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
M•••••• A•••••• A••••••• L••
Latest filing Jul 27, 2026
First filing on the tape Dec 21, 2011 · 151 filings
SEC status approved since Feb 27, 2007
RAUM
$995B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$899B individuals and HNW
Advisors
26
registered through the firm on IAPD
RAUM per advisor
$38B
derived; firm RAUM over IAPD count
Employees
61
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
151 filings and snapshots on the tape
RAUM$995B as of Jul 27, 2026
Feb 28, 2012$88B then
HNW client RAUM$649B as of Jul 27, 2026
Mar 26, 2018$110B then
State-registered IARs (5.B.3)25 as of Jul 27, 2026
Apr 1, 201320 then
Employees (5.A)61 as of Jul 27, 2026
Apr 1, 201362 then
Private funds: no history
RAUM +20% over the last fiscal year+20% a year over threeIARs 24 to 25
Practice profile
derived from the filing of Jul 27, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $38BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54,369derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $448,100derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 26.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +4.2%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $947BreportedItem 5.I
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$649B65%
- Individuals$250B25%
- Corporations and businesses$52B5.2%
- Charitable organizations$26B2.6%
- Pension and profit-sharing plans$17B1.7%
- Insurance companies$825M0.1%
- Individual clients
- 1,040,100reported
- HNW clients
- 373,481reported
- Pension plan clients
- 12,319reported
- Charitable clients
- 4,927reported
- Accounts
- 2,220,463reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.04 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
26 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••••• M••••• | Jersey City, Nj | Sep 29, 2007 | 28 y | 0 |
| C•••• M• L••••••• | Jersey City, Nj | Oct 15, 2008 | 36 y | 1 |
| C•••••• A• M••••• | Jersey City, Nj | Oct 22, 2008 | 22 y | 2 |
| J••• J••••• C•••••• | Jersey City, Nj | Oct 30, 2008 | 34 y | 1 |
| E•••• M••••••••• | Jersey City, Nj | Dec 15, 2008 | 21 y | 2 |
| J•••• C• O•••• | Jersey City, Nj | Oct 22, 2009 | 25 y | 0 |
| T••••••• J••• B•••• | Jersey City, Nj | Feb 4, 2010 | 29 y | 0 |
| M•••••• S•••• B••• | Jersey City, Nj | Jul 19, 2010 | 25 y | 0 |
| T•••••• F•••••• G•••••• | Jersey City, Nj | Nov 15, 2010 | 33 y | 1 |
| S•••••• P••• S•••• | Jersey City, Nj | Jan 8, 2013 | 16 y | 0 |
| R••••••••• J•••• | Jersey City, Nj | Feb 4, 2014 | 15 y | 0 |
| K••• R••••• N••••••• | Jersey City, Nj | Apr 17, 2015 | 12 y | 0 |
| R••••• S•••••• V•• P••• | Jersey City, Nj | Jan 9, 2017 | 24 y | 1 |
| M•••••• C••• | Jersey City, Nj | Jul 10, 2017 | 10 y | 0 |
| T•••••• M••••• | Jersey City, Nj | Aug 30, 2017 | 11 y | 1 |
| A•••••••• K•••• | Jersey City, Nj | Feb 22, 2019 | 12 y | 0 |
| K••••••• R••• D•••••• | Jersey City, Nj | Feb 11, 2021 | 10 y | 1 |
| M•••••• J• M••••• | Jersey City, Nj | Feb 2, 2022 | 15 y | 1 |
| J••••• D••••• | Jersey City, Nj | Feb 18, 2022 | 10 y | 0 |
| V•••••• M• C••••••• | Jersey City, Nj | Jul 11, 2022 | 13 y | 1 |
| M•••• M••••••••• | Jersey City, Nj | Jan 24, 2023 | 14 y | 0 |
| G••••• M•••••••• | Jersey City, Nj | May 8, 2023 | 12 y | 1 |
| J••••• T••••• L•••••• T•• | Jersey City, Nj | Feb 12, 2025 | 11 y | 1 |
| J••••• R••••• C••••• | Jersey City, Nj | Mar 11, 2026 | 13 y | 1 |
| C•••• Z••• | Jersey City, Nj | Jun 1, 2026 | 13 y | 1 |
| Y•••••• W•• | Jersey City, Nj | Aug 5, 2026 | 11 y | 1 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 3.8% of current headcount1 left over 36 months
Left, latest
- E••• J• G••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 29, 2026 · RIA to wirehouse
- M••• H••••• to C•••••••Aug 27, 2021 · Other
