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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
B••••• L••••••••• I••
Legal name B••••• L••••••••• I•••
Latest filing Jun 26, 2026
First filing on the tape Apr 6, 2021 · 13 filings
SEC status approved since May 6, 2021
RAUM
$487M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$477M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$60.9M
derived; firm RAUM over IAPD count
Employees
13
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$487M as of Jun 26, 2026
Mar 8, 2022$264M then
HNW client RAUM$421M as of Jun 26, 2026
Mar 8, 2022$228M then
State-registered IARs (5.B.3)8 as of Jun 26, 2026
Mar 8, 20227 then
Employees (5.A)13 as of Jun 26, 2026
Mar 8, 202212 then
Private funds: no history
RAUM +18% over the last fiscal year+27% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Jun 26, 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
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $60.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $994,529derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $487MreportedItem 5.I
- Custody
- $184M, 100 clientsreportedItem 9.A
- 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)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$421M86%
- Individuals$55.7M11%
- Corporations and businesses$10.5M2.1%
- Individual clients
- 119reported
- HNW clients
- 107reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 490reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $184M for 100 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• S••••• L•••• | Providence, Ri | Nov 10, 2006 | 31 y | 1 |
| M•••• A•• T••••••••• P••••• | Providence, Ri | Nov 10, 2006 | 30 y | 1 |
| J••••• H••• M•••••Certified Financial Planner | Providence, Ri | May 8, 2007 | 33 y | 0 |
| D•••• A•••••• I••• | Providence, Ri | May 25, 2007 | 36 y | 0 |
| L•••• G••••• M••••• | Providence, Ri | Jul 5, 2007 | 42 y | 0 |
| M••• H••••••• C••••• | Providence, Ri | Sep 15, 2009 | 23 y | 0 |
| C••••••• B•••••• T•••• | Providence, Ri | Nov 28, 2012 | 35 y | 0 |
| N•••••••• B••••••• H•••Certified Financial Planner | Providence, Ri | Feb 17, 2026 | 22 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- B•••• A••••• H••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 5, 2012 · Other
Joined, latest
- N•••••••• B••••••• H••• from N•••••••• P••••••• A••••••••• I•••Feb 17, 2026 · RIA to RIA
- B•••• A••••• H••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 30, 2009 · Wirehouse to independent RIA
- S•••• S••••• L•••• from D••• D••••••• • C••Nov 10, 2006 · Other
- M•••• A•• T••••••••• P••••• from S•••••• • P••••••• W••••• M••••••••• L••Nov 10, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I•••• D•••• A•••••• · President; Secretary; Treasurer; Chief Compliance Officercontrolsince 01/1997 · owns 10% to 25%
- L••••• S•••• S••••• · Vice Presidentcontrolsince 01/2008 · owns 10% to 25%
- M••••••••• J••• A••••• · Vice Presidentcontrolsince 01/1997 · owns 10% to 25%
- M•••••• J••••• H••• J• · Vice Presidentcontrolsince 01/2011 · owns 10% to 25%
- M•••••• L•••• G••••• J• · Vice Presidentcontrolsince 01/2001 · owns 10% to 25%
- T••••• C••••••• B•••••• J• · Vice Presidentcontrolsince 01/2022 · owns 10% to 25%
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 | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 445 to 490Mar 3, 2025 to Mar 10, 2026
- Advisory employees · 7 to 8Mar 3, 2025 to Mar 10, 2026
- BD registered reps · 7 to 8Mar 3, 2025 to Mar 10, 2026
- Corporate clients · 9 to 12Mar 3, 2025 to Mar 10, 2026
- HNW clients · 117 to 107Mar 3, 2025 to Mar 10, 2026
- Individual clients · 106 to 119Mar 3, 2025 to Mar 10, 2026
- Assets in custody · $158M to $184MMar 3, 2025 to Mar 10, 2026
- Employees · 12 to 13Mar 3, 2025 to Mar 10, 2026
- State-registered IARs · 7 to 8Mar 3, 2025 to Mar 10, 2026
- Discretionary RAUM · $408M to $481MMar 3, 2025 to Mar 10, 2026
- HNW RAUM · $355M to $421MMar 3, 2025 to Mar 10, 2026
- Individual RAUM · $50.3M to $55.7MMar 3, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $6.5M to $6.7MMar 3, 2025 to Mar 10, 2026
- RAUM · $415M to $487MMar 3, 2025 to Mar 10, 2026
- Accounts · 385 to 445Feb 13, 2024 to Mar 3, 2025
- Corporate clients · 10 to 9Feb 13, 2024 to Mar 3, 2025
- HNW clients · 94 to 117Feb 13, 2024 to Mar 3, 2025
- Individual clients · 93 to 106Feb 13, 2024 to Mar 3, 2025
- Assets in custody · $66.8M to $158MFeb 13, 2024 to Mar 3, 2025
- Financial planning clients · 0 to 0Feb 13, 2024 to Mar 3, 2025
- Discretionary RAUM · $337M to $408MFeb 13, 2024 to Mar 3, 2025
- HNW RAUM · $298M to $355MFeb 13, 2024 to Mar 3, 2025
- Individual RAUM · $41.7M to $50.3MFeb 13, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $5.9M to $6.5MFeb 13, 2024 to Mar 3, 2025
- RAUM · $343M to $415MFeb 13, 2024 to Mar 3, 2025
- Accounts · 307 to 385May 31, 2023 to Feb 13, 2024
- Corporate clients · unset to 10.0May 31, 2023 to Feb 13, 2024
- HNW clients · 73 to 94May 31, 2023 to Feb 13, 2024
- Individual clients · 92 to 93May 31, 2023 to Feb 13, 2024
- Assets in custody · $50.6M to $66.8MMay 31, 2023 to Feb 13, 2024
- Discretionary RAUM · $232M to $337MMay 31, 2023 to Feb 13, 2024
- HNW RAUM · $204M to $298MMay 31, 2023 to Feb 13, 2024
- Individual RAUM · $34.1M to $41.7MMay 31, 2023 to Feb 13, 2024
- Non-discretionary RAUM · $6.6M to $5.9MMay 31, 2023 to Feb 13, 2024
- RAUM · $239M to $343MMay 31, 2023 to Feb 13, 2024
- Accounts · 142 to 307Nov 1, 2022 to Mar 9, 2023
- HNW clients · 67 to 73Nov 1, 2022 to Mar 9, 2023
- Individual clients · 72 to 92Nov 1, 2022 to Mar 9, 2023
- Assets in custody · $40.7M to $50.6MNov 1, 2022 to Mar 9, 2023
- Discretionary RAUM · $255M to $232MNov 1, 2022 to Mar 9, 2023
Signals
3 dated events
- B••••• L••••••••• I•• reported RAUM $342.8M, up 44% from $238.8M (2023-05-31 to 2024-02-13)Feb 13, 2024 · RAUM change · derived
- Clifford Burrell Jr Tracy (Vice President) appeared on Schedule A of B••••• L••••••••• I••Mar 8, 2022 · Control person joined · fact
- B••••• L••••••••• I•• filed its initial SEC registration (Form ADV)Apr 6, 2021 · 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
- info@brownlc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jknowles@brownlc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jmarginson@brownlc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 401-421-8900reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-457-4293reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 401-521-2960reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- B••••LC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 401-421-8900reportedpublic record, Form ADV, Jun 26, 2026
- Team page
- BROWNLC.COM/teamreportedpublished by the firm, firm site, Sep 15, 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
- $60.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026