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
T•• B••••• F•••••••• G••••• I•••
Latest filing Sep 8, 2026
First filing on the tape Jun 24, 2014 · 17 filings
SEC status approved since Jul 2, 2014
RAUM
$197M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$197M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$65.5M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$197M as of Mar 26, 2026
Mar 11, 2015$41.3M then
HNW client RAUM$145M as of Mar 26, 2026
Mar 30, 2018$29.1M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Mar 11, 20153 then
Employees (5.A)4 as of Mar 26, 2026
Mar 11, 20155 then
Private funds: no history
RAUM +18% over the last fiscal year+19% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Sep 8, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $65.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $931,966derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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$145M74%
- Individuals$51.7M26%
- Individual clients
- 132reported
- HNW clients
- 79reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 211reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $22.6M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••• A••••• E•••Certified Financial Planner | Garden City, Ny | Aug 12, 2021 | 30 y | 1 |
| D•••• B•••••Certified Financial Planner | Garden City, Ny | Aug 12, 2021 | 36 y | 0 |
| D••••• E••••••••Certified Financial Planner | Garden City, Ny | Aug 12, 2021 | 29 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
- G•••• A••••• E••• from G•••••••• F••••••••• I••Aug 12, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• D•••• · Presidentcontrolsince 01/1999 · owns 75% or more
- E••••••••• D••••• · Chief Compliance Officersince 01/2001 · owns less than 5%
Related persons
Schedule D 7.A
- G•••• A• E•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Garden City, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250Mar 26, 2026 to Sep 8, 2026
- Succession · false to unsetMar 26, 2026 to Sep 8, 2026
- Accounts · 212 to 211Mar 28, 2025 to Mar 26, 2026
- HNW clients · 67 to 79Mar 28, 2025 to Mar 26, 2026
- Individual clients · 145 to 132Mar 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $167M to $197MMar 28, 2025 to Mar 26, 2026
- HNW RAUM · $115M to $145MMar 28, 2025 to Mar 26, 2026
- Individual RAUM · $52.5M to $51.7MMar 28, 2025 to Mar 26, 2026
- RAUM · $167M to $197MMar 28, 2025 to Mar 26, 2026
- Wrap assets (manager) · $21.2M to $22.6MMar 28, 2025 to Mar 26, 2026
- Accounts · 216 to 212Mar 26, 2024 to Mar 28, 2025
- HNW clients · 53 to 67Mar 26, 2024 to Mar 28, 2025
- Individual clients · 163 to 145Mar 26, 2024 to Mar 28, 2025
- Financial planning clients · 101-250 to 101-250Mar 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $144M to $167MMar 26, 2024 to Mar 28, 2025
- HNW RAUM · $104M to $115MMar 26, 2024 to Mar 28, 2025
- Individual RAUM · $39.6M to $52.5MMar 26, 2024 to Mar 28, 2025
- RAUM · $144M to $167MMar 26, 2024 to Mar 28, 2025
- Wrap assets (manager) · $18.3M to $21.2MMar 26, 2024 to Mar 28, 2025
- Accounts · 204 to 216Nov 9, 2023 to Mar 26, 2024
- HNW clients · 44 to 53Nov 9, 2023 to Mar 26, 2024
- Individual clients · 160 to 163Nov 9, 2023 to Mar 26, 2024
- Discretionary RAUM · $115M to $144MNov 9, 2023 to Mar 26, 2024
- HNW RAUM · $80.0M to $104MNov 9, 2023 to Mar 26, 2024
- Individual RAUM · $35.3M to $39.6MNov 9, 2023 to Mar 26, 2024
- RAUM · $115M to $144MNov 9, 2023 to Mar 26, 2024
- Wrap assets (manager) · $15.9M to $18.3MNov 9, 2023 to Mar 26, 2024
- Accounts · 195 to 204Mar 31, 2022 to Mar 28, 2023
- HNW clients · 53 to 44Mar 31, 2022 to Mar 28, 2023
- Individual clients · 141 to 160Mar 31, 2022 to Mar 28, 2023
- Pension plan clients · unset to 0.0Mar 31, 2022 to Mar 28, 2023
- Discretionary RAUM · $140M to $115MMar 31, 2022 to Mar 28, 2023
- HNW RAUM · $99.8M to $80.0MMar 31, 2022 to Mar 28, 2023
- Individual RAUM · $37.9M to $35.3MMar 31, 2022 to Mar 28, 2023
- Pension RAUM · $2.7M to $0Mar 31, 2022 to Mar 28, 2023
- RAUM · $140M to $115MMar 31, 2022 to Mar 28, 2023
- Wrap assets (manager) · $12.2M to $15.9MMar 31, 2022 to Mar 28, 2023
- Accounts · 265 to 195Mar 25, 2021 to Mar 31, 2022
- HNW clients · 45 to 53Mar 25, 2021 to Mar 31, 2022
- Individual clients · 133 to 141Mar 25, 2021 to Mar 31, 2022
Signals
1 dated events
- T•• B••••• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)Jun 24, 2014 · 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 16, 2026
- Business phone
- 516-228-8300reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-228-8302reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-559-8866reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- B•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 516-228-8300reportedpublic record, Form ADV, Sep 8, 2026
- Contact form
- 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
- $65.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026