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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SEC-registered adviser
B•••• I••••••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 15, 2012 · 28 filings
SEC status approved since Oct 24, 2007
RAUM
$847M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
98%
$827M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$106M
derived; firm RAUM over IAPD count
Employees
12
8 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$847M as of Mar 27, 2026
Mar 15, 2012$606M then
HNW client RAUM$753M as of Mar 27, 2026
Mar 15, 2018$576M then
State-registered IARs (5.B.3)8 as of Mar 27, 2026
Mar 15, 20120 then
Employees (5.A)12 as of Mar 27, 2026
Mar 22, 20137 then
Private funds: no history
RAUM +19% over the last fiscal year+8.8% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $558,187derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.9derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.0%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
- $838MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$753M89%
- Individuals$73.9M8.7%
- Pension and profit-sharing plans$14.8M1.7%
- Charitable organizations$4.7M0.6%
- Individual clients
- 209reported
- HNW clients
- 182reported
- Pension plan clients
- 2reported
- Charitable clients
- 5reported
- Accounts
- 1,517reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• J••• B•••• | New Bedford, Ma | Nov 27, 2007 | 23 y | 1 |
| K•••• A•• A••••Certified Financial Planner | New Bedford, Ma | Nov 27, 2007 | 34 y | 0 |
| J••••• M•••••• B••••Chartered Financial Analyst | New Bedford, Ma | Dec 4, 2007 | 38 y | 0 |
| E•••••••• M•••••• G•••••Certified Financial Planner | New Bedford, Ma | May 27, 2010 | 21 y | 1 |
| B•••••• L••• P•••••Certified Financial Planner | New Bedford, Ma | May 2, 2023 | 13 y | 1 |
| T•••• C••••• C•••• | Half Moon Bay, Ca | Aug 30, 2023 | 11 y | 0 |
| W•••••• E••• H•••••• | New Bedford, Ma | Aug 21, 2024 | 11 y | 0 |
| A••••• J••••• S••••• | New Bedford, Ma | Nov 25, 2024 | 9 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 headcount0 left over 36 months
Left, latest
- D••••• S•••• P••••••• to S•••• C•••• P••••••• • W••••• M•••••••••May 17, 2023 · RIA to a state-registered adviser
- K•••••• S••• R••• to B•••••• W••••• P•••••••• L••Dec 1, 2020 · RIA to RIA
- A••••• K•••• M••••••• to W•••••• W••••• A•••••••• I•••Dec 7, 2017 · Other
Joined, latest
- B•••••• L••• P••••• from L•• F•••••••• L••May 2, 2023 · RIA to RIA
- A••••• K•••• M••••••• from G•••• P•••• W••••• A•••••••• L••Jun 29, 2016 · Other
- E•••••••• M•••••• G••••• from C•••••• A••••••• S••••••• I•••May 27, 2010 · Other
- P•••••• J••• B•••• from A• G• E•••••• • S•••• I•••Nov 27, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• K••••• A•• · Presidentcontrolsince 11/2007 · owns less than 5%
- B••••• J•••••• M•••••• · Managing Member, Chief Compliance Officer, And Chief Financial Officercontrolsince 11/2007 · owns less than 5%
- B••••• P••••••• J••• · Membercontrolsince 12/2014 · owns 75% or more
- H••••••• W••••••• E• · Chief Operating Officercontrolsince 01/2023 · owns less than 5%
- B••••• J••••••• M•••• · Membersince 12/2014 · 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 |
|---|---|---|---|---|---|
| New Bedford, Ma · principal | 8 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,496 to 1,517Mar 18, 2025 to Mar 27, 2026
- Charity clients · unset to 5.0Mar 18, 2025 to Mar 27, 2026