- A•••••• D•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 22, 2021 · RIA to wirehouse
- C•••• A•••••••• A•••• to S••••• F••••••••• L••Mar 5, 2019 · RIA to affiliated broker-dealer or bank
- J•••• R••••• S•••••••• to H••••••• F••••Feb 26, 2018 · Other
- C••••• N•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 20, 2017 · Other
- B•••• T••••• B••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 10, 2016 · Other
- G••• Q•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 13, 2016 · Other
- R••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 26, 2014 · Other
- J•••• M••• L•••• to C••••••••• I••••••••• L••Nov 1, 2012 · Other
- B•••• W••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 28, 2011 · Other
- C•••••• W•••••• to R••••••••• C•••••• M•••••••••May 20, 2010 · Other
- N•••••• P•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 4, 2009 · Other
Joined, latest
- Y•••••• W•• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 5, 2026 · Wirehouse to independent RIA
- C•••• Z••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 1, 2026 · Wirehouse to independent RIA
- J••••• R••••• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 11, 2026 · Wirehouse to independent RIA
- E••• J• G••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 4, 2025 · Wirehouse to independent RIA
- V•••••• M• C••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 11, 2022 · Wirehouse to independent RIA
- M•••••• J• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 2, 2022 · Wirehouse to independent RIA
- K••••••• R••• D•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 11, 2021 · Wirehouse to independent RIA
- T•••••• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 30, 2017 · Other
- R••••• S•••••• V•• P••• from M••••• S••••••Jan 9, 2017 · Other
- A•••••• D•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 29, 2016 · Other
- J•••• R••••• S•••••••• from S•••••••• A••••••• L••Dec 26, 2014 · Other
- G••• Q•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 31, 2013 · Other
- R••••• S•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 31, 2013 · Other
- T•••••• F•••••• G•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 15, 2010 · Other
- E•••• M••••••••• from B•••••••• I••••••••• M••••••••• L••Dec 15, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• M••••••• S•••• · Vice President And Chief Operating Officercontrolsince 02/2009 · owns less than 5%
- C••••••• J•••• J••••• · President And Directorcontrolsince 03/2011 · owns less than 5%
- F••••• N••••• M•••• · Directorcontrolsince 03/2023 · owns less than 5%
- G•••• A•••••• E• · Directorcontrolsince 11/2022 · owns less than 5%
- G•••••••• M•••• A• · Directorcontrolsince 11/2022 · owns less than 5%
- M••••••• K•••• D••••• · Directorcontrolsince 08/2024 · owns less than 5%
- P•••••• M••••••• J••• · Directorcontrolsince 06/2024 · owns less than 5%
- L••••• J••••• B••••••• · Chief Legal Officersince 01/2014 · owns less than 5%
- R•••• T••••••• P•••• · Chief Financial Officersince 04/2022 · owns less than 5%
- T•••••• C•••••• A•••••• · Chief Compliance Officersince 03/2021 · owns less than 5%
Entity owners
- M•••••• L••••• P•••••• F••••• • · Sole Memberdirect · owns 75% or more
- B•• N•••• A•••••• H•••••• C•••••• · Sole Shareholderindirect · owns 75% or more of M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
- B••• O• A•••••• C••••••••• · Sole Shareholderindirect · owns 75% or more of N• H••••••• C••••••••• · public reporting company
- N• H••••••• C••••••••• · Sole Shareholderindirect · owns 75% or more of B•• N•••• A•••••• H•••••• C••••••
Related persons
Schedule D 7.A
- B••• O• A•••••• S••••••••• A••• L••••••broker-dealern
- B••• O• A•••••• C••••••••• N••••••• A•••••••••n
- B••• O• A•••••• E••••• D••••••••• A••••••• C••••••n
- B••• O• A•••••• M••••••• B•••••n
- B••• O• A•••••• M•••••• L•••• B•••• M••••••• S•••n
