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•••• M••••••••• C•••
Latest filing Jul 1, 2026
First filing on the tape Mar 16, 2012 · 28 filings
SEC status approved since Jun 4, 1973
RAUM
$659M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$574M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$330M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$659M as of Jul 1, 2026
Jul 24, 2012$240M then
HNW client RAUM$522M as of Jul 1, 2026
Jul 26, 2018$261M then
State-registered IARs (5.B.3)2 as of Jul 1, 2026
Jul 26, 20132 then
Employees (5.A)3 as of Jul 1, 2026
Jul 26, 20133 then
Private funds: no history
RAUM +35% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 1, 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
- $330MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 181derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $622,457derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $62.4M, 32 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$522M79%
- Corporations and businesses$62.4M9.5%
- Individuals$52.5M8.0%
- Charitable organizations$17.2M2.6%
- Pension and profit-sharing plans$5.3M0.8%
- Individual clients
- 166reported
- HNW clients
- 195reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,059reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $62.4M for 32 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• A••• B•••• | Wilton, Ct | Oct 25, 2001 | 24 y | 0 |
| K•••• S••••• B•••• | Redding, Ct | Jan 30, 2026 | 20 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
- B••••• C••••••••• A••• · Chief Investment Officercontrolsince 05/2011 · owns 75% or more
- B••••• K••••• S••••• · Chief Compliance Officercontrolsince 05/2010 · owns less than 5%
- B••••• P••••• M•••••• · President And Chief Executive Officercontrolsince 05/1973 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Jan 19, 2026accounts (Item 5.F.2.f) moved from 364.0 to 1,012.0 (+178.0%) between the annual amendments of 2024-07-15 and 2026-01-19; the peer median change was +6.0% (1256 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 1,012 to 1,059Jan 19, 2026 to Jul 1, 2026
- Advisory employees · 2 to 3Jan 19, 2026 to Jul 1, 2026
- HNW clients · 180 to 195Jan 19, 2026 to Jul 1, 2026
- Individual clients · 176 to 166Jan 19, 2026 to Jul 1, 2026
- Assets in custody · $47.4M to $62.4MJan 19, 2026 to Jul 1, 2026
- State-registered IARs · 1 to 2Jan 19, 2026 to Jul 1, 2026
- Discretionary RAUM · $521M to $659MJan 19, 2026 to Jul 1, 2026
- HNW RAUM · $405M to $522MJan 19, 2026 to Jul 1, 2026
- Individual RAUM · $52.4M to $52.5MJan 19, 2026 to Jul 1, 2026
- Pension RAUM · $3.0M to $5.3MJan 19, 2026 to Jul 1, 2026
- RAUM · $521M to $659MJan 19, 2026 to Jul 1, 2026
- Advisory employees · 3 to 2Jul 1, 2025 to Jan 19, 2026
- Employees · 4 to 3Jul 1, 2025 to Jan 19, 2026
- State-registered IARs · 2 to 1Jul 1, 2025 to Jan 19, 2026
- Accounts · 364 to 1,012Nov 14, 2024 to Jul 1, 2025
- Corporate clients · 10 to 9Nov 14, 2024 to Jul 1, 2025
- HNW clients · 181 to 180Nov 14, 2024 to Jul 1, 2025
- Individual clients · 167 to 176Nov 14, 2024 to Jul 1, 2025
- Assets in custody · $62.6M to $47.4MNov 14, 2024 to Jul 1, 2025
- Financial planning clients · unset to Nov 14, 2024 to Jul 1, 2025
- HQ city · unset to Nov 14, 2024 to Jul 1, 2025
- HQ state · unset to Nov 14, 2024 to Jul 1, 2025
- Discretionary RAUM · $489M to $521MNov 14, 2024 to Jul 1, 2025
- HNW RAUM · $374M to $405MNov 14, 2024 to Jul 1, 2025
- Individual RAUM · $48.0M to $52.4MNov 14, 2024 to Jul 1, 2025
- Pension RAUM · $2.8M to $3.0MNov 14, 2024 to Jul 1, 2025
- RAUM · $489M to $521MNov 14, 2024 to Jul 1, 2025
- Accounts · 916 to 364Jul 18, 2023 to Jul 15, 2024
- Corporate clients · 9 to 10Jul 18, 2023 to Jul 15, 2024
- HNW clients · 177 to 181Jul 18, 2023 to Jul 15, 2024
- Individual clients · 164 to 167Jul 18, 2023 to Jul 15, 2024
- Assets in custody · $65.7M to $62.6MJul 18, 2023 to Jul 15, 2024
- Discretionary RAUM · $445M to $489MJul 18, 2023 to Jul 15, 2024
- HNW RAUM · $313M to $374MJul 18, 2023 to Jul 15, 2024
- Individual RAUM · $48.4M to $48.0MJul 18, 2023 to Jul 15, 2024
- Pension RAUM · $1.7M to $2.8MJul 18, 2023 to Jul 15, 2024
- RAUM · $445M to $489MJul 18, 2023 to Jul 15, 2024
- Accounts · 885 to 916Jul 26, 2022 to Jul 18, 2023
- Corporate clients · 8 to 9Jul 26, 2022 to Jul 18, 2023
- HNW clients · 179 to 177Jul 26, 2022 to Jul 18, 2023
Signals
1 dated events
- B•••• M••••••••• C••• reported RAUM $659.2M, up 27% from $521.0M (2026-01-19 to 2026-07-01)Jul 1, 2026 · RAUM change · derived
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
- b••@b•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-762-3295reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-762-5629reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- B••••MANAGEMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-762-3295reportedpublic record, Form ADV, Jul 1, 2026
- Team page
- b•••••••••.comreportedpublished 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
- $330Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026