargent Inc
Latest filing Apr 6, 2026
First filing on the tape Mar 29, 2012 · 44 filings
SEC status approved since May 31, 1994
RAUM
$9.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$8.1B individuals and HNW
Advisors
23
registered through the firm on IAPD
RAUM per advisor
$394M
derived; firm RAUM over IAPD count
Employees
61
32 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
1
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$9.1B as of Apr 6, 2026
Mar 29, 2012$1.6B then
HNW client RAUM$7.6B as of Apr 6, 2026
Mar 27, 2018$2.7B then
State-registered IARs (5.B.3)24 as of Apr 6, 2026
Feb 25, 20130 then
Employees (5.A)61 as of Apr 6, 2026
Feb 25, 201330 then
Private funds1 as of Apr 6, 2026
Mar 29, 20122 then
RAUM +18% over the last fiscal year+17% a year over threeIARs 12 to 24offices 6 to 8
Practice profile
derived from the filing of Apr 6, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $394MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.5MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 2.6derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -58%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, educational seminarsreportedItem 5.G
- Custody
- $62.8M, 1 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- High-net-worth individuals$7.6B83%
- Individuals$489M5.4%
- Corporations and businesses$426M4.7%
- Charitable organizations$384M4.2%
- Investment companies$109M1.2%
- Pooled investment vehicles$62.8M0.7%
- Pension and profit-sharing plans$36.0M0.4%
- Individual clients
- 827reported
- HNW clients
- 1,013reported
- Pension plan clients
- 7reported
- Charitable clients
- 62reported
- Accounts
- 4,971reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $62.8M for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.02 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
23 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert Holmes Bradley | Hartford, Ct | Jun 27, 1994 | 32 y | 0 |
| Keith Glenn Larose | Hartford, Ct | Feb 28, 2000 | 41 y | 0 |
| Thomas Denney SargentChartered Financial Analyst | Hartford, Ct | Oct 10, 2000 | 26 y | 0 |
| Gregory Michael Miller | Hartford, Ct | Feb 24, 2011 | 16 y | 1 |
| Roger Hill Manternach | Hartford, Ct | Aug 25, 2011 | 22 y | 1 |
| Cameron Horatio Burns | Hartford, Ct | Oct 31, 2011 | 35 y | 1 |
| Joseph Patrick Ciarleglio | Hartford, Ct | Apr 28, 2018 | 12 y | 0 |
| Christina Lee Charest | Hartford, Ct | Dec 17, 2018 | 22 y | 0 |
| Galan George DaukasCertified Financial Planner, Chartered Financial Analyst | West Palm Beach, Fl | Mar 29, 2021 | 28 y | 0 |
| Michele Lynch MatzingerChartered Financial Analyst | Hartford, Ct | Jul 27, 2021 | 18 y | 0 |
| James Vincent PaldinoChartered Financial Analyst | Harrtford, Ct | Aug 17, 2021 | 10 y | 0 |
| Peter Jay Kirschenbaum | Hartford, Ct | Dec 13, 2021 | 31 y | 3 |
| Christopher Toulmin Sargent | Hartford, Ct | Jul 11, 2022 | 10 y | 0 |
| Rosa Yii-Ching ChenChartered Financial Analyst | Hartford, Ct | Sep 21, 2022 | 24 y | 2 |
| Eugene A DapontePersonal Financial Specialist | Hartford, Ct | Nov 8, 2022 | 26 y | 2 |
| David Jack DixonChartered Financial Analyst | Hartford, Ct | Sep 25, 2024 | 26 y | 2 |
| Aaron Michael Simmons | Hartford, Ct | May 20, 2025 | 28 y | 2 |
| Michael Dominick Moses | Hartford, Ct | May 20, 2025 | 34 y | 1 |
