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••••••••• F•••••••• A•••••••
Legal name B••••••••• F•••••••• A•••••••• I•••
Latest filing Mar 19, 2026
First filing on the tape Jul 2, 2012 · 49 filings
SEC status approved since Jun 29, 2012
RAUM
$3.0B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
99%
$3.0B individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$230M
derived; firm RAUM over IAPD count
Employees
36
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$3.0B as of Mar 19, 2026
Mar 7, 2013$304M then
HNW client RAUM$2.1B as of Mar 19, 2026
Mar 9, 2018$537M then
State-registered IARs (5.B.3)13 as of Mar 19, 2026
Mar 7, 201310 then
Employees (5.A)36 as of Mar 19, 2026
Mar 7, 201322 then
Private funds: no history
RAUM +20% over the last fiscal year+27% a year over threeIARs 11 to 13
Practice profile
derived from the filing of Mar 19, 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
- $230MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 406derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $563,210derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminars, otherreportedItem 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$2.1B69%
- Individuals$900M30%
- Charitable organizations$21.4M0.7%
- Corporations and businesses$1.6M0.1%
- Individual clients
- 4,400reported
- HNW clients
- 872reported
- Pension plan clients
- n/areported
- Charitable clients
- 18reported
- Accounts
- 5,301reported
- Financial planning clients
- 251-500reported
- 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
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• C••••••••• K••••Certified Financial Planner | Columbia, Md | Jul 24, 2012 | 16 y | 1 |
| R••••• G• C•••••••• | Columbia, Md | Jul 25, 2012 | 36 y | 3 |
| J••••• A•••••• C•••••Certified Financial Planner | Columbia, Md | Nov 27, 2012 | 19 y | 1 |
| T••• J••••• I•••••Certified Financial Planner | Columbia, Md | Feb 25, 2013 | 20 y | 5 |
| T••••••• H••••• | Columbia, Md | Feb 13, 2015 | 28 y | 3 |
| J••••• U• M••••••• | Columbia, Md | Jun 5, 2015 | 37 y | 2 |
| T•••• K••••Certified Financial Planner | Columbia, Md | Feb 24, 2018 | 9 y | 0 |
| M•••••• S•••••Chartered Financial Consultant | Columbia, Md | Oct 23, 2019 | 13 y | 0 |
| L••••••• M• P•••Certified Financial Planner | Columbia, Md | Dec 18, 2019 | 26 y | 3 |
| T•••• D••••• C•••••••••Certified Financial Planner | Columbia, Md | Mar 4, 2021 | 9 y | 1 |
| M•• P••••••• | Columbia, Md | Feb 27, 2023 | 13 y | 0 |
| T••••••• J••••• J•••• | Columbia, Md | Jan 23, 2024 | 11 y | 1 |
| S••••••• N••• | Columbia, Md | Aug 25, 2025 | 13 y | 2 |
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 headcount3 left over 36 months
Left, latest
- J••••• T••••• D•••••• to D••••••• W••••• M•••••••••Aug 22, 2025 · RIA to RIA
- K••••• E•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 20, 2024 · RIA to wirehouse
- P••••• G••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 14, 2023 · RIA to wirehouse
- M•••••• K•••••• to J••• M••••• S••••••••• L••Sep 16, 2022 · RIA to wirehouse
- P••••• H•••• W•••• to A•••••• W••••• M••••••••• L••Sep 9, 2016 · Other
- B••••••• H•••• D••••• to C•••• P•••• A••••••• L••Nov 30, 2015 · Other
- A••••••• A•••••• P••••••• to T•• M••••••• F•••••••• G•••• L••Sep 28, 2015 · Other
- M•••••• K•••• L••••• to C••••••••• A•••••••Apr 27, 2015 · Other
- S••• C••••••••• D•••• to C•••••• C•••••• M••••••••• L••May 1, 2013 · Other
Joined, latest
- S••••••• N••• from P•••••••• F•••••••• A••••••• G••••Aug 25, 2025 · RIA to RIA
- T••••••• J••••• J•••• from T• R••• P•••• A••••••• S•••••••• I•••Jan 23, 2024 · RIA to RIA
- P••••• G••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 11, 2022 · Wirehouse to independent RIA
- K••••• E•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 26, 2022 · Wirehouse to independent RIA
- M•••••• K•••••• from M••••• S••••••Sep 27, 2021 · Wirehouse to independent RIA
- T•••• D••••• C••••••••• from T• R••• P•••• A••••••• S•••••••• I•••Mar 4, 2021 · RIA to RIA
- L••••••• M• P••• from L•••••••• W••••• M••••••••• I•••Dec 18, 2019 · Other
- J••••• T••••• D•••••• from D••••••• W••••• M•••••••••Aug 19, 2016 · Other
- J••••• U• M••••••• from W•••• F•••• A•••••••Jun 5, 2015 · Other
- T••••••• H••••• from 1••• I••••••••• C••••••• L••Feb 13, 2015 · Other
- A••••••• A•••••• P••••••• from W•••• F•••• A•••••••Feb 4, 2015 · Other
- P••••• H•••• W•••• from S•• C•••••• M••••••••• I•••Jun 6, 2013 · Other
- T••• J••••• I••••• from P••••••• S•••••••• G••••• L••Feb 25, 2013 · Other
- J••••• A•••••• C••••• from W•••• F•••• A•••••••Nov 27, 2012 · Other
