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J••• A• B•••• A•••••••••

Independent wealth managerSEC-registered· Old Lyme, Connecticut

Independent wealth manager, based in Old Lyme, Connecticut, reporting $204M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$204M
Form ADV
Advisors
0
IAPD
RAUM change, 1 year
+6.7%
Form ADV, consecutive annual filings
Private clients
97%
of RAUM, $198M
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 29 Mar 2024, RAUM $191M to $204M (+6.7%) on the Form ADV filed 29 Mar 2024, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 110612 · SEC 801-81151 · 16 filingsShow
CRD 110612SEC 801-81151Legal name B•••• J••• A••••First filing on the tape Feb 22, 2012, latest Mar 29, 2024SEC status approved since Mar 20, 2015IAPD
RAUM
$204M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$198M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape

RAUM +2.6% a year over three years · the tape starts Feb 22, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$204M as of Mar 29, 2024
Mar 29, 2012$85.2M then
HNW client RAUM$182M as of Mar 29, 2024
Mar 29, 2018$125M then
State-registered IARs (5.B.3)1 as of Mar 29, 2024
Mar 29, 20120 then
Employees (5.A)1 as of Mar 29, 2024
Mar 31, 20152 then
Private funds: no history
RAUM +6.7% over the last fiscal year+2.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 29, 2024; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$204MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
122derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
+6.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-9.6%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$27.5M, 12 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing

