DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
B•••••• • C••••••
Legal name B•••••• • C••••••• I•••
Latest filing Mar 6, 2026
First filing on the tape Jun 8, 2017 · 30 filings
SEC status approved since Jul 17, 2017
RAUM
$530M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
91%
$484M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$530M as of Mar 6, 2026
Mar 26, 2018$136M then
HNW client RAUM$301M as of Mar 6, 2026
Mar 26, 2018$43.4M then
State-registered IARs (5.B.3)4 as of Mar 6, 2026
Mar 26, 20183 then
Employees (5.A)7 as of Mar 6, 2026
Mar 26, 201814 then
Private funds: no history
RAUM +17% over the last fiscal year+20% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 144derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $485,502derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- is a broker-dealer (6.A.1)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$301M57%
- Individuals$183M35%
- Pension and profit-sharing plans$29.9M5.7%
- Corporations and businesses$16.2M3.1%
- Individual clients
- 437reported
- HNW clients
- 139reported
- Pension plan clients
- 15reported
- Charitable clients
- n/areported
- Accounts
- 1,091reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.06 related_bd=true related_bank=false bd_reps=7.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• A••••• J••••••• | Providence, Ri | Aug 20, 2015 | 42 y | 0 |
| M••• R••••• | Providence, Ri | Aug 26, 2015 | 34 y | 0 |
| W••••• G••••• S•••••• | Providence, Ri | Apr 6, 2017 | 40 y | 0 |
| N••••••• J••••• C••••••• | Providence, Ri | Nov 17, 2022 | 13 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
- B•••••• J••• D••••••• to L•• F•••••••• L••Apr 15, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- B•••••• J••• D••••••• from A••••••••• F•••••••• S•••••••• L••May 8, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• W••••• G••••• I• · President,Secretary,Chief Compliance Officer, & Chief Financial Officercontrolsince 07/2011 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Providence, Ri · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,040 to 1,091Oct 31, 2025 to Mar 6, 2026
- BD registered reps · 9 to 7Oct 31, 2025 to Mar 6, 2026
- Corporate clients · 8 to 10Oct 31, 2025 to Mar 6, 2026
- HNW clients · 116 to 139Oct 31, 2025 to Mar 6, 2026
- Individual clients · 433 to 437Oct 31, 2025 to Mar 6, 2026
- Pension plan clients · 9 to 15Oct 31, 2025 to Mar 6, 2026
- Employees · 9 to 7Oct 31, 2025 to Mar 6, 2026
- Discretionary RAUM · $399M to $471MOct 31, 2025 to Mar 6, 2026
- HNW RAUM · $277M to $301MOct 31, 2025 to Mar 6, 2026
- Individual RAUM · $137M to $183MOct 31, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $54.1M to $58.4MOct 31, 2025 to Mar 6, 2026
- Pension RAUM · $20.9M to $29.9MOct 31, 2025 to Mar 6, 2026
- RAUM · $453M to $530MOct 31, 2025 to Mar 6, 2026
- Financial planning clients · 51-100 to 51-100May 8, 2025 to Jun 6, 2025
- Accounts · 995 to 1,040Dec 4, 2024 to Mar 17, 2025
- Advisory employees · 5 to 4Dec 4, 2024 to Mar 17, 2025
- Corporate clients · 9 to 8Dec 4, 2024 to Mar 17, 2025
- HNW clients · 84 to 116Dec 4, 2024 to Mar 17, 2025
- Individual clients · 437 to 433Dec 4, 2024 to Mar 17, 2025
- Pension plan clients · 12 to 9Dec 4, 2024 to Mar 17, 2025
- Employees · 10 to 9Dec 4, 2024 to Mar 17, 2025
- State-registered IARs · 5 to 4Dec 4, 2024 to Mar 17, 2025
- Discretionary RAUM · $322M to $399MDec 4, 2024 to Mar 17, 2025
- HNW RAUM · $182M to $277MDec 4, 2024 to Mar 17, 2025
- Individual RAUM · $153M to $137MDec 4, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $47.9M to $54.1MDec 4, 2024 to Mar 17, 2025
- Pension RAUM · $24.0M to $20.9MDec 4, 2024 to Mar 17, 2025
- RAUM · $370M to $453MDec 4, 2024 to Mar 17, 2025
- Accounts · 933 to 995Nov 16, 2023 to Feb 29, 2024
- BD registered reps · 11 to 9Nov 16, 2023 to Feb 29, 2024
- Corporate clients · 8 to 9Nov 16, 2023 to Feb 29, 2024
- HNW clients · 96 to 84Nov 16, 2023 to Feb 29, 2024
- Individual clients · 391 to 437Nov 16, 2023 to Feb 29, 2024
- Pension plan clients · 13 to 12Nov 16, 2023 to Feb 29, 2024
- Employees · 12 to 10Nov 16, 2023 to Feb 29, 2024
- Financial planning clients · 26-50 to 51-100Nov 16, 2023 to Feb 29, 2024
- Discretionary RAUM · $283M to $322MNov 16, 2023 to Feb 29, 2024
- HNW RAUM · $153M to $182MNov 16, 2023 to Feb 29, 2024
- Individual RAUM · $124M to $153MNov 16, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $26.0M to $47.9MNov 16, 2023 to Feb 29, 2024
Signals
1 dated events
- B•••••• • C•••••• filed its initial SEC registration (Form ADV)Jun 8, 2017 · First SEC registration · fact
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
- i•••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- c••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- c••••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- e•••••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- k••••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- b•••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 401-351-1080reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 401-351-1000reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 401-444-0202reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/B••••••-&-COMPANY-INC.reportedpublic record, Form ADV, Sep 21, 2026
- Website
- B••••••ANDCOMPANY.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 401-351-1000reportedpublic record, Form ADV, Mar 6, 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
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026