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

M••••••••• P••••••• L••

Former SEC-registered adviserLocust Valley, New YorkCRD 149867SEC 801-70164IAPD
Latest filing Jan 31, 2020
First filing on the tape Jan 24, 2012 · 17 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$0 as of Mar 27, 2018
Mar 14, 2012$21.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 28, 2019
Mar 25, 20134 then
Employees (5.A)2 as of Mar 28, 2019
Mar 25, 20134 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 2offices 1 to 0
Practice profile
derived from the filing of Jan 31, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• M••••••• J••• · Ceocontrol
        since 02/2015 · owns less than 5%
      • E••••••• M••••• J• · Ccocontrol
        since 03/2019 · owns less than 5%
      Entity owners
      • B•••••••• • C••• L•• · General Manager
        direct · owns 75% or more
      • K•••• B••• B•••••••• F••••• T•••• · 100% Owner Of B•••••••• • C••• L••
        indirect · owns 75% or more of B•••••••• • C••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · SUFFERN to LOCUST VALLEY
        Mar 28, 2019 to Dec 21, 2019
      • Other offices · 1 to 0
        Mar 28, 2019 to Dec 21, 2019
      • Accounts · 0.0 to unset
        Mar 27, 2018 to Mar 28, 2019
      • Employees · 1 to 2
        Mar 27, 2018 to Mar 28, 2019
      • Insurance-licensed employees · 1 to 2
        Mar 27, 2018 to Mar 28, 2019
      • State-registered IARs · 1 to 2
        Mar 27, 2018 to Mar 28, 2019
      • Discretionary RAUM · 0.0 to unset
        Mar 27, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · 0.0 to unset
        Mar 27, 2018 to Mar 28, 2019
      • RAUM · 0.0 to unset
        Mar 27, 2018 to Mar 28, 2019
      • Advisory employees · 7 to 0
        Oct 9, 2017 to Mar 27, 2018
      • BD registered reps · 8 to 0
        Oct 9, 2017 to Mar 27, 2018
      • Individual clients · unset to 0.0
        Oct 9, 2017 to Mar 27, 2018
      • Employees · 9 to 1
        Oct 9, 2017 to Mar 27, 2018
      • Insurance-licensed employees · 7 to 1
        Oct 9, 2017 to Mar 27, 2018
      • Financial planning clients · 1-10 to 0
        Oct 9, 2017 to Mar 27, 2018
      • State-registered IARs · 7 to 1
        Oct 9, 2017 to Mar 27, 2018
      • Individual RAUM · unset to 0.0
        Oct 9, 2017 to Mar 27, 2018
      • Advisory employees · 9 to 1
        Aug 4, 2017 to Oct 9, 2017
      • BD registered reps · 6 to 1
        Aug 4, 2017 to Oct 9, 2017
      • Employees · 9 to 1
        Aug 4, 2017 to Oct 9, 2017
      • Insurance-licensed employees · 5 to 1
        Aug 4, 2017 to Oct 9, 2017
      • State-registered IARs · 5 to 1
        Aug 4, 2017 to Oct 9, 2017
      • Other offices · unset to 1.0
        Aug 4, 2017 to Oct 9, 2017
      • Advisory employees · 1 to 6
        Oct 9, 2017 to Oct 9, 2017
      • BD registered reps · 1 to 6
        Oct 9, 2017 to Oct 9, 2017
      • Employees · 1 to 9
        Oct 9, 2017 to Oct 9, 2017
      • State-registered IARs · 1 to 6
        Oct 9, 2017 to Oct 9, 2017
      • Advisory employees · 6 to 7
        Oct 9, 2017 to Oct 9, 2017
      • BD registered reps · 6 to 8
        Oct 9, 2017 to Oct 9, 2017
      • Insurance-licensed employees · 1 to 7
        Oct 9, 2017 to Oct 9, 2017
      • State-registered IARs · 6 to 7
        Oct 9, 2017 to Oct 9, 2017
      • Accounts · 1 to 0
        Mar 31, 2017 to Jun 23, 2017
      • Advisory employees · 5 to 9
        Mar 31, 2017 to Jun 23, 2017
      • BD registered reps · 5 to 6
        Mar 31, 2017 to Jun 23, 2017
      • Employees · 5 to 9
        Mar 31, 2017 to Jun 23, 2017
      • Discretionary RAUM · $17.2M to $0
        Mar 31, 2017 to Jun 23, 2017
      • RAUM · $17.2M to $0
        Mar 31, 2017 to Jun 23, 2017
      • Discretionary RAUM · $21.0M to $17.2M
        Mar 29, 2016 to Mar 31, 2017
      • RAUM · $21.0M to $17.2M
        Mar 29, 2016 to Mar 31, 2017
      • Discretionary RAUM · $28.5M to $21.0M
        Mar 30, 2015 to Mar 29, 2016
      Signals
      2 dated events
      • John Matthew Bruderman (Ceo) appeared on Schedule A of M••••••••• P••••••• L••
        Mar 28, 2019 · Control person joined · fact
      • J. Miles Edwards (Cco) appeared on Schedule A of M••••••••• P••••••• L••
        Mar 28, 2019 · Control person joined · fact
      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