89% high-net-worth individuals, 7.5% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow
  • High-net-worth individuals$182M89%
  • Individuals$15.2M7.5%
  • Charitable organizations$6.6M3.3%
Individual clients
55reported
HNW clients
67reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
124reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$27.5M for 12 clientsreported
Compensation
% of AUM, fixedreported
Class basis
RAUM: 97% private clients, 0% pooled funds, 3% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• J•••• A•••• · Owner/Chief Compliance Officercontrol
        since 07/1995 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 205 to 124
        Mar 29, 2023 to Mar 29, 2024
      • Advisory activities · 2 to 1
        Mar 29, 2023 to Mar 29, 2024
      • HNW clients · 94 to 67
        Mar 29, 2023 to Mar 29, 2024
      • Individual clients · 41 to 55
        Mar 29, 2023 to Mar 29, 2024
      • Assets in custody · $24.3M to $27.5M
        Mar 29, 2023 to Mar 29, 2024
      Full history · 80 changes
      • Discretionary RAUM · $191M to $204M
        Mar 29, 2023 to Mar 29, 2024
      • HNW RAUM · $177M to $182M
        Mar 29, 2023 to Mar 29, 2024
      • Individual RAUM · $7.6M to $15.2M
        Mar 29, 2023 to Mar 29, 2024
      • RAUM · $191M to $204M
        Mar 29, 2023 to Mar 29, 2024
      • Related insurance company · true to false
        Mar 29, 2023 to Mar 29, 2024
      • Accounts · 207 to 205
        Mar 30, 2022 to Mar 29, 2023
      • HNW clients · 98 to 94
        Mar 30, 2022 to Mar 29, 2023
      • Individual clients · 34 to 41
        Mar 30, 2022 to Mar 29, 2023
      • Assets in custody · $29.3M to $24.3M
        Mar 30, 2022 to Mar 29, 2023
      • Discretionary RAUM · $218M to $191M
        Mar 30, 2022 to Mar 29, 2023
      • HNW RAUM · $208M to $177M
        Mar 30, 2022 to Mar 29, 2023
      • Individual RAUM · $3.0M to $7.6M
        Mar 30, 2022 to Mar 29, 2023
      • RAUM · $218M to $191M
        Mar 30, 2022 to Mar 29, 2023
      • Accounts · 228 to 207
        Mar 29, 2021 to Mar 30, 2022
      • Charity clients · unset to 2.0
        Mar 29, 2021 to Mar 30, 2022
      • HNW clients · 91 to 98
        Mar 29, 2021 to Mar 30, 2022
      • Individual clients · 37 to 34
        Mar 29, 2021 to Mar 30, 2022
      • Assets in custody · $24.2M to $29.3M
        Mar 29, 2021 to Mar 30, 2022
      • Discretionary RAUM · $189M to $218M
        Mar 29, 2021 to Mar 30, 2022
      • HNW RAUM · $179M to $208M
        Mar 29, 2021 to Mar 30, 2022
      • Individual RAUM · $4.0M to $3.0M
        Mar 29, 2021 to Mar 30, 2022
      • RAUM · $189M to $218M
        Mar 29, 2021 to Mar 30, 2022
      • HNW clients · 52 to 91
        Mar 30, 2020 to Mar 29, 2021
      • Individual clients · 82 to 37
        Mar 30, 2020 to Mar 29, 2021
      • Assets in custody · $21.7M to $24.2M
        Mar 30, 2020 to Mar 29, 2021
      • Employees · 2 to 1
        Mar 30, 2020 to Mar 29, 2021
      • Discretionary RAUM · $172M to $189M
        Mar 30, 2020 to Mar 29, 2021
      • HNW RAUM · $149M to $179M
        Mar 30, 2020 to Mar 29, 2021
      • Individual RAUM · $17.1M to $4.0M
        Mar 30, 2020 to Mar 29, 2021
      • RAUM · $172M to $189M
        Mar 30, 2020 to Mar 29, 2021
      • Accounts · 212 to 228
        Apr 1, 2019 to Mar 30, 2020
      • HNW clients · 62 to 52
        Apr 1, 2019 to Mar 30, 2020
      • Individual clients · 84 to 82
        Apr 1, 2019 to Mar 30, 2020
      • Assets in custody · $20.1M to $21.7M
        Apr 1, 2019 to Mar 30, 2020
      • Financial planning clients · 1-10 to 0
        Apr 1, 2019 to Mar 30, 2020
      • Discretionary RAUM · $148M to $172M
        Apr 1, 2019 to Mar 30, 2020
      • HNW RAUM · $137M to $149M
        Apr 1, 2019 to Mar 30, 2020
      • Individual RAUM · $11.6M to $17.1M
        Apr 1, 2019 to Mar 30, 2020
      • RAUM · $148M to $172M
        Apr 1, 2019 to Mar 30, 2020
      • Accounts · 236 to 212
        Mar 29, 2018 to Apr 1, 2019
      • HNW clients · 47 to 62
        Mar 29, 2018 to Apr 1, 2019
      • Individual clients · 88 to 84
        Mar 29, 2018 to Apr 1, 2019
      • Assets in custody · $18.5M to $20.1M
        Mar 29, 2018 to Apr 1, 2019
      • Discretionary RAUM · $158M to $148M
        Mar 29, 2018 to Apr 1, 2019
      • HNW RAUM · $125M to $137M
        Mar 29, 2018 to Apr 1, 2019
      • Individual RAUM · $33.1M to $11.6M
        Mar 29, 2018 to Apr 1, 2019
      • RAUM · $158M to $148M
        Mar 29, 2018 to Apr 1, 2019
      • Accounts · 213 to 236
        Mar 28, 2017 to Mar 29, 2018
      • HNW clients · unset to 47.0
        Mar 28, 2017 to Mar 29, 2018
      • Individual clients · unset to 88.0
        Mar 28, 2017 to Mar 29, 2018
      • Assets in custody · $15.0M to $18.5M
        Mar 28, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Discretionary RAUM · $135M to $158M
        Mar 28, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 124501477.0
        Mar 28, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 33072610.0
        Mar 28, 2017 to Mar 29, 2018
      • RAUM · $135M to $158M
        Mar 28, 2017 to Mar 29, 2018
      • Related insurance company · false to true
        Mar 28, 2017 to Mar 29, 2018
      • Accounts · 232 to 213
        Mar 28, 2016 to Mar 28, 2017
      • Assets in custody · $13.8M to $15.0M
        Mar 28, 2016 to Mar 28, 2017
      • Discretionary RAUM · $129M to $135M
        Mar 28, 2016 to Mar 28, 2017
      • RAUM · $129M to $135M
        Mar 28, 2016 to Mar 28, 2017
      • Accounts · 215 to 232
        Nov 6, 2015 to Mar 28, 2016
      • Business name · B•••• J••• A• A••••••••• to J••• A• B•••• A•••••••••
        Nov 6, 2015 to Mar 28, 2016
      • Assets in custody · $11.8M to $13.8M
        Nov 6, 2015 to Mar 28, 2016
      • Discretionary RAUM · $127M to $129M
        Nov 6, 2015 to Mar 28, 2016
      • RAUM · $127M to $129M
        Nov 6, 2015 to Mar 28, 2016
      • Legal name · B•••• J••• A to B•••• J••• A••••
        Mar 18, 2015 to Mar 31, 2015
      • Accounts · 209 to 215
        Mar 29, 2012 to Mar 11, 2015
      • Advisory employees · unset to 1.0
        Mar 29, 2012 to Mar 11, 2015
      • Assets in custody · $5.0M to $11.8M
        Mar 29, 2012 to Mar 11, 2015
      • Employees · unset to 2.0
        Mar 29, 2012 to Mar 11, 2015
      • State-registered IARs · 0 to 1
        Mar 29, 2012 to Mar 11, 2015
      • Legal name · B•••• J••• A• A••••••••• to B•••• J••• A
        Mar 29, 2012 to Mar 11, 2015
      • Discretionary RAUM · $85.2M to $127M
        Mar 29, 2012 to Mar 11, 2015
      • RAUM · $85.2M to $127M
        Mar 29, 2012 to Mar 11, 2015
      Signals
      1 dated events
      • ••• Locked
        Mar 11, 2015 · 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.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 29, 2024
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.