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••• F•••••••• S•••••••• I•••
Latest filing Mar 31, 2025
First filing on the tape Dec 1, 2014 · 21 filings
SEC status approved since Jan 2, 2015
RAUM
$639M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$612M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$639M as of Mar 31, 2025
Jan 22, 2016$237M then
HNW client RAUM$463M as of Mar 31, 2025
Mar 19, 2018$116M then
State-registered IARs (5.B.3)3 as of Mar 31, 2025
Jan 22, 20163 then
Employees (5.A)6 as of Mar 31, 2025
Jan 22, 20166 then
Private funds: no history
RAUM +12% over the last fiscal year+8.4% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2025; every figure names its basis
- RAUM per advisor
- $213MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 250derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $580,722derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- 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$463M72%
- Individuals$148M23%
- Charitable organizations$9.6M1.5%
- Pension and profit-sharing plans$9.3M1.5%
- Corporations and businesses$8.5M1.3%
- Individual clients
- 566reported
- HNW clients
- 183reported
- Pension plan clients
- 5reported
- Charitable clients
- 5reported
- Accounts
- 1,101reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $216M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- J•••••• M•••••• W•••• to O•••• W•••••• I•••Feb 9, 2026 · RIA to affiliated broker-dealer or bank
- K•••••• S••••• S•••••••• to O•••• W•••••• I•••Feb 9, 2026 · RIA to affiliated broker-dealer or bank
- M••••• S• G••••••• to O•••• W•••••• I•••Feb 9, 2026 · RIA to affiliated broker-dealer or bank
- J••••• F• S•••••• to B•••••••• A•••• M••••••••• L••Dec 31, 2016 · Other
Joined, latest
- M••••• S• G••••••• from S•••••••• F••••••••• I•••Jul 29, 2020 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for O•••• W•••••• I•••Feb 9, 2026 · West Haven, Ct · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• J••••• C•••• · Vice President/Secretarycontrolsince 01/2000 · owns 10% to 25%
- S••••••••• K••••••• S••••• · Presidentcontrolsince 01/1986 · owns 25% to 50%
- W••••• J••••••• M•••••• · Vice President/Chief Compliance Officercontrolsince 01/2000 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Branford, Ct · principal | 0 | 0 | 1 | ||
| West Haven, Ct | 0 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,082 to 1,101Mar 28, 2024 to Mar 31, 2025
- Corporate clients · 7 to 9Mar 28, 2024 to Mar 31, 2025
- HNW clients · 164 to 183Mar 28, 2024 to Mar 31, 2025
- Individual clients · 559 to 566Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $573M to $639MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $398M to $463MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $150M to $148MMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $8.2M to $9.3MMar 28, 2024 to Mar 31, 2025
- RAUM · $573M to $639MMar 28, 2024 to Mar 31, 2025
- Wrap assets (manager) · $199M to $216MMar 28, 2024 to Mar 31, 2025
- Accounts · 1,086 to 1,082Feb 1, 2024 to Mar 28, 2024
- Corporate clients · unset to 7.0Feb 1, 2024 to Mar 28, 2024
- HNW clients · 128 to 164Feb 1, 2024 to Mar 28, 2024
- Individual clients · 551 to 559Feb 1, 2024 to Mar 28, 2024
- Pension plan clients · 1 to 5Feb 1, 2024 to Mar 28, 2024
- Financial planning clients · 0 to unsetFeb 1, 2024 to Mar 28, 2024
- Discretionary RAUM · $494M to $573MFeb 1, 2024 to Mar 28, 2024
- HNW RAUM · $271M to $398MFeb 1, 2024 to Mar 28, 2024
- Individual RAUM · $212M to $150MFeb 1, 2024 to Mar 28, 2024
- Pension RAUM · $3.0M to $8.2MFeb 1, 2024 to Mar 28, 2024
- RAUM · $494M to $573MFeb 1, 2024 to Mar 28, 2024
- Wrap assets (manager) · $189M to $199MFeb 1, 2024 to Mar 28, 2024
- Accounts · 1,059 to 1,086May 17, 2022 to Feb 23, 2023
- Charity clients · 6 to 5May 17, 2022 to Feb 23, 2023
- Corporate clients · 1.0 to unsetMay 17, 2022 to Feb 23, 2023
- HNW clients · 135 to 128May 17, 2022 to Feb 23, 2023
- Individual clients · 533 to 551May 17, 2022 to Feb 23, 2023
- Discretionary RAUM · $502M to $494MMay 17, 2022 to Feb 23, 2023
- HNW RAUM · $317M to $271MMay 17, 2022 to Feb 23, 2023
- Individual RAUM · $174M to $212MMay 17, 2022 to Feb 23, 2023
- Pension RAUM · $3.1M to $3.0MMay 17, 2022 to Feb 23, 2023
- RAUM · $502M to $494MMay 17, 2022 to Feb 23, 2023
- Wrap assets (manager) · $188M to $189MMay 17, 2022 to Feb 23, 2023
- Accounts · 1,004 to 1,059Jan 5, 2022 to Feb 17, 2022
- Advisory activities · 4 to 3Jan 5, 2022 to Feb 17, 2022
- HNW clients · 40 to 135Jan 5, 2022 to Feb 17, 2022
- Individual clients · 538 to 533Jan 5, 2022 to Feb 17, 2022
- Pension plan clients · 2 to 1Jan 5, 2022 to Feb 17, 2022
- Financial planning clients · unset to 0Jan 5, 2022 to Feb 17, 2022
Signals
6 dated events
- B••• F•••••••• S•••••••• I••• no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $639.4M)Mar 2, 2026 · Left the SEC roster · derived
- J•••••• M•••••• W•••• left B••• F•••••••• S•••••••• I••• for O•••• W•••••• I••• (registered 2026-02-09)Feb 9, 2026 · Advisor changed firm · fact
- M••••• S• G••••••• left B••• F•••••••• S•••••••• I••• for O•••• W•••••• I••• (registered 2024-03-20)Feb 9, 2026 · Advisor changed firm · fact
- K•••••• S••••• S•••••••• left B••• F•••••••• S•••••••• I••• for O•••• W•••••• I••• (registered 2026-02-03)Feb 9, 2026 · Advisor changed firm · fact
- B••• F•••••••• S•••••••• I•••'s advisors moved to O•••• W•••••• I••• (West Haven, CT): 3 of 3 registered, on the same dayFeb 9, 2026 · Firm absorbed (people side) · derived
- B••• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Dec 1, 2014 · First SEC registration · fact
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