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••••• F•••••••• A•••••••

Former SEC-registered adviserHanover, New HampshireCRD 156688SEC 801-72213IAPD
Legal name B•••••• • F••••• W••••• M••••••••• L••
Latest filing Mar 20, 2017
First filing on the tape Mar 27, 2012 · 18 filings
RAUM
$236M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$236M as of Mar 20, 2017
Mar 27, 2012$135M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 20, 2017
Mar 27, 20120 then
Employees (5.A)5 as of Mar 20, 2017
Mar 28, 20133 then
Private funds: no history
RAUM +18% over the last fiscal year+4.6% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 20, 2017; every figure names its basis
RAUM per advisor
$78.8MderivedRAUM 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
$215,571derivedRAUM over accounts (5.F.2.f)
Discretionary
80%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$740,000, 2 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,096reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$740,000 for 2 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••• J•••• J••••• · Chief Compliance Officercontrol
    since 04/2011 · owns 25% to 50%
  • F•••••• T••••••• F•••••••• · Member
    since 04/2011 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Wolfeboro, NH
What changed
consecutive filings, newest first
  • Accounts · 990 to 1,096
    Nov 30, 2016 to Mar 20, 2017
  • Assets in custody · $772,000 to $740,000
    Nov 30, 2016 to Mar 20, 2017
  • Financial planning clients · 251-500 to 51-100
    Nov 30, 2016 to Mar 20, 2017
  • Discretionary RAUM · $158M to $189M
    Nov 30, 2016 to Mar 20, 2017
  • Non-discretionary RAUM · $41.1M to $46.8M
    Nov 30, 2016 to Mar 20, 2017
  • RAUM · $200M to $236M
    Nov 30, 2016 to Mar 20, 2017
  • Advisory employees · 2 to 3
    Mar 20, 2017 to Mar 20, 2017
  • State-registered IARs · 2 to 3
    Mar 20, 2017 to Mar 20, 2017
  • Assets in custody · unset to 772000.0
    Mar 29, 2016 to May 4, 2016
  • Custody of client assets · false to true
    Mar 29, 2016 to May 4, 2016
  • Accounts · 932 to 990
    Nov 30, 2015 to Mar 23, 2016
  • Employees · 4 to 5
    Nov 30, 2015 to Mar 23, 2016
  • Financial planning clients · 11-25 to 251-500
    Nov 30, 2015 to Mar 23, 2016
  • Discretionary RAUM · $171M to $158M
    Nov 30, 2015 to Mar 23, 2016
  • Non-discretionary RAUM · $40.3M to $41.1M
    Nov 30, 2015 to Mar 23, 2016
  • RAUM · $211M to $200M
    Nov 30, 2015 to Mar 23, 2016
  • Business name · B•••••• • F••••• W••••• M••••••••• L•• to B•••••• • F••••• F•••••••• A•••••••
    May 11, 2015 to May 18, 2015
  • Accounts · 1,107 to 932
    Jun 13, 2014 to Mar 20, 2015
  • Financial planning clients · 51-100 to 11-25
    Jun 13, 2014 to Mar 20, 2015
  • Discretionary RAUM · $176M to $171M
    Jun 13, 2014 to Mar 20, 2015
  • Non-discretionary RAUM · $30.9M to $40.3M
    Jun 13, 2014 to Mar 20, 2015
  • RAUM · $207M to $211M
    Jun 13, 2014 to Mar 20, 2015
  • Accounts · 873 to 1,107
    Jun 7, 2013 to Mar 5, 2014
  • Employees · 3 to 4
    Jun 7, 2013 to Mar 5, 2014
  • Discretionary RAUM · $173M to $176M
    Jun 7, 2013 to Mar 5, 2014
  • Non-discretionary RAUM · $0 to $30.9M
    Jun 7, 2013 to Mar 5, 2014
  • RAUM · $173M to $207M
    Jun 7, 2013 to Mar 5, 2014
  • Accounts · 724 to 873
    Nov 1, 2012 to Mar 28, 2013
  • Discretionary RAUM · $105M to $173M
    Nov 1, 2012 to Mar 28, 2013
  • Non-discretionary RAUM · $30.0M to $0
    Nov 1, 2012 to Mar 28, 2013
  • RAUM · $135M to $173M
    Nov 1, 2012 to Mar 28, 2013
  • Advisory employees · unset to 2.0
    Mar 27, 2012 to Nov 1, 2012
  • BD registered reps · unset to 1.0
    Mar 27, 2012 to Nov 1, 2012
  • Employees · unset to 3.0
    Mar 27, 2012 to Nov 1, 2012
  • State-registered IARs · 0 to 2
    Mar 27, 2012 to Nov 1, 2012
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.
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