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••••• L••• A•••• M••••••••• I•••
Latest filing Jan 28, 2026
First filing on the tape Mar 30, 2012 · 24 filings
SEC status approved since Jul 1, 2000
RAUM
$344M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
80%
$274M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$115M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$344M as of Jan 28, 2026
Mar 30, 2012$145M then
HNW client RAUM$266M as of Jan 28, 2026
Mar 19, 2018$188M then
State-registered IARs (5.B.3)3 as of Jan 28, 2026
Mar 30, 20120 then
Employees (5.A)4 as of Jan 28, 2026
Apr 1, 20134 then
Private funds: no history
RAUM +13% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 28, 2026; every figure names its basis
- RAUM per advisor
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$266M77%
- Charitable organizations$63.5M18%
- Individuals$8.0M2.3%
- State and municipal entities$6.5M1.9%
- Individual clients
- 26reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 167reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.2 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 |
|---|---|---|---|---|
| D••••• W••••••• B••••• | Pawling, Ny | May 21, 2021 | 35 y | 0 |
| J••• J••••• L•••Chartered Financial Analyst | Montclaire, Nj | Nov 1, 2021 | 34 y | 0 |
| K•••• A••••• S•••••• | Pawling, Ny | May 16, 2024 | 15 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•••••• D•••••• W••••••• · President, Chairman, Treasurercontrolsince 07/2014 · owns 75% or more
- L•••• J•••• J••••• · Chief Compliance Officer, Secretary, Portfolio Managersince 07/2014 · 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 |
|---|---|---|---|---|---|
| Pawling, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 173 to 167Dec 8, 2025 to Jan 28, 2026
- HNW clients · 49 to 52Dec 8, 2025 to Jan 28, 2026
- Discretionary RAUM · $301M to $342MDec 8, 2025 to Jan 28, 2026
- HNW RAUM · $229M to $266MDec 8, 2025 to Jan 28, 2026
- Individual RAUM · $10.6M to $8.0MDec 8, 2025 to Jan 28, 2026
- Non-discretionary RAUM · $2.0M to $2.3MDec 8, 2025 to Jan 28, 2026
- RAUM · $303M to $344MDec 8, 2025 to Jan 28, 2026
- Accounts · 182 to 173Oct 9, 2024 to Feb 5, 2025
- Advisory employees · 2 to 3Oct 9, 2024 to Feb 5, 2025
- HNW clients · 48 to 49Oct 9, 2024 to Feb 5, 2025
- Individual clients · 29 to 26Oct 9, 2024 to Feb 5, 2025
- Employees · 5 to 4Oct 9, 2024 to Feb 5, 2025
- Financial planning clients · unset to Oct 9, 2024 to Feb 5, 2025
- State-registered IARs · 2 to 3Oct 9, 2024 to Feb 5, 2025
- Other offices · 1 to 4Oct 9, 2024 to Feb 5, 2025
- Discretionary RAUM · $283M to $301MOct 9, 2024 to Feb 5, 2025
- HNW RAUM · $213M to $229MOct 9, 2024 to Feb 5, 2025
- Individual RAUM · $12.0M to $10.6MOct 9, 2024 to Feb 5, 2025
- Non-discretionary RAUM · $2.0M to $2.0MOct 9, 2024 to Feb 5, 2025
- RAUM · $285M to $303MOct 9, 2024 to Feb 5, 2025
- Accounts · 178 to 182Mar 6, 2023 to Feb 7, 2024
- HNW clients · 51 to 48Mar 6, 2023 to Feb 7, 2024
- Individual clients · 28 to 29Mar 6, 2023 to Feb 7, 2024
- Employees · 4 to 5Mar 6, 2023 to Feb 7, 2024
- Discretionary RAUM · $254M to $283MMar 6, 2023 to Feb 7, 2024
- HNW RAUM · $202M to $213MMar 6, 2023 to Feb 7, 2024
- Individual RAUM · $9.5M to $12.0MMar 6, 2023 to Feb 7, 2024
- Non-discretionary RAUM · $2.0M to $2.0MMar 6, 2023 to Feb 7, 2024
- RAUM · $256M to $285MMar 6, 2023 to Feb 7, 2024
- Accounts · 181 to 178Feb 16, 2022 to Mar 6, 2023
- HNW clients · 57 to 51Feb 16, 2022 to Mar 6, 2023
- Individual clients · 22 to 28Feb 16, 2022 to Mar 6, 2023
- Discretionary RAUM · $389M to $254MFeb 16, 2022 to Mar 6, 2023
- HNW RAUM · $314M to $202MFeb 16, 2022 to Mar 6, 2023
- Individual RAUM · $8.8M to $9.5MFeb 16, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $1.2M to $2.0MFeb 16, 2022 to Mar 6, 2023
- RAUM · $390M to $256MFeb 16, 2022 to Mar 6, 2023
- Accounts · 189 to 181Mar 8, 2021 to Feb 16, 2022
- HNW clients · 54 to 57Mar 8, 2021 to Feb 16, 2022
- Individual clients · 27 to 22Mar 8, 2021 to Feb 16, 2022
Signals
1 dated events
- B••••• L••• A•••• M••••••••• I••• reported RAUM $256.4M, down 34% from $389.9M (2022-02-16 to 2023-03-06)Mar 6, 2023 · 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 phone
- 845-855-1590reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 973-746-7981reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- B•••••L•••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 845-855-1590reportedpublic record, Form ADV, Jan 28, 2026
- Contact form
- b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $115Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026