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•• W••••• S••••••••• L••
Latest filing Mar 9, 2026
First filing on the tape Feb 14, 2013 · 38 filings
SEC status approved since Feb 25, 2013
RAUM
$247M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$247M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$82.4M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$247M as of Mar 9, 2026
Mar 29, 2014$71.0M then
HNW client RAUM$233M as of Mar 9, 2026
Mar 21, 2018$45.7M then
State-registered IARs (5.B.3)4 as of Mar 9, 2026
Mar 29, 20141 then
Employees (5.A)6 as of Mar 9, 2026
Mar 29, 20143 then
Private funds: no history
RAUM +8.3% over the last fiscal year+18% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $82.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $538,712derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $247M, 113 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$233M94%
- Individuals$14.3M5.8%
- Individual clients
- 41reported
- HNW clients
- 72reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 459reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $247M for 113 clientsreported
- 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=4.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• L••• S•••••••Certified Financial Planner | Boca Raton, Fl | Feb 27, 2013 | 37 y | 2 |
| K•••• L•••• P••••• | Basking Ridge, Nj | Mar 20, 2023 | 11 y | 0 |
| L•••• R••• K••••• | Denville, Nj | Sep 12, 2025 | 22 y | 3 |
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 headcount1 left over 36 months
Left, latest
- L••• A••• C••••• to S•••••••• A•••••••• L••Jun 4, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- L•••• R••• K••••• from P•••••• P••• W••••• P•••••••• L••Sep 12, 2025 · RIA to RIA
- L••• A••• C••••• from M•• I•••••••• S•••••••• L••Dec 3, 2020 · Affiliated broker-dealer or bank to independent RIA
- D•••• L••• S••••••• from C••••••••• C•••••• M••••••••• I•••Feb 27, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• A••••••• G••• · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- S•••••••• D••••• L••• · Managing Membercontrolsince 02/2013 · owns 75% or more
- F•••••••• L••••• L•• · General Counselsince 03/2021 · owns less than 5%
- M••••••• A•••••• Y••••• · Director Of Financial Planning/Managing Directorsince 03/2024 · owns less than 5%
Related persons
Schedule D 7.A
- B•• R••• S••••••••• I•••real estaten
- L•••• L• F•••••••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Basking Ridge, Nj · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 393 to 459Jan 13, 2026 to Mar 9, 2026
- HNW clients · 69 to 72Jan 13, 2026 to Mar 9, 2026
- Individual clients · 26 to 41Jan 13, 2026 to Mar 9, 2026
- Assets in custody · $228M to $247MJan 13, 2026 to Mar 9, 2026
- Discretionary RAUM · $228M to $247MJan 13, 2026 to Mar 9, 2026
- HNW RAUM · $221M to $233MJan 13, 2026 to Mar 9, 2026
- Individual RAUM · $7.6M to $14.3MJan 13, 2026 to Mar 9, 2026
- RAUM · $228M to $247MJan 13, 2026 to Mar 9, 2026
- Advisory employees · 3 to 4Mar 11, 2025 to Oct 16, 2025
- BD registered reps · 3 to 4Mar 11, 2025 to Oct 16, 2025
- Employees · 5 to 6Mar 11, 2025 to Oct 16, 2025
- State-registered IARs · 3 to 4Mar 11, 2025 to Oct 16, 2025
- Accounts · 351 to 393Aug 19, 2024 to Mar 11, 2025
- HNW clients · 66 to 69Aug 19, 2024 to Mar 11, 2025
- Individual clients · 29 to 26Aug 19, 2024 to Mar 11, 2025
- Assets in custody · $187M to $228MAug 19, 2024 to Mar 11, 2025
- Financial planning clients · 101-250 to 101-250Aug 19, 2024 to Mar 11, 2025
- Discretionary RAUM · $187M to $228MAug 19, 2024 to Mar 11, 2025
- HNW RAUM · $181M to $221MAug 19, 2024 to Mar 11, 2025
- Individual RAUM · $6.5M to $7.6MAug 19, 2024 to Mar 11, 2025
- RAUM · $187M to $228MAug 19, 2024 to Mar 11, 2025
- Other offices · 1 to 0Mar 22, 2024 to Aug 19, 2024
- Accounts · 339 to 351Mar 16, 2023 to Mar 22, 2024
- HNW clients · 65 to 66Mar 16, 2023 to Mar 22, 2024
- Individual clients · 28 to 29Mar 16, 2023 to Mar 22, 2024
- Assets in custody · $152M to $187MMar 16, 2023 to Mar 22, 2024
- Discretionary RAUM · $152M to $187MMar 16, 2023 to Mar 22, 2024
- HNW RAUM · $145M to $181MMar 16, 2023 to Mar 22, 2024
- Individual RAUM · $6.9M to $6.5MMar 16, 2023 to Mar 22, 2024
- RAUM · $152M to $187MMar 16, 2023 to Mar 22, 2024
- Accounts · 298 to 339Mar 14, 2022 to Mar 16, 2023
- Advisory employees · 2 to 3Mar 14, 2022 to Mar 16, 2023
- BD registered reps · 2 to 3Mar 14, 2022 to Mar 16, 2023
- HNW clients · 55 to 65Mar 14, 2022 to Mar 16, 2023
- Individual clients · 26 to 28Mar 14, 2022 to Mar 16, 2023
- Assets in custody · $167M to $152MMar 14, 2022 to Mar 16, 2023
- Financial planning clients · 51-100 to 101-250Mar 14, 2022 to Mar 16, 2023
- State-registered IARs · 2 to 3Mar 14, 2022 to Mar 16, 2023
- Discretionary RAUM · $167M to $152MMar 14, 2022 to Mar 16, 2023
- HNW RAUM · $160M to $145MMar 14, 2022 to Mar 16, 2023
Signals
6 dated events
- L••• A••• C••••• left B•• W••••• S••••••••• L•• for S•••••••• A•••••••• L•• (registered 2024-07-02)Jun 4, 2024 · Advisor changed firm · fact
- Lee Laura Flanagan (Cco) no longer on Schedule A of B•• W••••• S••••••••• L•• (listed 2020-10-01, absent 2021-03-09)Mar 9, 2021 · Control person left · inference
- Gail Allison Jaffe (Chief Compliance Officer) appeared on Schedule A of B•• W••••• S••••••••• L••Mar 9, 2021 · Control person joined · fact
- A••• Tracy Goldenberg (Chief Operating Officer) no longer on Schedule A of B•• W••••• S••••••••• L•• (listed 2020-06-03, absent 2020-10-01)Oct 1, 2020 · Control person left · inference
- A••• Tracy Goldenberg (Chief Operating Officer) appeared on Schedule A of B•• W••••• S••••••••• L••Mar 20, 2019 · Control person joined · fact
- B•• W••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Feb 14, 2013 · 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 email
- service@bppwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 908-442-7750reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/BPP-WEALTH-INCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- BPPWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (908) 442-7750reportedpublic record, Form ADV, Mar 9, 2026
- Contact form
- bppwealth.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- bppwealth.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $82.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026