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.
SEC-registered adviser
Bespoke Investment Group, LLC
Latest filing Mar 5, 2026
First filing on the tape Jan 11, 2021 · 20 filings
SEC status approved since Feb 11, 2021
RAUM
$101M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$101M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$20.3M
derived; firm RAUM over IAPD count
Employees
6
5 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$101M as of Mar 5, 2026
Mar 3, 2021$44.3M then
HNW client RAUM$96.0M as of Mar 5, 2026
Mar 3, 2021$38.0M then
State-registered IARs (5.B.3)5 as of Mar 5, 2026
Mar 3, 20210 then
Employees (5.A)6 as of Mar 5, 2026
Mar 3, 20214 then
Private funds: no history
RAUM +31% over the last fiscal year+35% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $20.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $851,450derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assets, subscriptionreportedItem 5.E
- Advisory activities
- portfolio management for individuals, publicationsreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$96.0M95%
- Individuals$5.3M5.2%
- Individual clients
- 14reported
- HNW clients
- 45reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 119reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jake Louis Gordon | Harrison, Ny | May 26, 2021 | 15 y | 0 |
| Justin Todd Walters | Harrison, Ny | Jul 12, 2021 | 19 y | 0 |
| Paul Timothy Hickey | Harrison, Ny | Jul 12, 2021 | 28 y | 0 |
| Francis Joseph Conway | Harrison, Ny | Jul 1, 2022 | 35 y | 1 |
| Jack David Saltus | Harrison, Ny | Sep 18, 2024 | 14 y | 0 |
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 headcount1 left over 36 months
Left, latest
- Robert Funk to Independent Financial PartnersMay 22, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- Robert Funk from Navellier & Associates IncApr 19, 2024 · RIA to RIA
- Francis Joseph Conway from Morgan StanleyJul 1, 2022 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Timothy Paul Hickey · Principalcontrolsince 05/2007 · owns 50% to 75%
- Justin Walters · Principal/Chief Compliance Officercontrolsince 05/2007 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Harrison, Ny · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 100 to 119Mar 10, 2025 to Mar 5, 2026
- HNW clients · 42 to 45Mar 10, 2025 to Mar 5, 2026
- Discretionary RAUM · $77.4M to $101MMar 10, 2025 to Mar 5, 2026
- HNW RAUM · $73.0M to $96.0MMar 10, 2025 to Mar 5, 2026
- Individual RAUM · $4.3M to $5.3MMar 10, 2025 to Mar 5, 2026
- RAUM · $77.4M to $101MMar 10, 2025 to Mar 5, 2026
- Accounts · 81 to 100Aug 29, 2024 to Mar 10, 2025
- HNW clients · 35 to 42Aug 29, 2024 to Mar 10, 2025
- Individual clients · 13 to 14Aug 29, 2024 to Mar 10, 2025
- Financial planning clients · 0 to 0Aug 29, 2024 to Mar 10, 2025
- Discretionary RAUM · $51.2M to $77.4MAug 29, 2024 to Mar 10, 2025
- HNW RAUM · $47.4M to $73.0MAug 29, 2024 to Mar 10, 2025
- Individual RAUM · $3.8M to $4.3MAug 29, 2024 to Mar 10, 2025
- RAUM · $51.2M to $77.4MAug 29, 2024 to Mar 10, 2025
- Advisory employees · 4 to 5Apr 22, 2024 to Aug 29, 2024
- State-registered IARs · 4 to 5Apr 22, 2024 to Aug 29, 2024
- Accounts · 80 to 81Sep 20, 2023 to Mar 15, 2024
- HNW clients · 33 to 35Sep 20, 2023 to Mar 15, 2024
- Individual clients · 15 to 13Sep 20, 2023 to Mar 15, 2024
- Employees · 5 to 6Sep 20, 2023 to Mar 15, 2024
- Discretionary RAUM · $41.0M to $51.2MSep 20, 2023 to Mar 15, 2024
- HNW RAUM · $37.0M to $47.4MSep 20, 2023 to Mar 15, 2024
- Individual RAUM · $4.0M to $3.8MSep 20, 2023 to Mar 15, 2024
- RAUM · $41.0M to $51.2MSep 20, 2023 to Mar 15, 2024
- Accounts · 79 to 80Sep 19, 2022 to Mar 7, 2023
- HNW clients · 38 to 33Sep 19, 2022 to Mar 7, 2023
- Individual clients · 8 to 15Sep 19, 2022 to Mar 7, 2023
- Discretionary RAUM · $54.4M to $41.0MSep 19, 2022 to Mar 7, 2023
- HNW RAUM · $51.5M to $37.0MSep 19, 2022 to Mar 7, 2023
- Individual RAUM · $2.9M to $4.0MSep 19, 2022 to Mar 7, 2023
- RAUM · $54.4M to $41.0MSep 19, 2022 to Mar 7, 2023
- Advisory employees · 5 to 4Jul 6, 2022 to Sep 19, 2022
- Employees · 6 to 5Jul 6, 2022 to Sep 19, 2022
- State-registered IARs · 5 to 4Jul 6, 2022 to Sep 19, 2022
- Advisory employees · 4 to 5Jun 21, 2022 to Jul 6, 2022
- Employees · 5 to 6Jun 21, 2022 to Jul 6, 2022
- State-registered IARs · 4 to 5Jun 21, 2022 to Jul 6, 2022
- Accounts · 76 to 79Dec 6, 2021 to Mar 4, 2022
- HNW clients · 26 to 38Dec 6, 2021 to Mar 4, 2022
- Individual clients · 16 to 8Dec 6, 2021 to Mar 4, 2022
Signals
2 dated events
- Robert Funk left Bespoke Investment Group, Llc for Independent Financial Partners (registered 2026-01-02)May 22, 2025 · Advisor changed firm · fact
- Bespoke Investment Group, Llc filed its initial SEC registration (Form ADV)Jan 11, 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 phone
- 914-315-1248reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/bespoke-investment-groupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- bespokepremium.com/wealthmanagementreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 914-315-1248reportedpublic record, Form ADV, Mar 5, 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
- $20.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026