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
B•••••• I••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jan 18, 2012 · 39 filings
SEC status approved since Sep 23, 2009
RAUM
$561M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
11%
$60.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$280M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$561M as of Mar 27, 2026
Mar 30, 2012$408M then
HNW client RAUM$32.2M as of Mar 27, 2026
Mar 28, 2018$4.0M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Mar 30, 20120 then
Employees (5.A)6 as of Mar 27, 2026
Mar 28, 20137 then
Private funds6 as of Mar 28, 2025
Mar 30, 20129 then
RAUM +23% over the last fiscal year+15% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $280MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $3.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -36%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$485M88%
- High-net-worth individuals$32.2M5.8%
- Individuals$28.1M5.1%
- Corporations and businesses$4.8M0.9%
- Charitable organizations$2.2M0.4%
- Pension and profit-sharing plans$856,2130.2%
- Individual clients
- 99reported
- HNW clients
- 22reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 157reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.11 fund_share=0.87 institutional_share=0.01 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 |
|---|---|---|---|---|
| R••••• P••••• D••Chartered Financial Analyst | Saddle Brook, Nj | Dec 17, 2025 | 34 y | 1 |
| A••••• •••• D•••• | Saddle Brook, Nj | Jan 1, 2026 | 37 y | 2 |
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
- A••••• •••• D•••• from E••••••• C••••••• I•••Jul 29, 2013 · Other
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••• W•••••••no longer reported | Hedge Fund | $20.7M | 2 | Mar 28, 2013 |
| O••••••••• I••••• P••• L•••no longer reported | Hedge Fund | $16.6M | 21 | Jan 18, 2012 |
| F••• V•••• O••••••• P••••••• L•••no longer reported | Hedge Fund | $10.2M | 7 | Mar 28, 2013 |
| F••• V•••• O••••••• F•••• L•••no longer reported | Hedge Fund | $7.2M | 7 | Mar 30, 2012 |
| O••••••••• P•••••••• L• | Hedge Fund | $1.6M | 18 | Mar 30, 2012 |
| N••• W••••••• | Hedge Fund | $900,925 | 58 | Mar 30, 2012 |
| F••• V•••• P••••••• L••• | Hedge Fund | $562,214 | 26 | Jan 18, 2012 |
| C•••••••• W••• P••••••• L• | Hedge Fund | $304,492 | 28 | Jan 18, 2012 |
| M•• O••••••••• P••••••• L••• | Hedge Fund | $126,857 | 3 | Mar 30, 2012 |
| F••• V•••• S•••••• S••••••••• F•••• L• | Hedge Fund | $73,739 | 12 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••• A•••••• •••• · Managing Partnercontrolsince 08/2009 · owns 25% to 50%
- G••••••••• P••••••• F••••••• · Managing Partnercontrolsince 08/2009 · owns 25% to 50%
- D••••••• S••••••••• L•••• · Chief Compliance Officersince 03/2012 · owns less than 5%
Related persons
Schedule D 7.A
- K•••••• • W•••••••• L••pooled vehicle sponsorn
- R••• H•••••••• L••investment advisernRAUM $18.8M
- S•••••••• D••••••n
Advisers that list B•••••• I••••••••• L•• as a related person
- 317097 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Saddle Brook, Nj · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 27, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $455,995,108 to $560,984,507, advisors 3 to 3, private clients 188 to 121, offices 1 to 1 (2025-03-28 to 2026-03-27)peers: other advisers, $500M to $1B (95)
- business activity changedChange between filings · filing Mar 27, 2026portfolio management for pooled vehicles (Item 5.G.4): yes on the filing of 2025-03-28, no on the filing of 2026-03-27peers: other advisers, $500M to $1B (95)
