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•••• R••••••••• S••••••••• L••
Latest filing Sep 1, 2026
First filing on the tape Jun 6, 2013 · 21 filings
SEC status approved since Jun 17, 2013
RAUM
$39.6M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$39.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$39.6M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$39.6M as of Apr 15, 2026
Mar 12, 2014$35.0M then
HNW client RAUM$22.2M as of Apr 15, 2026
Feb 22, 2018$17.4M then
State-registered IARs (5.B.3)1 as of Apr 15, 2026
Mar 12, 20140 then
Employees (5.A)1 as of Apr 15, 2026
Mar 12, 20141 then
Private funds: no history
RAUM +6.1% over the last fiscal year+3.7% a year over threeIARs 0 to 1offices 1 to 0
Practice profile
derived from the filing of Sep 1, 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
- $39.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $388,556derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $39.6M, 54 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
- 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 cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$22.2M56%
- Individuals$17.5M44%
- Individual clients
- 43reported
- HNW clients
- 11reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 102reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $39.6M for 54 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• A••••• L••••Certified Financial Planner | The Villages, Fl | Mar 22, 2021 | 33 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• W••••••• A••••• · Principal & Managing Partner & Chief Compliance Officercontrolsince 07/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Apr 15, 2026 to Sep 1, 2026
- HQ city · to unsetApr 15, 2026 to Sep 1, 2026
- HQ state · to unsetApr 15, 2026 to Sep 1, 2026
- Related adviser · false to unsetApr 15, 2026 to Sep 1, 2026
- Related bank · false to unsetApr 15, 2026 to Sep 1, 2026
- Related broker-dealer · false to unsetApr 15, 2026 to Sep 1, 2026
- Related insurance company · false to unsetApr 15, 2026 to Sep 1, 2026
- Succession · false to unsetApr 15, 2026 to Sep 1, 2026
- Assets in custody · unset to 39632747.0Jan 19, 2026 to Mar 23, 2026
- Custody of client assets · false to trueJan 19, 2026 to Mar 23, 2026
- Other offices · 1 to 0Jan 19, 2026 to Mar 23, 2026
- Accounts · 110 to 102Sep 24, 2025 to Jan 19, 2026
- Individual clients · 44 to 43Sep 24, 2025 to Jan 19, 2026
- State-registered IARs · 0 to 1Sep 24, 2025 to Jan 19, 2026
- HNW RAUM · $20.6M to $22.2MSep 24, 2025 to Jan 19, 2026
- Individual RAUM · $16.7M to $17.5MSep 24, 2025 to Jan 19, 2026
- Non-discretionary RAUM · $37.3M to $39.6MSep 24, 2025 to Jan 19, 2026
- RAUM · $37.3M to $39.6MSep 24, 2025 to Jan 19, 2026
- Accounts · 116 to 110Sep 4, 2024 to Jan 21, 2025
- HNW clients · 12 to 11Sep 4, 2024 to Jan 21, 2025
- Financial planning clients · 1-10 to 1-10Sep 4, 2024 to Jan 21, 2025
- HQ city · unset to Sep 4, 2024 to Jan 21, 2025
- HQ state · unset to Sep 4, 2024 to Jan 21, 2025
- HNW RAUM · $21.0M to $20.6MSep 4, 2024 to Jan 21, 2025
- Individual RAUM · $17.3M to $16.7MSep 4, 2024 to Jan 21, 2025
- Non-discretionary RAUM · $38.3M to $37.3MSep 4, 2024 to Jan 21, 2025
- RAUM · $38.3M to $37.3MSep 4, 2024 to Jan 21, 2025
- Accounts · 117 to 116Feb 6, 2023 to Feb 7, 2024
- HNW clients · 11 to 12Feb 6, 2023 to Feb 7, 2024
- Individual clients · 46 to 44Feb 6, 2023 to Feb 7, 2024
- Financial planning clients · 0 to 1-10Feb 6, 2023 to Feb 7, 2024
- Other offices · 0 to 1Feb 6, 2023 to Feb 7, 2024
- HNW RAUM · $18.4M to $21.0MFeb 6, 2023 to Feb 7, 2024
- Individual RAUM · $17.1M to $17.3MFeb 6, 2023 to Feb 7, 2024
- Non-discretionary RAUM · $35.5M to $38.3MFeb 6, 2023 to Feb 7, 2024
- RAUM · $35.5M to $38.3MFeb 6, 2023 to Feb 7, 2024
- Accounts · 115 to 117Jan 11, 2022 to Feb 6, 2023
- HNW clients · 12 to 11Jan 11, 2022 to Feb 6, 2023
- Individual clients · 45 to 46Jan 11, 2022 to Feb 6, 2023
- HNW RAUM · $23.2M to $18.4MJan 11, 2022 to Feb 6, 2023
Signals
1 dated events
- B••• L•••• R••••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Jun 6, 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
- Business phone
- 518-708-9925reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 833-777-2455reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- B•••L••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 518-708-9925reportedpublic record, Form ADV, Sep 1, 2026
- Contact form
- b••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $39.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026