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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SEC-registered adviser
B••••••• C•••••• M••••••••• L••
Latest filing Jul 16, 2026
First filing on the tape Mar 30, 2012 · 31 filings
SEC status approved since Feb 23, 1999
RAUM
$1.3B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
94%
$1.2B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$426M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.3B as of Jul 16, 2026
Mar 30, 2012$215M then
HNW client RAUM$1.2B as of Jul 16, 2026
Mar 28, 2018$220M then
State-registered IARs (5.B.3)3 as of Jul 16, 2026
Mar 27, 20132 then
Employees (5.A)7 as of Jul 16, 2026
Mar 27, 20136 then
Private funds1 as of Mar 28, 2018
Mar 30, 20121 then
RAUM +39% over the last fiscal year+19% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $426MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.2MderivedHNW RAUM over HNW clients
- Average account
- $4.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 4.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $100,000, 2 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B91%
- Pension and profit-sharing plans$50.2M3.9%
- Individuals$36.9M2.9%
- Corporations and businesses$20.7M1.6%
- Charitable organizations$5.6M0.4%
- Individual clients
- 99reported
- HNW clients
- 187reported
- Pension plan clients
- 21reported
- Charitable clients
- 3reported
- Accounts
- 315reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $100,000 for 2 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• A••••• Z•••Chartered Financial Analyst | Darien, Ct | Apr 9, 2010 | 45 y | 0 |
| J••• S•••••• M••••••• | Darien, Ct | May 7, 2023 | 23 y | 1 |
| R•••••• E•••• H••• | Darien, Ct | Nov 14, 2024 | 10 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- L•••• K•• D••••• to F•••• M•••••••• C•• L••Jul 30, 2026 · RIA to affiliated broker-dealer or bank
- J••• M•••••• N•••• to A••••••• C•••••• M••••••••• L••Nov 15, 2011 · Other
Joined, latest
- R•••••• E•••• H••• from U•• F•••••••• S••••••• I•••Nov 14, 2024 · Wirehouse to independent RIA
- J••• S•••••• M••••••• from O••••••••• • C•• I•••May 7, 2023 · Affiliated broker-dealer or bank to independent RIA
- L•••• K•• D••••• from B••••••• U••• I•••Nov 4, 2010 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• P•••••••• L•••no longer reported | Hedge Fund | $7.2M | 9 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• L••••• K•• · Membercontrolsince 05/2011 · owns 10% to 25%
- M•••••••• J•••• S•••••• · Membercontrolsince 09/2024 · owns less than 5%
- P••••••• L••••• S• · Membercontrolsince 09/2024 · owns less than 5%
- Z•••• J•••• A••••• · Managing Member & Chief Compliance Officercontrolsince 02/1999 · owns 50% to 75%
- Z•••• R•••••• B•••••• · Membercontrolsince 09/2024 · owns less than 5%
- E•••••• R••••• · Trusteecontrolsince 01/1989 · owns 75% or more of R••••• And C•••••••• E••••• Family Trust
- S••••••• P•••• · Trusteecontrolsince 03/2007 · owns 75% or more of P•••• S•••••• I•• R•••••••• T••••
Entity owners
- P•••• S•••••• I•• R•••••••• T•••• · Memberdirect · owns 10% to 25%
- R••••• • C•••••••• E••••• C••••••••• T•••• · Memberdirect · 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 |
|---|---|---|---|---|---|
| Darien, Ct · principal | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 16, 2026D•••••• L••••• K•• (MEMBER) left Schedule A between the filings of 2012-10-16 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 16, 2026S••••••• P•••• (TRUSTEE) left Schedule A between the filings of 2012-10-16 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 16, 2026Z•••• R•••••• B•••••• (MEMBER) appeared on Schedule A between the filings of 2012-10-16 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 16, 2026E•••••• R••••• (TRUSTEE) left Schedule A between the filings of 2012-10-16 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 16, 2026M•••••••• J•••• S•••••• (MEMBER) appeared on Schedule A between the filings of 2012-10-16 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 16, 2026P••••••• L••••• S• (MEMBER) appeared on Schedule A between the filings of 2012-10-16 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 320 to 315May 4, 2026 to Jul 16, 2026
