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
S••••• C•••• W••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Oct 5, 2012 · 12 filings
SEC status approved since Apr 15, 2024
RAUM
$50.8M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$50.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$50.8M
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
12 filings and snapshots on the tape
RAUM$50.8M as of Mar 31, 2026
Mar 22, 2013$7.8M then
HNW client RAUM$47.4M as of Mar 31, 2026
Mar 21, 2025$42.3M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 22, 20130 then
Employees (5.A)1 as of Mar 31, 2026
Mar 22, 20131 then
Private funds: no history
RAUM +9.9% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $50.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $995,455derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.1%derived
- Compensation
- percentage of assets, 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$47.4M93%
- Individuals$3.3M6.6%
- Individual clients
- 12reported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 51reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• L••••• B•••• | New York, Ny | Jul 15, 2021 | 29 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
- J••••••• L••••• B•••• from A••••• A•• P••••••• S•••••••Jul 15, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••••••• L••••• · Managing Member And Chief Compliance Officercontrolsince 08/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 111 to 51Aug 5, 2025 to Mar 31, 2026
- HNW clients · 37 to 39Aug 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $41.9M to $50.1MAug 5, 2025 to Mar 31, 2026
- HNW RAUM · $42.3M to $47.4MAug 5, 2025 to Mar 31, 2026
- Individual RAUM · $3.9M to $3.3MAug 5, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $4.3M to $695,692Aug 5, 2025 to Mar 31, 2026
- RAUM · $46.2M to $50.8MAug 5, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 21, 2025 to Aug 5, 2025
- Accounts · 105 to 111Nov 4, 2024 to Mar 21, 2025
- HNW clients · 35 to 37Nov 4, 2024 to Mar 21, 2025
- HQ city · unset to Nov 4, 2024 to Mar 21, 2025
- HQ state · unset to Nov 4, 2024 to Mar 21, 2025
- Discretionary RAUM · $33.6M to $41.9MNov 4, 2024 to Mar 21, 2025
- HNW RAUM · $30.3M to $42.3MNov 4, 2024 to Mar 21, 2025
- Individual RAUM · $4.1M to $3.9MNov 4, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $766,385 to $4.3MNov 4, 2024 to Mar 21, 2025
- RAUM · $34.3M to $46.2MNov 4, 2024 to Mar 21, 2025
- Accounts · 28 to 105Mar 26, 2014 to Mar 15, 2024
- HNW clients · unset to 35.0Mar 26, 2014 to Mar 15, 2024
- Individual clients · unset to 12.0Mar 26, 2014 to Mar 15, 2024
- Financial planning clients · 1-10 to 0Mar 26, 2014 to Mar 15, 2024
- State-registered IARs · 0 to 1Mar 26, 2014 to Mar 15, 2024
- Other offices · unset to 0.0Mar 26, 2014 to Mar 15, 2024
- Discretionary RAUM · $12.6M to $33.6MMar 26, 2014 to Mar 15, 2024
- HNW RAUM · unset to 30274585.0Mar 26, 2014 to Mar 15, 2024
- Individual RAUM · unset to 4053345.0Mar 26, 2014 to Mar 15, 2024
- Non-discretionary RAUM · $266,478 to $766,385Mar 26, 2014 to Mar 15, 2024
- RAUM · $12.9M to $34.3MMar 26, 2014 to Mar 15, 2024
- Accounts · 24 to 28Apr 29, 2013 to Mar 26, 2014
- Financial planning clients · 0 to 1-10Apr 29, 2013 to Mar 26, 2014
- Discretionary RAUM · $7.5M to $12.6MApr 29, 2013 to Mar 26, 2014
- Non-discretionary RAUM · $299,800 to $266,478Apr 29, 2013 to Mar 26, 2014
- RAUM · $7.8M to $12.9MApr 29, 2013 to Mar 26, 2014
- Advisory activities · 3 to 2Apr 18, 2013 to Apr 29, 2013
- Accounts · 0 to 24Feb 19, 2013 to Mar 22, 2013
- Discretionary RAUM · $0 to $7.5MFeb 19, 2013 to Mar 22, 2013
- Non-discretionary RAUM · $0 to $299,800Feb 19, 2013 to Mar 22, 2013
- RAUM · $0 to $7.8MFeb 19, 2013 to Mar 22, 2013
- Advisory employees · unset to 1.0Oct 26, 2012 to Feb 19, 2013
- BD registered reps · unset to 0.0Oct 26, 2012 to Feb 19, 2013
Signals
1 dated events
- S••••• C•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 15, 2024 · 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
- Principal office phone
- 518-867-5620reportedpublic record, Form ADV, Mar 31, 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
- $50.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026