| Jeffrey Michael Liguori | Westerly, Ri | May 23, 2025 | 28 y | 2 |
| Matthew Russell LandonChartered Financial Analyst | Westerly, Ri | May 23, 2025 | 31 y | 3 |
| Jerry Michael Schreibstein | Hartford, Ct | Sep 30, 2025 | 36 y | 0 |
| Charles Savage Willauer | Hartford, Ct | Oct 15, 2025 | 22 y | 4 |
| Alison Gourd CosgroveCertified Financial Planner | Hartford, Ct | Feb 10, 2026 | 14 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Matthew Brett Terzian to Rmc Investment AdvisorsApr 28, 2016 · Other
Joined, latest
- Alison Gourd Cosgrove from New York Life Investment Management LLCFeb 10, 2026 · Other
- Charles Savage Willauer from Rinet Company, LLCOct 15, 2025 · RIA to RIA
- Matthew Russell Landon from Napatree Capital LLCMay 23, 2025 · RIA to RIA
- Jeffrey Michael Liguori from Napatree Capital LLCMay 23, 2025 · RIA to RIA
- Michael Dominick Moses from Napatree Capital LLCMay 20, 2025 · RIA to RIA
- Aaron Michael Simmons from Napatree Capital LLCMay 20, 2025 · RIA to RIA
- David Jack Dixon from People'S United Advisors, Inc.Sep 25, 2024 · RIA to RIA
- Eugene A Daponte from People'S United Advisors, Inc.Nov 8, 2022 · RIA to RIA
- Rosa Yii-Ching Chen from Mesirow Financial Investment Management, Inc.Sep 21, 2022 · Other
- Peter Jay Kirschenbaum from People'S United Advisors, Inc.Dec 13, 2021 · RIA to RIA
- Cameron Horatio Burns from Morgan Stanley & Co. LLCOct 31, 2011 · Other
- Roger Hill Manternach from Columbia Management Advisors, Inc.Aug 25, 2011 · Other
- Gregory Michael Miller from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 24, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Napatree Capital LLCJul 20, 2026 · Westerly, Ri
- 2 joined from Napatree Capital LLCMay 13, 2025 · Westerly, Ri
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Crystal Partners Fund Limited Partnership | Hedge Fund | $74.1M | 68 | Mar 29, 2012 |
| Mmi Fund LLCno longer reported | Other Private Fund | $1.1M | 18 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Holmes Robert Bradley · Chairmancontrolsince 07/1994 · owns 10% to 25%
- Horatio Cameron Burns · Evpcontrolsince 10/2011 · owns 10% to 25%
- George Galan Daukas · President And Ceocontrolsince 01/2022 · owns 5% to 10%
- Reginald Andrew Gordon · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- Glenn Keith Larose · Directorcontrolsince 02/2000 · owns 10% to 25%
- Michael Gregory Miller · Evpcontrolsince 09/2013 · owns 5% to 10%
- Guergana Rangatcheva · Chief Financial Officercontrolsince 12/2020 · owns less than 5%
- Denney Thomas Sargent · Directorcontrolsince 07/2000 · owns 10% to 25%
- Anthony Joseph Walker · Chief Operations Officercontrolsince 04/2021 · owns less than 5%
- Yii-Ching Rosa Chen · Director Of Research And Portfolio Managersince 03/2016 · owns less than 5%
- A Eugene Daponte · Evpsince 02/2022 · owns less than 5%
- Jay Peter Kirschenbaum · Evpsince 11/2021 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hartford, Ct · principal | 23 | 3 | 0 | ||
| Westerly, Ri | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Wellesley, MA3 employees
- Litchfield, CT2 employees
- Stonington, CT2 employees
- Chicago, IL1 employees
- Delray Beach, FL1 employees
- Portland, ME1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 6, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $7,676,519,110 to $9,072,939,203, advisors 12 to 24, private clients 4368 to 1840, offices 6 to 8 (2025-02-27 to 2026-04-06)peers: independent wealth managers, $5B to $20B (289)
