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••••• F••••••••• L••
Latest filing Feb 18, 2026
First filing on the tape Jan 28, 2024 · 5 filings
SEC status approved since Feb 29, 2024
RAUM
$197M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$197M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$98.7M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$197M as of Feb 18, 2026
Feb 24, 2025$157M then
HNW client RAUM$76.3M as of Feb 18, 2026
Feb 24, 2025$64.6M then
State-registered IARs (5.B.3)2 as of Feb 18, 2026
Feb 24, 20252 then
Employees (5.A)5 as of Feb 18, 2026
Feb 24, 20255 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 18, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $98.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 138derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $247,630derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.8%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
- 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
- is an insurance broker or agent (6.A.6)
- 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
- Individuals$121M61%
- High-net-worth individuals$76.3M39%
- Individual clients
- 248reported
- HNW clients
- 27reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 797reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• A••••• B••••• | Montclair, Nj | Nov 12, 2021 | 18 y | 2 |
| J••• H••••••• W••••••• | Montclair, Nj | Nov 12, 2021 | 13 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
none on the tape
Joined, latest
- M••• A••••• B••••• from Q•••• C•••••• S••••••••• I•••Jan 6, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• M•••• A••••• · President/Chief Compliance Officercontrolsince 11/2008 · 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 |
|---|---|---|---|---|---|
| Montclair, Nj · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Jupiter, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 742 to 797Feb 24, 2025 to Feb 18, 2026
- Individual clients · 228 to 248Feb 24, 2025 to Feb 18, 2026
- Discretionary RAUM · $157M to $197MFeb 24, 2025 to Feb 18, 2026
- HNW RAUM · $64.6M to $76.3MFeb 24, 2025 to Feb 18, 2026
- Individual RAUM · $92.2M to $121MFeb 24, 2025 to Feb 18, 2026
- RAUM · $157M to $197MFeb 24, 2025 to Feb 18, 2026
- Accounts · 676 to 742Nov 8, 2024 to Feb 24, 2025
- Individual clients · 202 to 228Nov 8, 2024 to Feb 24, 2025
- Financial planning clients · 101-250 to 251-500Nov 8, 2024 to Feb 24, 2025
- Discretionary RAUM · $122M to $157MNov 8, 2024 to Feb 24, 2025
- HNW RAUM · $58.9M to $64.6MNov 8, 2024 to Feb 24, 2025
- Individual RAUM · $63.1M to $92.2MNov 8, 2024 to Feb 24, 2025
- RAUM · $122M to $157MNov 8, 2024 to Feb 24, 2025
- Advisory employees · 3 to 2Mar 15, 2024 to Nov 8, 2024
- State-registered IARs · 3 to 2Mar 15, 2024 to Nov 8, 2024
Signals
1 dated events
- B••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Jan 28, 2024 · 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
- 862-205-5800reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- B•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 862-205-5800reportedpublic record, Form ADV, Feb 18, 2026
- Team page
- bautisfinancial.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $98.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026