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
B••••••• F•••••••• M••••••••• L••
Latest filing Sep 26, 2022
First filing on the tape May 6, 2015 · 22 filings
RAUM
$19.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$19.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$19.3M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$22.7M as of Mar 23, 2022
Feb 1, 2016$58.7M then
HNW client RAUM$13.8M as of Mar 23, 2022
Feb 4, 2020$28.1M then
State-registered IARs (5.B.3)0 as of Mar 23, 2022
Feb 1, 20160 then
Employees (5.A)1 as of Mar 23, 2022
Feb 1, 20161 then
Private funds: no history
RAUM -80% over the last fiscal year-35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 26, 2022; every figure names its basis
- RAUM per advisor
- $19.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -76%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -78%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$13.7M71%
- Individuals$5.6M29%
- Individual clients
- 12reported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 19reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• M•••••• W• · Managing Member/Ccocontrolsince 01/2011 · owns 75% or more
Related persons
Schedule D 7.A
- M••••• W• H•••••insurancey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 56 to 19Jul 25, 2022 to Aug 24, 2022
- HNW clients · 6 to 7Jul 25, 2022 to Aug 24, 2022
- Individual clients · 18 to 12Jul 25, 2022 to Aug 24, 2022
- Discretionary RAUM · $18.7M to $19.3MJul 25, 2022 to Aug 24, 2022
- HNW RAUM · $11.0M to $13.7MJul 25, 2022 to Aug 24, 2022
- Individual RAUM · $7.7M to $5.6MJul 25, 2022 to Aug 24, 2022
- RAUM · $18.7M to $19.3MJul 25, 2022 to Aug 24, 2022
- Accounts · 55 to 56Mar 23, 2022 to Jul 6, 2022
- HNW clients · 9 to 6Mar 23, 2022 to Jul 6, 2022
- Individual clients · 19 to 18Mar 23, 2022 to Jul 6, 2022
- Discretionary RAUM · $22.7M to $18.7MMar 23, 2022 to Jul 6, 2022
- HNW RAUM · $13.8M to $11.0MMar 23, 2022 to Jul 6, 2022
- Individual RAUM · $8.8M to $7.7MMar 23, 2022 to Jul 6, 2022
- RAUM · $22.7M to $18.7MMar 23, 2022 to Jul 6, 2022
- Accounts · 362 to 55Jan 26, 2022 to Mar 23, 2022
- HNW clients · 13 to 9Jan 26, 2022 to Mar 23, 2022
- Individual clients · 112 to 19Jan 26, 2022 to Mar 23, 2022
- HQ city · ROSLYN to unsetJan 26, 2022 to Mar 23, 2022
- HQ state · NY to unsetJan 26, 2022 to Mar 23, 2022
- Discretionary RAUM · $95.2M to $22.7MJan 26, 2022 to Mar 23, 2022
- HNW RAUM · $35.7M to $13.8MJan 26, 2022 to Mar 23, 2022
- Individual RAUM · $55.4M to $8.8MJan 26, 2022 to Mar 23, 2022
- Pension RAUM · 4044700.0 to unsetJan 26, 2022 to Mar 23, 2022
- RAUM · $95.2M to $22.7MJan 26, 2022 to Mar 23, 2022
- HQ city · JERICHO to ROSLYNFeb 4, 2021 to Jan 26, 2022
- Accounts · 416 to 362Jun 30, 2020 to Feb 4, 2021
- HNW clients · 12 to 13Jun 30, 2020 to Feb 4, 2021
- Individual clients · 175 to 112Jun 30, 2020 to Feb 4, 2021
- Discretionary RAUM · $84.0M to $95.2MJun 30, 2020 to Feb 4, 2021
- HNW RAUM · $28.1M to $35.7MJun 30, 2020 to Feb 4, 2021
- Individual RAUM · $52.2M to $55.4MJun 30, 2020 to Feb 4, 2021
- Pension RAUM · $3.7M to $4.0MJun 30, 2020 to Feb 4, 2021
- RAUM · $84.0M to $95.2MJun 30, 2020 to Feb 4, 2021
- Accounts · 396 to 416Aug 21, 2019 to Feb 4, 2020
- HNW clients · unset to 12.0Aug 21, 2019 to Feb 4, 2020
- Individual clients · 384 to 175Aug 21, 2019 to Feb 4, 2020
- Assets in custody · 1566100.0 to unsetAug 21, 2019 to Feb 4, 2020
- Custody of client assets · true to falseAug 21, 2019 to Feb 4, 2020
- Other offices · 1 to 0Aug 21, 2019 to Feb 4, 2020
- Discretionary RAUM · $71.3M to $84.0MAug 21, 2019 to Feb 4, 2020
Signals
1 dated events
- B••••••• F•••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 6, 2015 · 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.
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
- $19.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026