- advisor count surgeChange between filings · filing Apr 6, 2026advisory representatives (Item 5.B.3) moved from 12.0 to 24.0 (+100.0%) between the annual amendments of 2025-02-27 and 2026-04-06; the peer median change was +6.0% (220 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $5B to $20B (220) · 98% percentile
- client count collapseChange between filings · filing Apr 6, 2026individual and HNW clients (Item 5.D) moved from 4,368.0 to 1,840.0 (-58.0%) between the annual amendments of 2025-02-27 and 2026-04-06; the peer median change was +6.0% (224 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $5B to $20B (224) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 4,967 to 4,971Jul 17, 2025 to Feb 25, 2026
- Advisory employees · 30 to 32Jul 17, 2025 to Feb 25, 2026
- Charity clients · 57 to 62Jul 17, 2025 to Feb 25, 2026
- Corporate clients · 37 to 32Jul 17, 2025 to Feb 25, 2026
- HNW clients · 1,022 to 1,013Jul 17, 2025 to Feb 25, 2026
- Individual clients · 817 to 827Jul 17, 2025 to Feb 25, 2026
- Pension plan clients · 26 to 7Jul 17, 2025 to Feb 25, 2026
- Assets in custody · $60.6M to $62.8MJul 17, 2025 to Feb 25, 2026
- Employees · 57 to 61Jul 17, 2025 to Feb 25, 2026
- State-registered IARs · 16 to 24Jul 17, 2025 to Feb 25, 2026
- Discretionary RAUM · $8.5B to $9.1BJul 17, 2025 to Feb 25, 2026
- HNW RAUM · $7.1B to $7.6BJul 17, 2025 to Feb 25, 2026
- Individual RAUM · $438M to $489MJul 17, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $69.1M to $3.6MJul 17, 2025 to Feb 25, 2026
- Pension RAUM · $110M to $36.0MJul 17, 2025 to Feb 25, 2026
- Pooled vehicle RAUM · $60.9M to $62.8MJul 17, 2025 to Feb 25, 2026
- RAUM · $8.6B to $9.1BJul 17, 2025 to Feb 25, 2026
- Accounts · 4,546 to 4,967May 13, 2025 to Jul 17, 2025
- Charity clients · 95 to 57May 13, 2025 to Jul 17, 2025
- Corporate clients · 68 to 37May 13, 2025 to Jul 17, 2025
- HNW clients · 3,172 to 1,022May 13, 2025 to Jul 17, 2025
- Individual clients · 1,196 to 817May 13, 2025 to Jul 17, 2025
- Pension plan clients · 10 to 26May 13, 2025 to Jul 17, 2025
- Financial planning clients · 51-100 to 51-100May 13, 2025 to Jul 17, 2025
- Discretionary RAUM · $7.7B to $8.5BMay 13, 2025 to Jul 17, 2025
- HNW RAUM · $6.5B to $7.1BMay 13, 2025 to Jul 17, 2025
- Individual RAUM · $343M to $438MMay 13, 2025 to Jul 17, 2025
- Non-discretionary RAUM · $3.4M to $69.1MMay 13, 2025 to Jul 17, 2025
- Pension RAUM · $20.4M to $110MMay 13, 2025 to Jul 17, 2025
- Pooled vehicle RAUM · $60.6M to $60.9MMay 13, 2025 to Jul 17, 2025
- RAUM · $7.7B to $8.6BMay 13, 2025 to Jul 17, 2025
- Advisory employees · 25 to 30Feb 27, 2025 to May 13, 2025
- Employees · 52 to 57Feb 27, 2025 to May 13, 2025
- State-registered IARs · 12 to 16Feb 27, 2025 to May 13, 2025
- Other offices · 6 to 8Feb 27, 2025 to May 13, 2025
- Accounts · 4,439 to 4,546Jul 24, 2024 to Feb 27, 2025
- Advisory employees · 17 to 25Jul 24, 2024 to Feb 27, 2025
- Charity clients · 91 to 95Jul 24, 2024 to Feb 27, 2025
- Corporate clients · 65 to 68Jul 24, 2024 to Feb 27, 2025
- HNW clients · 3,162 to 3,172Jul 24, 2024 to Feb 27, 2025
Signals
18 dated events
