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••••• F•••••••• A•••••••
Legal name B••••• F•••••••• A•••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Apr 3, 2013 · 22 filings
SEC status approved since Apr 12, 2013
RAUM
$228M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
92%
$210M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$76.0M
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
22 filings and snapshots on the tape
RAUM$228M as of Mar 30, 2026
Mar 12, 2014$113M then
HNW client RAUM$205M as of Mar 30, 2026
Mar 1, 2018$116M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Mar 12, 20141 then
Employees (5.A)4 as of Mar 30, 2026
Mar 12, 20142 then
Private funds: no history
RAUM +14% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $76.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $624,692derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 8.0%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
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $194MreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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$205M90%
- Pension and profit-sharing plans$18.2M8.0%
- Individuals$4.8M2.1%
- Individual clients
- 9reported
- HNW clients
- 38reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 365reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 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 |
|---|---|---|---|---|
| R••••• M• R••••• | Rye Brook, Ny | Sep 20, 2010 | 33 y | 0 |
| B••••••• D•••• R•••••Certified Financial Planner, Chartered Financial Analyst | Rye Brook, Ny | Feb 19, 2017 | 14 y | 0 |
| C••••• B•••• A•••••••• | Rye Brook, Ny | Jul 15, 2024 | 12 y | 1 |
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
- C••••• B•••• A•••••••• from J••• M••••• S••••••••• L••Jul 15, 2024 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• B•••••••• D•••• · President & Chief Compliance Officercontrolsince 06/2021 · owns 75% or more
- R•••••• R•••••• M• · Foundersince 02/2000 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Rye Brook, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 30, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-28, no on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 353 to 365Mar 28, 2025 to Mar 30, 2026
- HNW clients · 33 to 38Mar 28, 2025 to Mar 30, 2026
- Individual clients · 15 to 9Mar 28, 2025 to Mar 30, 2026
- Pension plan clients · 3 to 2Mar 28, 2025 to Mar 30, 2026
- Assets in custody · 4651116.0 to unsetMar 28, 2025 to Mar 30, 2026
- Custody of client assets · true to falseMar 28, 2025 to Mar 30, 2026
- Financial planning clients · 11-25 to 26-50Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $184M to $210MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $175M to $205MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $8.4M to $4.8MMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $15.9M to $18.2MMar 28, 2025 to Mar 30, 2026
- Pension RAUM · $16.0M to $18.2MMar 28, 2025 to Mar 30, 2026
- RAUM · $200M to $228MMar 28, 2025 to Mar 30, 2026
- Accounts · 338 to 353Mar 27, 2024 to Mar 28, 2025
- Advisory employees · 2 to 3Mar 27, 2024 to Mar 28, 2025
- Charity clients · unset to 0.0Mar 27, 2024 to Mar 28, 2025
- HNW clients · 32 to 33Mar 27, 2024 to Mar 28, 2025
- Individual clients · 17 to 15Mar 27, 2024 to Mar 28, 2025
- Assets in custody · $4.5M to $4.7MMar 27, 2024 to Mar 28, 2025
- Employees · 3 to 4Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · 26-50 to 11-25Mar 27, 2024 to Mar 28, 2025
- State-registered IARs · 2 to 3Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $167M to $184MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $158M to $175MMar 27, 2024 to Mar 28, 2025
- Individual RAUM · $6.6M to $8.4MMar 27, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $14.5M to $15.9MMar 27, 2024 to Mar 28, 2025
- Pension RAUM · $16.7M to $16.0MMar 27, 2024 to Mar 28, 2025
- RAUM · $181M to $200MMar 27, 2024 to Mar 28, 2025
- Accounts · 333 to 338Apr 21, 2023 to Mar 27, 2024
- HNW clients · 31 to 32Apr 21, 2023 to Mar 27, 2024
- Individual clients · 18 to 17Apr 21, 2023 to Mar 27, 2024
- Assets in custody · $4.3M to $4.5MApr 21, 2023 to Mar 27, 2024
- Discretionary RAUM · $150M to $167MApr 21, 2023 to Mar 27, 2024
- HNW RAUM · $141M to $158MApr 21, 2023 to Mar 27, 2024
- Individual RAUM · $6.4M to $6.6MApr 21, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $11.0M to $14.5MApr 21, 2023 to Mar 27, 2024
- Pension RAUM · $13.0M to $16.7MApr 21, 2023 to Mar 27, 2024
- RAUM · $161M to $181MApr 21, 2023 to Mar 27, 2024
- Assets in custody · $0 to $4.3MMar 17, 2023 to Apr 21, 2023
- Accounts · 322 to 333Oct 21, 2022 to Mar 17, 2023
Signals
2 dated events
- Davis Benjamin Robins (Vice President) appeared on Schedule A of B••••• F•••••••• A•••••••Mar 27, 2019 · Control person joined · fact
- B••••• F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Apr 3, 2013 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/B•••••-FINANCIAL-ADVISORS-INC.reportedpublic record, Form ADV, Sep 19, 2026
- Website
- B•••••FA.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (914) 872-4040reportedpublic record, Form ADV, Mar 30, 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
- $76.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026