DFX Intelligence

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B••• I••••••••

Independent wealth managerSEC-registered· Hamiltonwebsite

Independent wealth manager, based in Hamilton, reporting $257M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2025-09-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $257M
Advisors: 0
RAUM change, 1 year: +17%
Private clients: 74%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2025-09-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 29 Sep 2025, RAUM $219M to $257M (+17.4%) on the Form ADV filed 29 Sep 2025.

Every filed figure, and the identifiersCRD 120715 · SEC 801-61310 · 25 filingsShow

CRD 120715SEC 801-61310Legal name B•••••• I••••••••• A••••••• S••••••• L••••••First filing on the tape Apr 17, 2012, latest Sep 29, 2025SEC status approved since Jul 12, 2002IAPD

RAUM

$257M

reported, Item 5.F

Discretionary

59%

of RAUM

Private clients

74%

$191M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

25 filings and snapshots on the tape

RAUM -0.8% a year over three years · the tape starts Apr 17, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$257M as of Sep 29, 2025

Sep 6, 2012$149M then

HNW client RAUM$152M as of Sep 29, 2025

Sep 28, 2018$157M then

State-registered IARs (5.B.3)0 as of Sep 29, 2025

Sep 6, 20120 then

Employees (5.A)6 as of Sep 29, 2025

Sep 4, 201315 then

Private funds: no history

RAUM +17% over the last fiscal year-0.8% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Sep 29, 2025; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

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: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.7MderivedHNW RAUM over HNW clients
Average account: $1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 59%derivedof RAUM
Institutional: 8.7%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: +2.0%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -55%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
compensates persons for client referrals (8.G.1)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)
a related person acts as qualified custodian (9.D.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

59% high-net-worth individuals, 17% pooled investment vehicles, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow

High-net-worth individuals$152M59%
Pooled investment vehicles$43.7M17%
Individuals$39.6M15%
Pension and profit-sharing plans$19.8M7.7%
Charitable organizations$2.7M1.0%

Individual clients: 137reported
HNW clients: 56reported
Pension plan clients: 2reported
Charitable clients: 4reported
Accounts: 202reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 74% private clients, 17% pooled funds, 9% institutions; a related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D••••• D••••• A•••••••• · Directorcontrol
since 08/2022 · owns less than 5%
L••••••• K••••••• B•••••••• · Directorcontrol
since 11/2021 · owns less than 5%
P••••••• G•• I•••••• M•••••••• · Directorcontrol
since 02/2019 · owns less than 5%
P••••• R•••••• R•••• · Ceo/Chief Compliance Officercontrol
since 04/1992 · owns 75% or more
P••••• R•••••• R•••• · Shareholdercontrol
since 10/2016 · owns 75% or more of P••••• R•••••• R••••

All 6 control persons

M•••••• M•••• J••••• · Shareholder
since 08/1994 · owns 5% to 10%

Related persons

Schedule D 7.A

B••• I•••••••• ••••••• L•••
broker-dealerinvestment adviserpooled vehicle sponsorcustodiann

Advisers that list B••• I•••••••• as a related person

156052 n

Offices

Schedule D 1.F, the 25 largest

What changed

consecutive filings, newest first

Accounts · 207 to 202
Sep 17, 2024 to Sep 29, 2025
Advisory employees · 4 to 5
Sep 17, 2024 to Sep 29, 2025
Charity clients · 5 to 4
Sep 17, 2024 to Sep 29, 2025
HNW clients · 59 to 56
Sep 17, 2024 to Sep 29, 2025
Individual clients · 32 to 137
Sep 17, 2024 to Sep 29, 2025