- 2 advisors left Napatree Capital LLC (Westerly, RI) for Bradley Foster & Sargent Inc on the same dayJul 20, 2026 · Team lift-out · derived
- 2 advisors left Napatree Capital LLC (Westerly, RI) for Bradley Foster & Sargent Inc on the same dayMay 13, 2025 · Team lift-out · derived
- Gilbert Jeffrey Marsted (Director) no longer on Schedule A of Bradley Foster & Sargent Inc (listed 2024-03-22, absent 2024-05-09)May 9, 2024 · Control person left · inference
- George Galan Daukas (President And Ceo) appeared on Schedule A of Bradley Foster & Sargent IncFeb 8, 2022 · Control person joined · fact
- Jerome Charles Herbert (Principal) no longer on Schedule A of Bradley Foster & Sargent Inc (listed 2021-04-12, absent 2022-02-08)Feb 8, 2022 · Control person left · inference
- Ravenel William Peelle (Principal) no longer on Schedule A of Bradley Foster & Sargent Inc (listed 2021-04-12, absent 2022-02-08)Feb 8, 2022 · Control person left · inference
- Allen Robert Penney (Principal) no longer on Schedule A of Bradley Foster & Sargent Inc (listed 2021-04-12, absent 2022-02-08)Feb 8, 2022 · Control person left · inference
- Leslie Stephen Willcox (President And Ceo) no longer on Schedule A of Bradley Foster & Sargent Inc (listed 2021-04-12, absent 2022-02-08)Feb 8, 2022 · Control person left · inference
- Hatherly Timothy Foster (Executive Vice President) no longer on Schedule A of Bradley Foster & Sargent Inc (listed 2021-04-12, absent 2022-02-08)Feb 8, 2022 · Control person left · inference
- Ward Nancy Donadio (Senior Operations Officer) no longer on Schedule A of Bradley Foster & Sargent Inc (listed 2021-04-12, absent 2022-02-08)Feb 8, 2022 · Control person left · inference
- Bradley Foster & Sargent Inc reported RAUM $6.1B, up 26% from $4.9B (2021-04-12 to 2022-02-08)Feb 8, 2022 · RAUM change · derived
- Paul David Korzendorfer (Principal) no longer on Schedule A of Bradley Foster & Sargent Inc (listed 2021-04-12, absent 2022-02-08)Feb 8, 2022 · Control person left · inference
- Mary Felicia Lazor (Principal) no longer on Schedule A of Bradley Foster & Sargent Inc (listed 2021-04-12, absent 2022-02-08)Feb 8, 2022 · Control person left · inference
- Reginald Andrew Gordon (Chief Compliance Officer) appeared on Schedule A of Bradley Foster & Sargent IncApr 12, 2021 · Control person joined · fact
- Guergana Rangatcheva (Chief Financial Officer) appeared on Schedule A of Bradley Foster & Sargent IncApr 12, 2021 · Control person joined · fact
- Anthony Joseph Walker (Chief Operations Officer) appeared on Schedule A of Bradley Foster & Sargent IncApr 12, 2021 · Control person joined · fact
- Michael John Kirschner (Chief Financial Officer/Chief Compliance Officer) no longer on Schedule A of Bradley Foster & Sargent Inc (listed 2020-06-30, absent 2020-10-22)Oct 22, 2020 · Control person left · inference
- Ross John Gilbert (Principal) no longer on Schedule A of Bradley Foster & Sargent Inc (listed 2020-06-30, absent 2020-10-22)Oct 22, 2020 · Control person left · inference
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
- Firm profile
- LINKEDIN.COM/COMPANY/1561990reportedpublic record, Form ADV, Sep 17, 2026
- Website
- BFSFUNDS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 860-527-8050reportedpublic record, Form ADV, Apr 6, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $394Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026