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• A•••• M••••••••• L••
Latest filing Jul 6, 2026
First filing on the tape Nov 25, 2011 · 23 filings
SEC status approved since Jan 7, 2010
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$134M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$136M as of Jul 6, 2026
Mar 30, 2012$114M then
HNW client RAUM$132M as of Jul 6, 2026
Mar 30, 2018$115M then
State-registered IARs (5.B.3)2 as of Jul 6, 2026
Apr 1, 20132 then
Employees (5.A)2 as of Jul 6, 2026
Apr 1, 20132 then
Private funds: no history
RAUM +21% over the last fiscal year+5.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 6, 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
- $68.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, 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
Also answered yes on Form ADV
- 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$132M97%
- Individuals$2.1M1.5%
- Corporations and businesses$2.0M1.5%
- Individual clients
- 17reported
- HNW clients
- 78reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 96reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• C••••••• E••••• E•• · Managing Director, Managing Membercontrolsince 07/2010 · owns less than 5%
- H••••• C••••••• E••••• E•• · Managing Membercontrolsince 07/2010 · owns 50% to 75% of K••••••••• L••
- S••••••• R•••••• F•••••• · Chief Financial Officer, Chief Operating Officer, Chief Compliance Officersince 01/2012 · owns less than 5%
Entity owners
- K••••••••• L•• · Memberdirect · owns 50% to 75%
- A•••••• H••••••• L•• · Memberdirect · owns 25% to 50%
- M••••••••• L•• · Memberdirect · owns less than 5%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- Greenlawn, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Jul 6, 2026broker-dealer affiliate (Item 7.A.1): yes on the filing of 2025-04-02, no on the filing of 2026-07-06peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 113 to 96Apr 2, 2025 to Jul 6, 2026
- HNW clients · 99 to 78Apr 2, 2025 to Jul 6, 2026
- Individual clients · 11 to 17Apr 2, 2025 to Jul 6, 2026
- Discretionary RAUM · $117M to $136MApr 2, 2025 to Jul 6, 2026
- HNW RAUM · $115M to $132MApr 2, 2025 to Jul 6, 2026
- Individual RAUM · $804,000 to $2.1MApr 2, 2025 to Jul 6, 2026
- RAUM · $117M to $136MApr 2, 2025 to Jul 6, 2026
- Related broker-dealer · true to falseApr 2, 2025 to Jul 6, 2026
- Accounts · 108 to 113Apr 1, 2024 to Apr 2, 2025
- HNW clients · 93 to 99Apr 1, 2024 to Apr 2, 2025
- Financial planning clients · 0 to 0Apr 1, 2024 to Apr 2, 2025
- Discretionary RAUM · $113M to $117MApr 1, 2024 to Apr 2, 2025
- HNW RAUM · $110M to $115MApr 1, 2024 to Apr 2, 2025
- Individual RAUM · $827,000 to $804,000Apr 1, 2024 to Apr 2, 2025
- RAUM · $113M to $117MApr 1, 2024 to Apr 2, 2025
- Related broker-dealer · false to trueApr 1, 2024 to Apr 2, 2025
- Accounts · 98 to 108Jun 6, 2023 to Apr 1, 2024
- HNW clients · 85 to 93Jun 6, 2023 to Apr 1, 2024
- Discretionary RAUM · $99.6M to $113MJun 6, 2023 to Apr 1, 2024
- HNW RAUM · $96.3M to $110MJun 6, 2023 to Apr 1, 2024
- Individual RAUM · $1.4M to $827,000Jun 6, 2023 to Apr 1, 2024
- RAUM · $99.6M to $113MJun 6, 2023 to Apr 1, 2024
- Accounts · 100 to 98Oct 10, 2022 to Jun 6, 2023
- Advisory activities · 3 to 2Oct 10, 2022 to Jun 6, 2023
- HNW clients · 81 to 85Oct 10, 2022 to Jun 6, 2023
- Discretionary RAUM · $116M to $99.6MOct 10, 2022 to Jun 6, 2023
- HNW RAUM · $112M to $96.3MOct 10, 2022 to Jun 6, 2023
- Individual RAUM · $1.5M to $1.4MOct 10, 2022 to Jun 6, 2023
- RAUM · $116M to $99.6MOct 10, 2022 to Jun 6, 2023
- Accounts · 91 to 100Jul 9, 2021 to Oct 10, 2022
- Corporate clients · 3.0 to unsetJul 9, 2021 to Oct 10, 2022
- HNW clients · 76 to 81Jul 9, 2021 to Oct 10, 2022
- Individual clients · 12 to 11Jul 9, 2021 to Oct 10, 2022
- Discretionary RAUM · $88.7M to $116MJul 9, 2021 to Oct 10, 2022
- HNW RAUM · $85.3M to $112MJul 9, 2021 to Oct 10, 2022
- Individual RAUM · $1.2M to $1.5MJul 9, 2021 to Oct 10, 2022
- RAUM · $88.7M to $116MJul 9, 2021 to Oct 10, 2022
- Accounts · 93 to 91Nov 23, 2020 to Jul 9, 2021
- Corporate clients · 2 to 3Nov 23, 2020 to Jul 9, 2021
- HNW clients · 86 to 76Nov 23, 2020 to Jul 9, 2021
Signals
No event on the tape.
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 email
- r•••••••@b••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- c•••••@b••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 203-987-6227reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-575-0234reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 310-525-2245reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.b••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 347-586-0030reportedpublic record, Form ADV, Jul 6, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026