- B••• O• A•••••• M•••••• S•••• I••••••••• D• B•••• M•••••••n
- B••• O• A•••••• S•••••••• L••••••broker-dealern
- B••• O• A•••••• Y•••••• B••• A•••broker-dealern
- B••• O• A••••••• N••••••• A•••••••••broker-dealerCPO or CTAcustodiann
- B••• S••••••••• E••••• S•broker-dealerCPO or CTAn
- B••• S••••••••• I•••• L••••••broker-dealertrust companyinvestment companyn
- B••• S••••••••• J•••• C••• L•••broker-dealertrust companyinvestment companyreal estaten
- B••• S••••••••• P••••• I•••broker-dealern
- B••• S••••••••• I•••broker-dealerinvestment advisertrust companyn
- M•••••• L•••• •••• P••••••• L••••••broker-dealern
- M•••••• L•••• ••••••••• F•••••• L••••••broker-dealertrust companyn
- M•••••• L•••• ••••••••• P••• L•••broker-dealertrust companycustodiann
- M•••••• L•••• A•••••••• S•••broker-dealertrust companyn
- M•••••• L•••• B••• A•• T•••• C•••••• ••••••• L••••••broker-dealern
- M•••••• L•••• C••••• I•••broker-dealertrust companyn
- M•••••• L•••• C••••••••• D• B•••• S••broker-dealertrust companyn
- M•••••• L•••• E••••••• ••••••••• L••••••broker-dealern
- M•••••• L•••• F•• E••• L••••••broker-dealertrust companycustodiann
- M•••••• L•••• I•••••••••broker-dealerCPO or CTAn
- M•••••• L•••• I••••••••• L•••••••• B•••••broker-dealertrust companyn
- M•••••• L•••• L••• A••••• I••• ••••••••real estatey
- M•••••• L•••• L••• A••••• I••• •••••• R••••real estatey
- M•••••• L•••• L••• A••••• I••• •••••• I•••••••real estatey
- M•••••• L•••• L••• A••••• I••• •••••••••real estatey
- M•••••• L•••• M•••••• ••••••••• P••• L••••••broker-dealern
Advisers that list M•••••• A•••••• A••••••• L•• as a related person
- 7691 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Jersey City, Nj · principal | 26 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Jul 27, 2026private clients per advisor of 54,368.5 against a peer median of 82.6 (56 comparable advisers, 100.0th percentile, 641.6 robust deviations)peers: independent wealth managers, $20B and over (56) · 100% percentile
- very high RAUM per advisorStatic outlier · filing Jul 27, 2026RAUM per registered advisor of $38,268,840,583 against a peer median of $548,735,690 (67 comparable advisers, 100.0th percentile, 61.3 robust deviations)peers: independent wealth managers, $20B and over (67) · 100% percentile
- large related person networkStatic outlier · filing Jul 27, 2026related persons on Schedule D 7.A of 39.0 against a peer median of 11.0 (55 comparable advisers, 98.0th percentile, 3.1 robust deviations)peers: independent wealth managers, $20B and over (55) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 2,028,672 to 2,220,463Jan 5, 2026 to Mar 20, 2026
- Advisory employees · 24 to 25Jan 5, 2026 to Mar 20, 2026
- Charity clients · 4,590 to 4,927Jan 5, 2026 to Mar 20, 2026
- Corporate clients · 13,706 to 15,280Jan 5, 2026 to Mar 20, 2026
- HNW clients · 323,096 to 373,481Jan 5, 2026 to Mar 20, 2026
- Individual clients · 977,181 to 1,040,100Jan 5, 2026 to Mar 20, 2026
- Pension plan clients · 12,055 to 12,319Jan 5, 2026 to Mar 20, 2026
- State-registered IARs · 24 to 25Jan 5, 2026 to Mar 20, 2026
- Discretionary RAUM · $830B to $995BJan 5, 2026 to Mar 20, 2026
- HNW RAUM · $526B to $649BJan 5, 2026 to Mar 20, 2026
- Individual RAUM · $220B to $250BJan 5, 2026 to Mar 20, 2026
- Pension RAUM · $15B to $17BJan 5, 2026 to Mar 20, 2026
- RAUM · $830B to $995BJan 5, 2026 to Mar 20, 2026
- Accounts · 1,840,565 to 2,028,672Oct 18, 2024 to Apr 10, 2025
- Charity clients · 3,396 to 4,590Oct 18, 2024 to Apr 10, 2025
- Corporate clients · 13,030 to 13,706Oct 18, 2024 to Apr 10, 2025
- HNW clients · 278,637 to 323,096Oct 18, 2024 to Apr 10, 2025
- Individual clients · 908,633 to 977,181Oct 18, 2024 to Apr 10, 2025
- Pension plan clients · 11,407 to 12,055Oct 18, 2024 to Apr 10, 2025
