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••••• C•••• C•••••• M••••••••• L••
Latest filing Mar 7, 2025
First filing on the tape Mar 28, 2012 · 19 filings
SEC status approved since Jun 27, 2006
RAUM
$471M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$465M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$471M as of Mar 7, 2025
Mar 28, 2012$154M then
HNW client RAUM$134M as of Mar 7, 2025
Mar 17, 2018$57.1M then
State-registered IARs (5.B.3)3 as of Mar 7, 2025
Mar 28, 20120 then
Employees (5.A)5 as of Mar 7, 2025
Jan 25, 20133 then
Private funds: no history
RAUM +14% over the last fiscal year+2.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 7, 2025; every figure names its basis
- RAUM per advisor
- $157MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 111derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.9MderivedHNW RAUM over HNW clients
- Average account
- $506,006derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 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
- +3.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$331M70%
- High-net-worth individuals$134M28%
- Corporations and businesses$5.8M1.2%
- Charitable organizations$226,7920.0%
- Individual clients
- 315reported
- HNW clients
- 17reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 930reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- L••• E••••• B•••••• to W•••••• A•••••••• L••Dec 9, 2025 · RIA to RIA
- B•••• N••••• P••••• to W•••••• A•••••••• L••Dec 9, 2025 · RIA to RIA
- S•••• T••••• M•••• to W•••••• A•••••••• L••Dec 9, 2025 · RIA to RIA
- J••••• B•••• H••••• to S•••••••• W••••• M••••••••• L••Jan 2, 2020 · RIA to a state-registered adviser
Joined, latest
- B•••• N••••• P••••• from W••••• A•••• M•••••••••Sep 11, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for W•••••• A•••••••• L••Dec 9, 2025 · West Barnstable, Ma · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• B••••• N••••• · Sole Member, Chief Compliance Officercontrolsince 05/2006 · owns 75% or more
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 |
|---|---|---|---|---|---|
| West Barnstable, Ma · principal | 0 | 0 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 909 to 930Mar 14, 2024 to Mar 7, 2025
- Charity clients · 3 to 2Mar 14, 2024 to Mar 7, 2025
- Corporate clients · 2 to 3Mar 14, 2024 to Mar 7, 2025
- HNW clients · 12 to 17Mar 14, 2024 to Mar 7, 2025
- Individual clients · 310 to 315Mar 14, 2024 to Mar 7, 2025
- Financial planning clients · unset to Mar 14, 2024 to Mar 7, 2025
- Discretionary RAUM · $414M to $471MMar 14, 2024 to Mar 7, 2025
- HNW RAUM · $95.0M to $134MMar 14, 2024 to Mar 7, 2025
- Individual RAUM · $315M to $331MMar 14, 2024 to Mar 7, 2025
- RAUM · $414M to $471MMar 14, 2024 to Mar 7, 2025
- Accounts · 886 to 909Mar 10, 2023 to Mar 14, 2024
- Advisory employees · 2 to 3Mar 10, 2023 to Mar 14, 2024
- Charity clients · 4 to 3Mar 10, 2023 to Mar 14, 2024
- Corporate clients · 1 to 2Mar 10, 2023 to Mar 14, 2024
- Individual clients · 297 to 310Mar 10, 2023 to Mar 14, 2024
- Employees · 6 to 5Mar 10, 2023 to Mar 14, 2024
- State-registered IARs · 2 to 3Mar 10, 2023 to Mar 14, 2024
- Discretionary RAUM · $372M to $414MMar 10, 2023 to Mar 14, 2024
- HNW RAUM · $86.4M to $95.0MMar 10, 2023 to Mar 14, 2024
- Individual RAUM · $281M to $315MMar 10, 2023 to Mar 14, 2024
- RAUM · $372M to $414MMar 10, 2023 to Mar 14, 2024
- Accounts · 305 to 886Mar 17, 2022 to Mar 10, 2023
- Charity clients · 3 to 4Mar 17, 2022 to Mar 10, 2023
- Individual clients · 288 to 297Mar 17, 2022 to Mar 10, 2023
- Pension plan clients · 1 to 0Mar 17, 2022 to Mar 10, 2023
- Discretionary RAUM · $432M to $372MMar 17, 2022 to Mar 10, 2023
- HNW RAUM · $112M to $86.4MMar 17, 2022 to Mar 10, 2023
- Individual RAUM · $312M to $281MMar 17, 2022 to Mar 10, 2023
- Pension RAUM · $3.6M to $0Mar 17, 2022 to Mar 10, 2023
- RAUM · $432M to $372MMar 17, 2022 to Mar 10, 2023
- Accounts · 281 to 305Mar 18, 2021 to Mar 17, 2022
- Charity clients · 4 to 3Mar 18, 2021 to Mar 17, 2022
- HNW clients · 9 to 12Mar 18, 2021 to Mar 17, 2022
- Individual clients · 266 to 288Mar 18, 2021 to Mar 17, 2022
- Discretionary RAUM · $356M to $432MMar 18, 2021 to Mar 17, 2022
- HNW RAUM · $77.5M to $112MMar 18, 2021 to Mar 17, 2022
- Individual RAUM · $268M to $312MMar 18, 2021 to Mar 17, 2022
- Pension RAUM · $3.9M to $3.6MMar 18, 2021 to Mar 17, 2022
- RAUM · $356M to $432MMar 18, 2021 to Mar 17, 2022
- Accounts · 314 to 281Jun 17, 2020 to Mar 18, 2021
Signals
5 dated events
- B••••• C•••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $470.6M)Mar 2, 2026 · Left the SEC roster · derived
- L••• E••••• B•••••• left B••••• C•••• C•••••• M••••••••• L•• for W•••••• A•••••••• L•• (registered 2025-11-07)Dec 9, 2025 · Advisor changed firm · fact
- B•••• N••••• P••••• left B••••• C•••• C•••••• M••••••••• L•• for W•••••• A•••••••• L•• (registered 2025-11-07)Dec 9, 2025 · Advisor changed firm · fact
- S•••• T••••• M•••• left B••••• C•••• C•••••• M••••••••• L•• for W•••••• A•••••••• L•• (registered 2025-11-07)Dec 9, 2025 · Advisor changed firm · fact
- B••••• C•••• C•••••• M••••••••• L••'s advisors moved to W•••••• A•••••••• L•• (West Barnstable, MA): 3 of 3 registered, on the same dayDec 9, 2025 · Firm absorbed (people side) · derived
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