- S••• C••••••••• D•••• from G••• R••••••• • S••••••••• C••••••Nov 12, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• R•••••• G• · President & Chief Compliance Officercontrolsince 06/2012 · owns 75% or more
- M••••• M•••••• E•••• · Director, Client Servicescontrolsince 07/2013 · owns less than 5%
- M•••••••• J•••••• U• · Chief Operating Officercontrolsince 07/2013 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Columbia, Md · principal | 13 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4,975 to 5,301Nov 10, 2025 to Mar 19, 2026
- Advisory employees · 11 to 13Nov 10, 2025 to Mar 19, 2026
- Charity clients · 14 to 18Nov 10, 2025 to Mar 19, 2026
- Corporate clients · 18 to 11Nov 10, 2025 to Mar 19, 2026
- HNW clients · 812 to 872Nov 10, 2025 to Mar 19, 2026
- Individual clients · 4,131 to 4,400Nov 10, 2025 to Mar 19, 2026
- Employees · 32 to 36Nov 10, 2025 to Mar 19, 2026
- State-registered IARs · 11 to 13Nov 10, 2025 to Mar 19, 2026
- Discretionary RAUM · $2.7B to $2.9BNov 10, 2025 to Mar 19, 2026
- HNW RAUM · $2.0B to $2.1BNov 10, 2025 to Mar 19, 2026
- Individual RAUM · $834M to $900MNov 10, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $132M to $124MNov 10, 2025 to Mar 19, 2026
- RAUM · $2.8B to $3.0BNov 10, 2025 to Mar 19, 2026
- Accounts · 4,597 to 4,975Apr 22, 2025 to Nov 10, 2025
- Charity clients · 13 to 14Apr 22, 2025 to Nov 10, 2025
- Corporate clients · 19 to 18Apr 22, 2025 to Nov 10, 2025
- HNW clients · 726 to 812Apr 22, 2025 to Nov 10, 2025
- Individual clients · 3,839 to 4,131Apr 22, 2025 to Nov 10, 2025
- Discretionary RAUM · $2.4B to $2.7BApr 22, 2025 to Nov 10, 2025
- HNW RAUM · $1.7B to $2.0BApr 22, 2025 to Nov 10, 2025
- Individual RAUM · $781M to $834MApr 22, 2025 to Nov 10, 2025
- Non-discretionary RAUM · $124M to $132MApr 22, 2025 to Nov 10, 2025
- RAUM · $2.5B to $2.8BApr 22, 2025 to Nov 10, 2025
- Accounts · 3,822 to 4,597Nov 7, 2024 to Apr 22, 2025
- Charity clients · 4 to 13Nov 7, 2024 to Apr 22, 2025
- Corporate clients · 16 to 19Nov 7, 2024 to Apr 22, 2025
- HNW clients · 562 to 726Nov 7, 2024 to Apr 22, 2025
- Individual clients · 3,240 to 3,839Nov 7, 2024 to Apr 22, 2025
- Employees · 28 to 32Nov 7, 2024 to Apr 22, 2025
- Financial planning clients · 251-500 to 251-500Nov 7, 2024 to Apr 22, 2025
- Discretionary RAUM · $1.9B to $2.4BNov 7, 2024 to Apr 22, 2025
- HNW RAUM · $1.2B to $1.7BNov 7, 2024 to Apr 22, 2025
- Individual RAUM · $671M to $781MNov 7, 2024 to Apr 22, 2025
- Non-discretionary RAUM · $81.9M to $124MNov 7, 2024 to Apr 22, 2025
- RAUM · $1.9B to $2.5BNov 7, 2024 to Apr 22, 2025
- Accounts · 3,458 to 3,822Oct 31, 2023 to Mar 21, 2024
- Charity clients · 2 to 4Oct 31, 2023 to Mar 21, 2024
- HNW clients · 470 to 562Oct 31, 2023 to Mar 21, 2024
- Individual clients · 2,970 to 3,240Oct 31, 2023 to Mar 21, 2024
- Employees · 22 to 28Oct 31, 2023 to Mar 21, 2024
Signals
8 dated events
- J••••• T••••• D•••••• left B••••••••• F•••••••• A••••••• for D••••••• W••••• M••••••••• (registered 2025-08-12)Aug 22, 2025 · Advisor changed firm · fact
- B••••••••• F•••••••• A••••••• reported RAUM $2.5B, up 29% from $1.9B (2024-11-07 to 2025-04-22)Apr 22, 2025 · RAUM change · derived
- K••••• E•••• left B••••••••• F•••••••• A••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-07-05)Jun 20, 2024 · Advisor changed firm · fact
- P••••• G••• left B••••••••• F•••••••• A••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-06-11)Dec 14, 2023 · Advisor changed firm · fact
- M•••••• K•••••• left B••••••••• F•••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2023-06-02)Sep 16, 2022 · Advisor changed firm · fact
- B••••••••• F•••••••• A••••••• reported RAUM $1.6B, up 26% from $1.2B (2021-03-14 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- B••••••••• F•••••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 2, 2012 · Succession (Item 4) · fact
- B••••••••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)Jul 2, 2012 · 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
- 888-461-3900reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 410-461-3900reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 443-539-0330reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/284379reportedpublic record, Form ADV, Sep 18, 2026
- Website
- bwfa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 410-461-3900reportedpublic record, Form ADV, Mar 19, 2026
- Team page
- bwfa.com/managementreportedpublished by the firm, firm site, Sep 15, 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
- $230Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026