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••••• W••••• M••••••••• L••

Former SEC-registered adviserBedford, New HampshireCRD 117393SEC 801-72789IAPD
Latest filing Nov 5, 2013
First filing on the tape Nov 17, 2011 · 9 filings
RAUM
$155M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$155M as of Apr 1, 2013
Mar 22, 2012$135M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Apr 1, 2013
Mar 22, 20120 then
Employees (5.A): 6
Private funds: no history
RAUM +15% over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Nov 5, 2013; every figure names its basis
RAUM per advisor
$77.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$105,936derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,465reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••••• S••••••• A••••• · Owner & Chief Compliance Officercontrol
    since 09/1994 · 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 · 689 to 1,465
    Mar 25, 2013 to Apr 1, 2013
  • Business name · B••••• W••••• M••••••••• to B••••• W••••• M••••••••• L••
    Mar 25, 2013 to Apr 1, 2013
  • Commission compensation · true to false
    Mar 25, 2013 to Apr 1, 2013
  • Employees · 7 to 6
    Mar 25, 2013 to Apr 1, 2013
  • Legal name · B•••••, S•••••• A••••• to B••••• W••••• M••••••••• L••
    Mar 25, 2013 to Apr 1, 2013
  • Organization form · Sole Proprietorship to Limited Liability Company
    Mar 25, 2013 to Apr 1, 2013
  • Discretionary RAUM · $0 to $155M
    Mar 25, 2013 to Apr 1, 2013
  • Non-discretionary RAUM · $135M to $0
    Mar 25, 2013 to Apr 1, 2013
  • RAUM · $135M to $155M
    Mar 25, 2013 to Apr 1, 2013
  • Succession · true to false
    Mar 25, 2013 to Apr 1, 2013
  • Advisory employees · unset to 5.0
    Mar 22, 2012 to Mar 25, 2013
  • BD registered reps · unset to 5.0
    Mar 22, 2012 to Mar 25, 2013
  • Employees · unset to 7.0
    Mar 22, 2012 to Mar 25, 2013
  • State-registered IARs · 0 to 2
    Mar 22, 2012 to Mar 25, 2013
  • Succession · false to true
    Mar 22, 2012 to Mar 25, 2013
  • Accounts · 678 to 689
    Nov 17, 2011 to Mar 22, 2012
  • Commission compensation · false to true
    Nov 17, 2011 to Mar 22, 2012
  • Insurance-licensed employees · unset to 0.0
    Nov 17, 2011 to Mar 22, 2012
  • Non-discretionary RAUM · $128M to $135M
    Nov 17, 2011 to Mar 22, 2012
  • RAUM · $128M to $135M
    Nov 17, 2011 to Mar 22, 2012
Signals
1 dated events
  • B••••• W••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Mar 25, 2013 · Succession (Item 4) · 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