- Financial planning clients · unset to Oct 18, 2024 to Apr 10, 2025
- Discretionary RAUM · $692B to $830BOct 18, 2024 to Apr 10, 2025
- HNW RAUM · $423B to $526BOct 18, 2024 to Apr 10, 2025
- Individual RAUM · $195B to $220BOct 18, 2024 to Apr 10, 2025
- Pension RAUM · $12B to $15BOct 18, 2024 to Apr 10, 2025
- RAUM · $692B to $830BOct 18, 2024 to Apr 10, 2025
- Accounts · 1,736,317 to 1,840,565Jan 5, 2024 to Mar 22, 2024
- Advisory activities · 4 to 3Jan 5, 2024 to Mar 22, 2024
- Charity clients · 3,097 to 3,396Jan 5, 2024 to Mar 22, 2024
- Corporate clients · 23,107 to 13,030Jan 5, 2024 to Mar 22, 2024
- HNW clients · 242,429 to 278,637Jan 5, 2024 to Mar 22, 2024
- Individual clients · 882,959 to 908,633Jan 5, 2024 to Mar 22, 2024
- Pension plan clients · 221 to 11,407Jan 5, 2024 to Mar 22, 2024
- Pooled vehicle clients · 3 to 0Jan 5, 2024 to Mar 22, 2024
- Employees · 64 to 61Jan 5, 2024 to Mar 22, 2024
- Discretionary RAUM · $576B to $692BJan 5, 2024 to Mar 22, 2024
- HNW RAUM · $342B to $423BJan 5, 2024 to Mar 22, 2024
- Individual RAUM · $173B to $195BJan 5, 2024 to Mar 22, 2024
- Pension RAUM · $1.3B to $12BJan 5, 2024 to Mar 22, 2024
- Pooled vehicle RAUM · $3.1M to $0Jan 5, 2024 to Mar 22, 2024
- RAUM · $576B to $692BJan 5, 2024 to Mar 22, 2024
Signals
14 dated events
- E••• J• G••••••• left M•••••• A•••••• A••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-04-02)Apr 29, 2026 · Advisor changed firm · fact
- D••••• K••• M•••••• (Director) appeared on Schedule A of M•••••• A•••••• A••••••• L••Aug 16, 2024 · Control person joined · fact
- Lynn Deborah Bailey (Director) no longer on Schedule A of M•••••• A•••••• A••••••• L•• (listed 2024-07-25, absent 2024-08-16)Aug 16, 2024 · Control person left · inference
- J K•••••• S•••••• (Director) no longer on Schedule A of M•••••• A•••••• A••••••• L•• (listed 2024-03-22, absent 2024-07-09)Jul 9, 2024 · Control person left · inference
- John M•••••• P••••• (Director) appeared on Schedule A of M•••••• A•••••• A••••••• L••Jul 9, 2024 · Control person joined · fact
- David Keith Glenfield (Director) no longer on Schedule A of M•••••• A•••••• A••••••• L•• (listed 2023-03-20, absent 2023-04-05)Apr 5, 2023 · Control person left · inference
- Monir N•••• F•••• (Director) appeared on Schedule A of M•••••• A•••••• A••••••• L••Apr 5, 2023 · Control person joined · fact
- Rose Lorna Sabbia (Director) no longer on Schedule A of M•••••• A•••••• A••••••• L•• (listed 2022-11-11, absent 2022-11-18)Nov 18, 2022 · Control person left · inference
- K•••••• S•••••• (Director) appeared on Schedule A of M•••••• A•••••• A••••••• L••Nov 18, 2022 · Control person joined · fact
- A M••• G••••••• (Director) appeared on Schedule A of M•••••• A•••••• A••••••• L••Nov 18, 2022 · Control person joined · fact
- E A••••• E G••• (Director) appeared on Schedule A of M•••••• A•••••• A••••••• L••Nov 18, 2022 · Control person joined · fact
- M•••••• A•••••• A••••••• L•• reported RAUM $662.4B, up 25% from $529.5B (2021-03-22 to 2022-03-21)Mar 21, 2022 · RAUM change · derived
- M•••••• A•••••• A••••••• L•• reported RAUM $446.6B, up 30% from $342.4B (2019-11-01 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
- M•••••• A•••••• A••••••• L•• reported RAUM $337.8B, up 32% from $255.7B (2018-02-09 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
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
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/B•••-OF-A••••••-M••••••-L••reportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/B•••-OF-A••••••-BUSINESSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- careers.bankofamerica.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 201-557-0504reportedpublic record, Form ADV, Jul 27, 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
- $38Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026