DFX Intelligence
RIA Intelligence
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SEC-registered adviser
B••• S•••• C•••••• A•••••••
Legal name B••• S•••• C•••••• A••••••• L••
Latest filing Mar 9, 2026
First filing on the tape Jun 30, 2015 · 21 filings
SEC status approved since Jul 22, 2015
RAUM
$243M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$241M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$121M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$243M as of Mar 9, 2026
Mar 24, 2016$53.7M then
HNW client RAUM$209M as of Mar 9, 2026
Mar 21, 2018$77.6M then
State-registered IARs (5.B.3)2 as of Mar 9, 2026
Mar 24, 20162 then
Employees (5.A)4 as of Mar 9, 2026
Mar 24, 20163 then
Private funds: no history
RAUM +10% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 9, 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
- RAUM per advisor
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $768,332derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.4%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
- 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$209M86%
- Individuals$31.5M13%
- Charitable organizations$2.2M0.9%
- Individual clients
- 32reported
- HNW clients
- 53reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 316reported
- Financial planning clients
- 51-100reported
- 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=0.01 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 |
|---|---|---|---|---|
| M•••• S•••••• G••••••Certified Financial Planner | Lenox, Ma | Apr 5, 2016 | 15 y | 0 |
| M•••••• L••• C•••• | New York, Ny | Mar 15, 2017 | 30 y | 0 |
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
- G••••••• M••••• S•••••• · Sole Managing Member + Ccocontrolsince 08/2011 · 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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Great Barrington, MA2 employees
What changed
consecutive filings, newest first
- Accounts · 315 to 316Feb 26, 2025 to Mar 9, 2026
- HNW clients · 52 to 53Feb 26, 2025 to Mar 9, 2026
- Individual clients · 36 to 32Feb 26, 2025 to Mar 9, 2026
- Discretionary RAUM · $221M to $243MFeb 26, 2025 to Mar 9, 2026
- HNW RAUM · $189M to $209MFeb 26, 2025 to Mar 9, 2026
- Individual RAUM · $29.4M to $31.5MFeb 26, 2025 to Mar 9, 2026
- RAUM · $221M to $243MFeb 26, 2025 to Mar 9, 2026
- Accounts · 92 to 315Mar 22, 2024 to Feb 26, 2025
- HNW clients · 56 to 52Mar 22, 2024 to Feb 26, 2025
- Individual clients · 34 to 36Mar 22, 2024 to Feb 26, 2025
- Employees · 2 to 4Mar 22, 2024 to Feb 26, 2025
- Financial planning clients · 51-100 to 51-100Mar 22, 2024 to Feb 26, 2025
- Discretionary RAUM · $208M to $221MMar 22, 2024 to Feb 26, 2025
- HNW RAUM · $184M to $189MMar 22, 2024 to Feb 26, 2025
- Individual RAUM · $22.6M to $29.4MMar 22, 2024 to Feb 26, 2025
- RAUM · $208M to $221MMar 22, 2024 to Feb 26, 2025
- Accounts · 289 to 92Sep 13, 2023 to Mar 22, 2024
- HNW clients · 54 to 56Sep 13, 2023 to Mar 22, 2024
- Individual clients · 37 to 34Sep 13, 2023 to Mar 22, 2024
- Employees · 3 to 2Sep 13, 2023 to Mar 22, 2024
- Other offices · 2 to 1Sep 13, 2023 to Mar 22, 2024
- Discretionary RAUM · $162M to $208MSep 13, 2023 to Mar 22, 2024
- HNW RAUM · $141M to $184MSep 13, 2023 to Mar 22, 2024
- Individual RAUM · $19.0M to $22.6MSep 13, 2023 to Mar 22, 2024
- RAUM · $162M to $208MSep 13, 2023 to Mar 22, 2024
- Accounts · 280 to 289Mar 30, 2022 to Mar 31, 2023
- HNW clients · 51 to 54Mar 30, 2022 to Mar 31, 2023
- Individual clients · 31 to 37Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $173M to $162MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $139M to $141MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · $32.7M to $19.0MMar 30, 2022 to Mar 31, 2023
- RAUM · $173M to $162MMar 30, 2022 to Mar 31, 2023
- Advisory activities · 3 to 2Mar 29, 2021 to Mar 30, 2022
- Charity clients · 1 to 2Mar 29, 2021 to Mar 30, 2022
- Individual clients · 37 to 31Mar 29, 2021 to Mar 30, 2022
- Employees · 4 to 3Mar 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $156M to $173MMar 29, 2021 to Mar 30, 2022
- HNW RAUM · $134M to $139MMar 29, 2021 to Mar 30, 2022
- Individual RAUM · $20.9M to $32.7MMar 29, 2021 to Mar 30, 2022
- RAUM · $156M to $173MMar 29, 2021 to Mar 30, 2022
Signals
1 dated events
- B••• S•••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/B•••-S••••-CAPITAL-ADVISORSreportedpublic record, Form ADV, Sep 21, 2026
- Website
- a••••.me/M••••.G••••••reportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 2125373899reportedpublic record, Form ADV, Mar 9, 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
- $121Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026