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•••• E••••• M••••••••• L••
Latest filing Jan 22, 2026
First filing on the tape Mar 7, 2014 · 20 filings
SEC status approved since Mar 19, 2014
RAUM
$143M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$137M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$47.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$143M as of Jan 22, 2026
Mar 13, 2015$40.2M then
HNW client RAUM$107M as of Jan 22, 2026
Mar 12, 2018$17.3M then
State-registered IARs (5.B.3)1 as of Jan 22, 2026
Mar 13, 20150 then
Employees (5.A)2 as of Jan 22, 2026
Mar 13, 20151 then
Private funds1 as of Feb 27, 2017
Mar 13, 20151 then
RAUM +13% over the last fiscal year+22% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 22, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $47.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $396,183derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$107M75%
- Individuals$30.2M21%
- Pension and profit-sharing plans$6.3M4.4%
- Individual clients
- 113reported
- HNW clients
- 49reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 361reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• M•••••• G••••••••Certified Financial Planner | Manhasset, Ny | May 12, 2021 | 30 y | 3 |
| M•••••• J•••• B••••Certified Financial Planner | Manhasset, Ny | Jun 8, 2021 | 23 y | 1 |
| D•••••• S••••• J••••••• | Port Washington, Ny | Apr 12, 2022 | 12 y | 1 |
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
- D•••••• S••••• J••••••• from M••••• S••••••Apr 12, 2022 · Wirehouse to independent RIA
- M•••••• J•••• B•••• from A••••••• P••••••••• A•••••••• I••Jun 8, 2021 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••• E••••• M•••••• F•••• L••no longer reported | Hedge Fund | $1.3M | 8 | Mar 7, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B••••• M••••••• J•••• · Managing Member/Chief Compliance Officercontrolsince 03/2010 · 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 |
|---|---|---|---|---|---|
| Port Washington, Ny · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 344 to 361Jan 23, 2025 to Jan 22, 2026
- HNW clients · 50 to 49Jan 23, 2025 to Jan 22, 2026
- Individual clients · 114 to 113Jan 23, 2025 to Jan 22, 2026
- Pension plan clients · 9 to 8Jan 23, 2025 to Jan 22, 2026
- Discretionary RAUM · $127M to $143MJan 23, 2025 to Jan 22, 2026
- HNW RAUM · $90.1M to $107MJan 23, 2025 to Jan 22, 2026
- Individual RAUM · $31.4M to $30.2MJan 23, 2025 to Jan 22, 2026
- Pension RAUM · $5.2M to $6.3MJan 23, 2025 to Jan 22, 2026
- RAUM · $127M to $143MJan 23, 2025 to Jan 22, 2026
- Accounts · 335 to 344Jul 1, 2024 to Jan 23, 2025
- HNW clients · 45 to 50Jul 1, 2024 to Jan 23, 2025
- Individual clients · 130 to 114Jul 1, 2024 to Jan 23, 2025
- Pension plan clients · 5 to 9Jul 1, 2024 to Jan 23, 2025
- Financial planning clients · 1-10 to 1-10Jul 1, 2024 to Jan 23, 2025
- Discretionary RAUM · $103M to $127MJul 1, 2024 to Jan 23, 2025
- HNW RAUM · $71.0M to $90.1MJul 1, 2024 to Jan 23, 2025
- Individual RAUM · $28.3M to $31.4MJul 1, 2024 to Jan 23, 2025
- Pension RAUM · $3.9M to $5.2MJul 1, 2024 to Jan 23, 2025
- RAUM · $103M to $127MJul 1, 2024 to Jan 23, 2025
- Accounts · 330 to 335Feb 15, 2023 to Feb 6, 2024
- HNW clients · 36 to 45Feb 15, 2023 to Feb 6, 2024
- Individual clients · 127 to 130Feb 15, 2023 to Feb 6, 2024
- Pension plan clients · 6 to 5Feb 15, 2023 to Feb 6, 2024
- HQ city · unset to PORT WASHINGTONFeb 15, 2023 to Feb 6, 2024
- HQ state · unset to NYFeb 15, 2023 to Feb 6, 2024
- Discretionary RAUM · $79.2M to $103MFeb 15, 2023 to Feb 6, 2024
- HNW RAUM · $47.9M to $71.0MFeb 15, 2023 to Feb 6, 2024
- Individual RAUM · $27.8M to $28.3MFeb 15, 2023 to Feb 6, 2024
- Pension RAUM · $3.4M to $3.9MFeb 15, 2023 to Feb 6, 2024
- RAUM · $79.2M to $103MFeb 15, 2023 to Feb 6, 2024
- Accounts · 323 to 330Feb 24, 2022 to Feb 14, 2023
- HNW clients · 41 to 36Feb 24, 2022 to Feb 14, 2023
- Individual clients · 112 to 127Feb 24, 2022 to Feb 14, 2023
- Discretionary RAUM · $85.2M to $79.2MFeb 24, 2022 to Feb 14, 2023
- HNW RAUM · $46.8M to $47.9MFeb 24, 2022 to Feb 14, 2023
- Individual RAUM · $32.4M to $27.8MFeb 24, 2022 to Feb 14, 2023
- Pension RAUM · $6.1M to $3.4MFeb 24, 2022 to Feb 14, 2023
- RAUM · $85.2M to $79.2MFeb 24, 2022 to Feb 14, 2023
- Wrap assets (manager) · 2218196.0 to unsetFeb 24, 2022 to Feb 14, 2023
- Wrap assets (sponsor) · 0.0 to unsetFeb 24, 2022 to Feb 14, 2023
Signals
1 dated events
- B•••• E••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 7, 2014 · 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
- 516-439-5525reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-439-5528reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- B••••EQUITY.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-439-5525reportedpublic record, Form ADV, Jan 22, 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
- $47.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026