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
M••••••• A•••• M••••••••• I•••
Latest filing Mar 13, 2026
First filing on the tape Mar 30, 2012 · 20 filings
SEC status approved since Jan 3, 2000
RAUM
$36.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$31.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$36.9M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$36.9M as of Mar 13, 2026
Mar 30, 2012$47.9M then
HNW client RAUM$30.5M as of Mar 13, 2026
Mar 26, 2018$29.1M then
State-registered IARs (5.B.3)1 as of Mar 13, 2026
Mar 30, 20120 then
Employees (5.A)1 as of Mar 13, 2026
Mar 18, 20131 then
Private funds: no history
RAUM +6.0% over the last fiscal year+6.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $36.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $36.9M, 16 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)
- 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$30.5M83%
- Charitable organizations$5.1M14%
- Individuals$1.3M3.6%
- Individual clients
- n/areported
- HNW clients
- 12reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 27reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $36.9M for 16 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• E•••••••• D•••Chartered Financial Analyst | Sag Harbor, Ny | Aug 13, 2019 | 36 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• B••••••• E•••••••• · President And Chief Compliance Officercontrolsince 10/1992 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 28 to 27Aug 26, 2025 to Mar 13, 2026
- Corporate clients · 0.0 to unsetAug 26, 2025 to Mar 13, 2026
- HNW clients · 15 to 12Aug 26, 2025 to Mar 13, 2026
- Pooled vehicle clients · 0.0 to unsetAug 26, 2025 to Mar 13, 2026
- Assets in custody · $34.8M to $36.9MAug 26, 2025 to Mar 13, 2026
- Discretionary RAUM · $34.8M to $36.9MAug 26, 2025 to Mar 13, 2026
- HNW RAUM · $29.0M to $30.5MAug 26, 2025 to Mar 13, 2026
- Individual RAUM · $1.0M to $1.3MAug 26, 2025 to Mar 13, 2026
- RAUM · $34.8M to $36.9MAug 26, 2025 to Mar 13, 2026
- Financial planning clients · 0 to 0Feb 14, 2025 to Aug 26, 2025
- Accounts · 33 to 28Mar 14, 2024 to Feb 14, 2025
- HNW clients · 17 to 15Mar 14, 2024 to Feb 14, 2025
- Assets in custody · $32.2M to $34.8MMar 14, 2024 to Feb 14, 2025
- Financial planning clients · unset to 0Mar 14, 2024 to Feb 14, 2025
- HQ city · unset to Mar 14, 2024 to Feb 14, 2025
- HQ state · unset to Mar 14, 2024 to Feb 14, 2025
- Discretionary RAUM · $32.2M to $34.8MMar 14, 2024 to Feb 14, 2025
- HNW RAUM · $26.5M to $29.0MMar 14, 2024 to Feb 14, 2025
- Individual RAUM · $1.2M to $1.0MMar 14, 2024 to Feb 14, 2025
- RAUM · $32.2M to $34.8MMar 14, 2024 to Feb 14, 2025
- Accounts · 34 to 33Mar 24, 2023 to Mar 14, 2024
- Assets in custody · $26.0M to $32.2MMar 24, 2023 to Mar 14, 2024
- Discretionary RAUM · $30.7M to $32.2MMar 24, 2023 to Mar 14, 2024
- HNW RAUM · $24.3M to $26.5MMar 24, 2023 to Mar 14, 2024
- Individual RAUM · $1.7M to $1.2MMar 24, 2023 to Mar 14, 2024
- RAUM · $30.7M to $32.2MMar 24, 2023 to Mar 14, 2024
- Accounts · 39 to 34Aug 25, 2022 to Mar 24, 2023
- Charity clients · 1.0 to unsetAug 25, 2022 to Mar 24, 2023
- HNW clients · 19 to 17Aug 25, 2022 to Mar 24, 2023
- Individual clients · 3.0 to unsetAug 25, 2022 to Mar 24, 2023
- Assets in custody · $40.0M to $26.0MAug 25, 2022 to Mar 24, 2023
- Discretionary RAUM · $40.0M to $30.7MAug 25, 2022 to Mar 24, 2023
- HNW RAUM · $32.9M to $24.3MAug 25, 2022 to Mar 24, 2023
- Individual RAUM · $1.2M to $1.7MAug 25, 2022 to Mar 24, 2023
- RAUM · $40.0M to $30.7MAug 25, 2022 to Mar 24, 2023
- HQ city · SAG HARBOR to unsetFeb 25, 2022 to Aug 25, 2022
- HQ state · NY to unsetFeb 25, 2022 to Aug 25, 2022
- Accounts · 48 to 39Oct 25, 2021 to Feb 25, 2022
- Individual clients · 8 to 3Oct 25, 2021 to Feb 25, 2022
- Assets in custody · $38.9M to $40.0MOct 25, 2021 to Feb 25, 2022
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- (410) 336-5993reportedpublic record, Form ADV, Mar 13, 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
- $36.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026