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•••••• F••••••••• L••

Former SEC-registered adviserLongmeadow, MassachusettsCRD 117480SEC 801-68635IAPD
Latest filing Mar 31, 2017
First filing on the tape Mar 30, 2012 · 10 filings
RAUM
$132M
reported, Item 5.F
Discretionary
93%
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
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$11.0M gross assets
History
10 filings and snapshots on the tape
RAUM$132M as of Mar 31, 2017
Mar 30, 2012$144M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 30, 20120 then
Employees (5.A)6 as of Mar 31, 2017
Mar 22, 20137 then
Private funds2 as of Mar 31, 2017
Mar 22, 20131 then
RAUM +7.6% over the last fiscal year+7.7% a year over threeIARs 4 to 0
Practice profile
derived from the filing of Mar 31, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$86,914derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+7.6%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$7.7M, 2 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)
  • 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
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
1,523reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$7.7M for 2 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
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
  • C•••• B••••• K•••••• · Managing Member & Ccocontrol
    since 01/2007 · owns 75% or more
Related persons
Schedule D 7.A
  • B•••••• C•••••• M••••••••• L•• ••••••• A•••••••
    pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
  • West Hartford, CT
What changed
consecutive filings, newest first
  • Accounts · 1,211 to 1,523
    Jun 20, 2016 to Mar 31, 2017
  • Advisory employees · 7 to 4
    Jun 20, 2016 to Mar 31, 2017
  • Assets in custody · $11.0M to $7.7M
    Jun 20, 2016 to Mar 31, 2017
  • Employees · 9 to 6
    Jun 20, 2016 to Mar 31, 2017
  • Discretionary RAUM · $127M to $124M
    Jun 20, 2016 to Mar 31, 2017
  • Non-discretionary RAUM · $7.4M to $8.8M
    Jun 20, 2016 to Mar 31, 2017
  • RAUM · $134M to $132M
    Jun 20, 2016 to Mar 31, 2017
  • Accounts · 1,209 to 1,211
    Mar 30, 2016 to Jun 20, 2016
  • Advisory employees · 4 to 7
    Mar 30, 2016 to Jun 20, 2016
  • Assets in custody · unset to 10984930.0
    Mar 30, 2016 to Jun 20, 2016
  • Custody of client assets · false to true
    Mar 30, 2016 to Jun 20, 2016
  • Employees · 8 to 9
    Mar 30, 2016 to Jun 20, 2016
  • State-registered IARs · 4 to 0
    Mar 30, 2016 to Jun 20, 2016
  • Private funds · unset to 2
    Mar 30, 2016 to Jun 20, 2016
  • Discretionary RAUM · $116M to $127M
    Mar 30, 2016 to Jun 20, 2016
  • RAUM · $123M to $134M
    Mar 30, 2016 to Jun 20, 2016
  • Related adviser · true to false
    Mar 30, 2016 to Jun 20, 2016
  • Accounts · 1,504 to 1,209
    Oct 8, 2015 to Mar 30, 2016
  • Employees · 9 to 8
    Oct 8, 2015 to Mar 30, 2016
  • Discretionary RAUM · $104M to $116M
    Oct 8, 2015 to Mar 30, 2016
  • Non-discretionary RAUM · $0 to $7.4M
    Oct 8, 2015 to Mar 30, 2016
  • RAUM · $104M to $123M
    Oct 8, 2015 to Mar 30, 2016
  • Advisory activities · 5 to 4
    Mar 24, 2015 to Oct 8, 2015
  • Accounts · 1,070 to 1,504
    Mar 28, 2014 to Mar 24, 2015
  • Advisory employees · 5 to 4
    Mar 28, 2014 to Mar 24, 2015
  • Financial planning clients · 101-250 to 251-500
    Mar 28, 2014 to Mar 24, 2015
  • State-registered IARs · 5 to 4
    Mar 28, 2014 to Mar 24, 2015
  • Discretionary RAUM · $95.7M to $104M
    Mar 28, 2014 to Mar 24, 2015
  • Non-discretionary RAUM · $10.3M to $0
    Mar 28, 2014 to Mar 24, 2015
  • RAUM · $106M to $104M
    Mar 28, 2014 to Mar 24, 2015
  • Accounts · 1,135 to 1,070
    Dec 9, 2013 to Mar 28, 2014
  • Advisory employees · 3 to 5
    Dec 9, 2013 to Mar 28, 2014
  • Employees · 7 to 9
    Dec 9, 2013 to Mar 28, 2014
  • Financial planning clients · 26-50 to 101-250
    Dec 9, 2013 to Mar 28, 2014
  • State-registered IARs · 3 to 5
    Dec 9, 2013 to Mar 28, 2014
  • Discretionary RAUM · $103M to $95.7M
    Dec 9, 2013 to Mar 28, 2014
  • Non-discretionary RAUM · $8.1M to $10.3M
    Dec 9, 2013 to Mar 28, 2014
  • RAUM · $111M to $106M
    Dec 9, 2013 to Mar 28, 2014
  • Assets in custody · 7246000.0 to unset
    Mar 22, 2013 to Oct 21, 2013
  • Custody of client assets · true to false
    Mar 22, 2013 to Oct 21, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
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