- business activity changedChange between filings · filing Mar 27, 2026advises private funds (Item 7.B): yes on the filing of 2025-03-28, no on the filing of 2026-03-27peers: other advisers, $500M to $1B (95)
What changed
consecutive filings, newest first
- Accounts · 227 to 157Mar 28, 2025 to Mar 27, 2026
- Advisory activities · 3 to 2Mar 28, 2025 to Mar 27, 2026
- Corporate clients · 3 to 4Mar 28, 2025 to Mar 27, 2026
- Individual clients · 166 to 99Mar 28, 2025 to Mar 27, 2026
- Pooled vehicle clients · 6 to 0Mar 28, 2025 to Mar 27, 2026
- Private funds · 6 to unsetMar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $456M to $561MMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $28.1M to $32.2MMar 28, 2025 to Mar 27, 2026
- Individual RAUM · $45.2M to $28.1MMar 28, 2025 to Mar 27, 2026
- Pension RAUM · $787,826 to $856,213Mar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $2.1M to $0Mar 28, 2025 to Mar 27, 2026
- RAUM · $456M to $561MMar 28, 2025 to Mar 27, 2026
- Accounts · 349 to 227Mar 25, 2024 to Mar 28, 2025
- Charity clients · 3 to 2Mar 25, 2024 to Mar 28, 2025
- Corporate clients · 2 to 3Mar 25, 2024 to Mar 28, 2025
- HNW clients · 31 to 22Mar 25, 2024 to Mar 28, 2025
- Individual clients · 268 to 166Mar 25, 2024 to Mar 28, 2025
- Pension plan clients · 3 to 2Mar 25, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $335M to $456MMar 25, 2024 to Mar 28, 2025
- HNW RAUM · $42.6M to $28.1MMar 25, 2024 to Mar 28, 2025
- Individual RAUM · $60.3M to $45.2MMar 25, 2024 to Mar 28, 2025
- Pension RAUM · $836,645 to $787,826Mar 25, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $3.5M to $2.1MMar 25, 2024 to Mar 28, 2025
- RAUM · $335M to $456MMar 25, 2024 to Mar 28, 2025
- Accounts · 409 to 349Mar 29, 2023 to Mar 25, 2024
- Corporate clients · 4 to 2Mar 29, 2023 to Mar 25, 2024
- HNW clients · 41 to 31Mar 29, 2023 to Mar 25, 2024
- Individual clients · 310 to 268Mar 29, 2023 to Mar 25, 2024
- Discretionary RAUM · $368M to $335MMar 29, 2023 to Mar 25, 2024
- HNW RAUM · $63.3M to $42.6MMar 29, 2023 to Mar 25, 2024
- Individual RAUM · $67.9M to $60.3MMar 29, 2023 to Mar 25, 2024
- Pension RAUM · $774,840 to $836,645Mar 29, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $3.4M to $3.5MMar 29, 2023 to Mar 25, 2024
- RAUM · $368M to $335MMar 29, 2023 to Mar 25, 2024
- Accounts · 482 to 409Nov 27, 2022 to Mar 29, 2023
- Charity clients · 2 to 3Nov 27, 2022 to Mar 29, 2023
- Corporate clients · 3 to 4Nov 27, 2022 to Mar 29, 2023
- HNW clients · 75 to 41Nov 27, 2022 to Mar 29, 2023
- Individual clients · 357 to 310Nov 27, 2022 to Mar 29, 2023
Signals
4 dated events
- B•••••• I••••••••• L•• reported RAUM $456.0M, up 36% from $334.8M (2024-03-25 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- B•••••• I••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 12, 2021 · Succession (Item 4) · fact
- B•••••• I••••••••• L•• reported RAUM $290.1M, down 27% from $398.2M (2020-01-13 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
- Jay Steven Samuels (Member) no longer on Schedule A of B•••••• I••••••••• L•• (listed 2019-05-02, absent 2020-01-13)Jan 13, 2020 · Control person left · inference
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
- Website
- B••••••INVESTORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 201-556-0092reportedpublic record, Form ADV, Mar 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $280Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026