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••••• I••••••••• M••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 122639SEC 801-80909IAPD
Latest filing Mar 13, 2020
First filing on the tape Apr 2, 2012 · 20 filings
RAUM
$217M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
97%
$210M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$217M as of Mar 13, 2020
Apr 2, 2012$76.0M then
HNW client RAUM$140M as of Mar 13, 2020
Mar 6, 2018$125M then
State-registered IARs (5.B.3)4 as of Mar 13, 2020
Apr 2, 20120 then
Employees (5.A)4 as of Mar 13, 2020
Feb 8, 20164 then
Private funds: no history
RAUM +26% over the last fiscal year+19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 13, 2020; every figure names its basis
RAUM per advisor
$54.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
85derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$631,411derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+167%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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 securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$140M65%
  • Individuals$69.3M32%
  • Corporations and businesses$4.3M2.0%
  • Charitable organizations$2.1M1.0%
  • Pension and profit-sharing plans$436,6190.2%
Individual clients
277reported
HNW clients
62reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
343reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••••• B••••• J••••• · Managing Member, Chief Compliance Officercontrol
      since 07/1999 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 128 to 343
      Apr 30, 2019 to Mar 13, 2020
    • Corporate clients · 1.0 to unset
      Apr 30, 2019 to Mar 13, 2020
    • HNW clients · 40 to 62
      Apr 30, 2019 to Mar 13, 2020
    • Individual clients · 87 to 277
      Apr 30, 2019 to Mar 13, 2020
    • Assets in custody · unset to 11105296.0
      Apr 30, 2019 to Mar 13, 2020
    • HNW RAUM · $130M to $140M
      Apr 30, 2019 to Mar 13, 2020
    • Individual RAUM · $39.4M to $69.3M
      Apr 30, 2019 to Mar 13, 2020
    • Non-discretionary RAUM · $172M to $217M
      Apr 30, 2019 to Mar 13, 2020
    • Pension RAUM · unset to 436619.0
      Apr 30, 2019 to Mar 13, 2020
    • RAUM · $172M to $217M
      Apr 30, 2019 to Mar 13, 2020
    • Accounts · 113 to 128
      Jun 15, 2018 to Mar 18, 2019
    • HNW clients · 38 to 40
      Jun 15, 2018 to Mar 18, 2019
    • Individual clients · 74 to 87
      Jun 15, 2018 to Mar 18, 2019
    • HNW RAUM · $125M to $130M
      Jun 15, 2018 to Mar 18, 2019
    • Individual RAUM · $34.6M to $39.4M
      Jun 15, 2018 to Mar 18, 2019
    • Non-discretionary RAUM · $162M to $172M
      Jun 15, 2018 to Mar 18, 2019
    • RAUM · $162M to $172M
      Jun 15, 2018 to Mar 18, 2019
    • Accounts · 83 to 113
      Feb 22, 2017 to Mar 6, 2018
    • Advisory activities · 3 to 2
      Feb 22, 2017 to Mar 6, 2018
    • Corporate clients · unset to 1.0
      Feb 22, 2017 to Mar 6, 2018
    • HNW clients · unset to 38.0
      Feb 22, 2017 to Mar 6, 2018
    • Individual clients · unset to 74.0
      Feb 22, 2017 to Mar 6, 2018
    • Other offices · unset to 0.0
      Feb 22, 2017 to Mar 6, 2018
    • HNW RAUM · unset to 125140587.0
      Feb 22, 2017 to Mar 6, 2018
    • Individual RAUM · unset to 34568076.0
      Feb 22, 2017 to Mar 6, 2018
    • Non-discretionary RAUM · $129M to $162M
      Feb 22, 2017 to Mar 6, 2018
    • RAUM · $129M to $162M
      Feb 22, 2017 to Mar 6, 2018
    • Accounts · 73 to 83
      Feb 8, 2016 to Feb 22, 2017
    • Advisory activities · 2 to 3
      Feb 8, 2016 to Feb 22, 2017
    • Financial planning clients · unset to 0
      Feb 8, 2016 to Feb 22, 2017
    • Non-discretionary RAUM · $117M to $129M
      Feb 8, 2016 to Feb 22, 2017
    • RAUM · $117M to $129M
      Feb 8, 2016 to Feb 22, 2017
    • Accounts · 94 to 73
      Jul 17, 2015 to Feb 8, 2016
    • Employees · 5 to 4
      Jul 17, 2015 to Feb 8, 2016
    • Financial planning clients · 0 to unset
      Jul 17, 2015 to Feb 8, 2016
    • Non-discretionary RAUM · $112M to $117M
      Jul 17, 2015 to Feb 8, 2016
    • RAUM · $112M to $117M
      Jul 17, 2015 to Feb 8, 2016
    • Accounts · 73 to 94
      Feb 2, 2015 to Jul 17, 2015
    • Advisory employees · 5 to 4
      Feb 2, 2015 to Jul 17, 2015
    • BD registered reps · 5 to 4
      Feb 2, 2015 to Jul 17, 2015
    Signals
    1 dated events
    • B••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Jan 21, 2015 · 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.
    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