- HNW clients · 178 to 187May 4, 2026 to Jul 16, 2026
- Individual clients · 113 to 99May 4, 2026 to Jul 16, 2026
- Assets in custody · $23,000 to $100,000May 4, 2026 to Jul 16, 2026
- Discretionary RAUM · $1.0B to $1.2BMay 4, 2026 to Jul 16, 2026
- HNW RAUM · $943M to $1.2BMay 4, 2026 to Jul 16, 2026
- Individual RAUM · $51.1M to $36.9MMay 4, 2026 to Jul 16, 2026
- Non-discretionary RAUM · $49.4M to $50.2MMay 4, 2026 to Jul 16, 2026
- Pension RAUM · $49.4M to $50.2MMay 4, 2026 to Jul 16, 2026
- RAUM · $1.1B to $1.3BMay 4, 2026 to Jul 16, 2026
- Accounts · 334 to 320Jul 16, 2025 to Mar 26, 2026
- Charity clients · 0 to 3Jul 16, 2025 to Mar 26, 2026
- Corporate clients · 0 to 5Jul 16, 2025 to Mar 26, 2026
- HNW clients · 134 to 178Jul 16, 2025 to Mar 26, 2026
- Individual clients · 165 to 113Jul 16, 2025 to Mar 26, 2026
- Pension plan clients · 18 to 21Jul 16, 2025 to Mar 26, 2026
- Assets in custody · $81,400 to $23,000Jul 16, 2025 to Mar 26, 2026
- Employees · 8 to 7Jul 16, 2025 to Mar 26, 2026
- Discretionary RAUM · $900M to $1.0BJul 16, 2025 to Mar 26, 2026
- HNW RAUM · $820M to $943MJul 16, 2025 to Mar 26, 2026
- Individual RAUM · $57.0M to $51.1MJul 16, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $17.2M to $49.4MJul 16, 2025 to Mar 26, 2026
- Pension RAUM · $20.0M to $49.4MJul 16, 2025 to Mar 26, 2026
- RAUM · $918M to $1.1BJul 16, 2025 to Mar 26, 2026
- Financial planning clients · 101-250 to 101-250Mar 24, 2025 to Jul 16, 2025
- Accounts · 315 to 334Mar 22, 2024 to Mar 24, 2025
- Advisory employees · 2 to 3Mar 22, 2024 to Mar 24, 2025
- Charity clients · 4 to 0Mar 22, 2024 to Mar 24, 2025
- Corporate clients · 8 to 0Mar 22, 2024 to Mar 24, 2025
- HNW clients · 120 to 134Mar 22, 2024 to Mar 24, 2025
- Individual clients · 160 to 165Mar 22, 2024 to Mar 24, 2025
- Pension plan clients · 15 to 18Mar 22, 2024 to Mar 24, 2025
- Assets in custody · $161,000 to $81,400Mar 22, 2024 to Mar 24, 2025
- Employees · 6 to 8Mar 22, 2024 to Mar 24, 2025
- Discretionary RAUM · $767M to $900MMar 22, 2024 to Mar 24, 2025
- HNW RAUM · $701M to $820MMar 22, 2024 to Mar 24, 2025
- Individual RAUM · $53.0M to $57.0MMar 22, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $16.3M to $17.2MMar 22, 2024 to Mar 24, 2025
- Pension RAUM · $2.6M to $20.0MMar 22, 2024 to Mar 24, 2025
- RAUM · $783M to $918MMar 22, 2024 to Mar 24, 2025
Signals
3 dated events
- L•••• K•• D••••• left B••••••• C•••••• M••••••••• L•• for F•••• M•••••••• C•• L•• (registered 2026-05-26)Jul 30, 2026 · Advisor changed firm · fact
- B••••••• C•••••• M••••••••• L•• reported RAUM $700.3M, up 83% from $382.8M (2021-03-11 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- W Phillip Moffitt (Trustee) no longer on Schedule A of B••••••• C•••••• M••••••••• L•• (listed 2021-03-11, absent 2021-03-31)Mar 31, 2021 · 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
- Business email
- info@bourgeoncapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-280-1170reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-662-1100reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- B•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-280-1170reportedpublic record, Form ADV, Jul 16, 2026
- Contact form
- bourgeoncapital.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $426Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026