Full history · 80 changes

Pooled vehicle clients · 109 to 3
Sep 17, 2024 to Sep 29, 2025
Employees · 9 to 6
Sep 17, 2024 to Sep 29, 2025
Financial planning clients · 51-100 to 51-100
Sep 17, 2024 to Sep 29, 2025
HQ state · unset to
Sep 17, 2024 to Sep 29, 2025
Discretionary RAUM · $138M to $152M
Sep 17, 2024 to Sep 29, 2025
HNW RAUM · $138M to $152M
Sep 17, 2024 to Sep 29, 2025
Individual RAUM · $21.7M to $39.6M
Sep 17, 2024 to Sep 29, 2025
Non-discretionary RAUM · $85.6M to $106M
Sep 17, 2024 to Sep 29, 2025
Pension RAUM · $14.9M to $19.8M
Sep 17, 2024 to Sep 29, 2025
Pooled vehicle RAUM · $46.1M to $43.7M
Sep 17, 2024 to Sep 29, 2025
RAUM · $224M to $257M
Sep 17, 2024 to Sep 29, 2025
Accounts · 209 to 207
Jun 4, 2024 to Sep 17, 2024
Individual clients · 31 to 32
Jun 4, 2024 to Sep 17, 2024
Pooled vehicle clients · 112 to 109
Jun 4, 2024 to Sep 17, 2024
Discretionary RAUM · $141M to $138M
Jun 4, 2024 to Sep 17, 2024
HNW RAUM · $141M to $138M
Jun 4, 2024 to Sep 17, 2024
Individual RAUM · $21.7M to $21.7M
Jun 4, 2024 to Sep 17, 2024
Non-discretionary RAUM · $77.8M to $85.6M
Jun 4, 2024 to Sep 17, 2024
Pension RAUM · $13.1M to $14.9M
Jun 4, 2024 to Sep 17, 2024
Pooled vehicle RAUM · $40.5M to $46.1M
Jun 4, 2024 to Sep 17, 2024
RAUM · $219M to $224M
Jun 4, 2024 to Sep 17, 2024
Commission compensation · true to false
Jan 15, 2024 to Mar 8, 2024
Advisory activities · 4 to 5
Sep 29, 2023 to Jan 8, 2024
Individual clients · 143 to 31
Sep 29, 2023 to Jan 8, 2024
Pooled vehicle clients · unset to 112.0
Sep 29, 2023 to Jan 8, 2024
Individual RAUM · $62.2M to $21.7M
Sep 29, 2023 to Jan 8, 2024
Pooled vehicle RAUM · unset to 40501819.0
Sep 29, 2023 to Jan 8, 2024
Accounts · 211 to 209
Jun 20, 2023 to Sep 29, 2023
Charity clients · 7 to 5
Jun 20, 2023 to Sep 29, 2023
HNW clients · 60 to 59
Jun 20, 2023 to Sep 29, 2023
Individual clients · 142 to 143
Jun 20, 2023 to Sep 29, 2023
Discretionary RAUM · $138M to $141M
Jun 20, 2023 to Sep 29, 2023
HNW RAUM · $138M to $141M
Jun 20, 2023 to Sep 29, 2023
Individual RAUM · $62.7M to $62.2M
Jun 20, 2023 to Sep 29, 2023
Non-discretionary RAUM · $77.1M to $77.8M
Jun 20, 2023 to Sep 29, 2023
Pension RAUM · $11.6M to $13.1M
Jun 20, 2023 to Sep 29, 2023
RAUM · $215M to $219M
Jun 20, 2023 to Sep 29, 2023
Business name · B•••••• I••••••••• A••••••• S••••••• L•••••• to B••• I••••••••
Sep 29, 2022 to Jun 20, 2023
Accounts · 208 to 211
Feb 2, 2022 to Sep 29, 2022
Charity clients · 6 to 7
Feb 2, 2022 to Sep 29, 2022
HNW clients · 61 to 60
Feb 2, 2022 to Sep 29, 2022
Individual clients · 139 to 142
Feb 2, 2022 to Sep 29, 2022
Pension plan clients · unset to 2.0
Feb 2, 2022 to Sep 29, 2022
Discretionary RAUM · $186M to $138M
Feb 2, 2022 to Sep 29, 2022
HNW RAUM · $186M to $138M
Feb 2, 2022 to Sep 29, 2022
Individual RAUM · $61.6M to $62.7M
Feb 2, 2022 to Sep 29, 2022
Non-discretionary RAUM · $78.1M to $77.1M
Feb 2, 2022 to Sep 29, 2022
Pension RAUM · $13.4M to $11.6M
Feb 2, 2022 to Sep 29, 2022
RAUM · $264M to $215M
Feb 2, 2022 to Sep 29, 2022
Other offices · 0 to 1
Sep 29, 2021 to Feb 2, 2022
Accounts · 203 to 208
Sep 29, 2020 to Sep 29, 2021
HNW clients · 68 to 61
Sep 29, 2020 to Sep 29, 2021
Individual clients · 127 to 139
Sep 29, 2020 to Sep 29, 2021
Discretionary RAUM · $164M to $186M
Sep 29, 2020 to Sep 29, 2021
HNW RAUM · $164M to $186M
Sep 29, 2020 to Sep 29, 2021
Individual RAUM · $47.6M to $61.6M
Sep 29, 2020 to Sep 29, 2021
Non-discretionary RAUM · $61.1M to $78.1M
Sep 29, 2020 to Sep 29, 2021
Pension RAUM · $11.0M to $13.4M
Sep 29, 2020 to Sep 29, 2021
RAUM · $225M to $264M
Sep 29, 2020 to Sep 29, 2021
Accounts · 202 to 203
Jun 29, 2020 to Sep 29, 2020
HNW clients · 65 to 68
Jun 29, 2020 to Sep 29, 2020
Individual clients · 129 to 127
Jun 29, 2020 to Sep 29, 2020
Discretionary RAUM · $154M to $164M
Jun 29, 2020 to Sep 29, 2020
HNW RAUM · $154M to $164M
Jun 29, 2020 to Sep 29, 2020
Individual RAUM · $47.7M to $47.6M
Jun 29, 2020 to Sep 29, 2020
Non-discretionary RAUM · $59.0M to $61.1M
Jun 29, 2020 to Sep 29, 2020
Pension RAUM · $8.8M to $11.0M
Jun 29, 2020 to Sep 29, 2020
RAUM · $213M to $225M
Jun 29, 2020 to Sep 29, 2020
Accounts · 207 to 202
Sep 28, 2018 to Sep 25, 2019
Advisory employees · 6 to 4
Sep 28, 2018 to Sep 25, 2019
HNW clients · 68 to 65
Sep 28, 2018 to Sep 25, 2019
Individual clients · 131 to 129
Sep 28, 2018 to Sep 25, 2019
Employees · 8 to 9
Sep 28, 2018 to Sep 25, 2019
Discretionary RAUM · $157M to $154M
Sep 28, 2018 to Sep 25, 2019
HNW RAUM · $157M to $154M
Sep 28, 2018 to Sep 25, 2019

Signals

6 dated events

••• Locked
Sep 29, 2025 · ria principal change · fact
••• Locked
Sep 29, 2022 · Control person left · inference
••• Locked
Sep 29, 2022 · Control person joined · fact
••• Locked
Sep 29, 2022 · Control person joined · fact
••• Locked
Sep 25, 2019 · Control person joined · fact

Full timeline · 6 events

••• Locked
Sep 25, 2019 · Control person joined · 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 phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Sep 29, 2025
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 29, 2025
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.