- HNW clients · 177 to 182Mar 18, 2025 to Mar 27, 2026
- Individual clients · 210 to 209Mar 18, 2025 to Mar 27, 2026
- Pension plan clients · unset to 2.0Mar 18, 2025 to Mar 27, 2026
- Employees · 10 to 12Mar 18, 2025 to Mar 27, 2026
- Discretionary RAUM · $577M to $688MMar 18, 2025 to Mar 27, 2026
- HNW RAUM · $618M to $753MMar 18, 2025 to Mar 27, 2026
- Individual RAUM · $68.5M to $73.9MMar 18, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $136M to $159MMar 18, 2025 to Mar 27, 2026
- Pension RAUM · $21.9M to $14.8MMar 18, 2025 to Mar 27, 2026
- RAUM · $713M to $847MMar 18, 2025 to Mar 27, 2026
- Wrap assets (manager) · $713M to $0Mar 18, 2025 to Mar 27, 2026
- Accounts · 1,487 to 1,496Mar 29, 2024 to Mar 18, 2025
- Advisory employees · 6 to 8Mar 29, 2024 to Mar 18, 2025
- Charity clients · 5.0 to unsetMar 29, 2024 to Mar 18, 2025
- HNW clients · 164 to 177Mar 29, 2024 to Mar 18, 2025
- Individual clients · 233 to 210Mar 29, 2024 to Mar 18, 2025
- Employees · 11 to 10Mar 29, 2024 to Mar 18, 2025
- Financial planning clients · 251-500 to 251-500Mar 29, 2024 to Mar 18, 2025
- State-registered IARs · 6 to 8Mar 29, 2024 to Mar 18, 2025
- Other offices · 6 to 8Mar 29, 2024 to Mar 18, 2025
- Discretionary RAUM · $523M to $577MMar 29, 2024 to Mar 18, 2025
- HNW RAUM · $566M to $618MMar 29, 2024 to Mar 18, 2025
- Individual RAUM · $66.1M to $68.5MMar 29, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $132M to $136MMar 29, 2024 to Mar 18, 2025
- Pension RAUM · $19.2M to $21.9MMar 29, 2024 to Mar 18, 2025
- RAUM · $655M to $713MMar 29, 2024 to Mar 18, 2025
- Wrap assets (manager) · $0 to $713MMar 29, 2024 to Mar 18, 2025
- Accounts · 1,477 to 1,487May 26, 2023 to Mar 29, 2024
- Advisory employees · 4 to 6May 26, 2023 to Mar 29, 2024
- HNW clients · 165 to 164May 26, 2023 to Mar 29, 2024
- Individual clients · 236 to 233May 26, 2023 to Mar 29, 2024
- Pension plan clients · 3.0 to unsetMay 26, 2023 to Mar 29, 2024
- Assets in custody · 424550740.0 to unsetMay 26, 2023 to Mar 29, 2024
- Custody of client assets · true to falseMay 26, 2023 to Mar 29, 2024
- Employees · 12 to 11May 26, 2023 to Mar 29, 2024
- State-registered IARs · 5 to 6May 26, 2023 to Mar 29, 2024
- Other offices · 1 to 6May 26, 2023 to Mar 29, 2024
- Discretionary RAUM · $526M to $523MMay 26, 2023 to Mar 29, 2024
Signals
4 dated events
- B•••• I••••••••• A•••••••• L•• reported 6 offices beyond its principal office, up from 1 (2023-05-26 to 2024-03-29)Mar 29, 2024 · Office count change · derived
- Ann Kathy Alves (President) appeared on Schedule A of B•••• I••••••••• A•••••••• L••Mar 29, 2024 · Control person joined · fact
- E. Whitney Holland (Chief Operating Officer) appeared on Schedule A of B•••• I••••••••• A•••••••• L••Mar 29, 2024 · Control person joined · fact
- D••••• S•••• P••••••• left B•••• I••••••••• A•••••••• L•• for S•••• C•••• P••••••• • W••••• M••••••••• (registered 2023-08-04)May 17, 2023 · Advisor changed firm · 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
- 508-355-8531reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-992-8601reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/B••••-INVESTMENT-ADVISORSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-992-8601reportedpublic record, Form ADV, Mar 27, 2026
- Team page
- BARRYINVESTMENTADVISORS.COM/our-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
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026