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••• B•••• F•••••••• A•••••••• L••

Former SEC-registered adviserHolmdel, New JerseyCRD 171269SEC 801-79802IAPD
Latest filing Mar 13, 2019
First filing on the tape May 19, 2014 · 10 filings
RAUM
$174M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$172M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$174M as of Mar 13, 2019
Mar 26, 2015$138M then
HNW client RAUM$163M as of Mar 13, 2019
Mar 16, 2018$164M then
State-registered IARs (5.B.3)4 as of Mar 13, 2019
Mar 26, 20152 then
Employees (5.A)4 as of Mar 13, 2019
Mar 26, 20154 then
Private funds: no history
RAUM -3.6% over the last fiscal year+16% a year over threeIARs 2 to 4offices 0 to 1
Practice profile
derived from the filing of Mar 13, 2019; every figure names its basis
RAUM per advisor
$43.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
20derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$355,353derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-3.6%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.9%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$48.4M, 41 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)
  • 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
  • High-net-worth individuals$163M94%
  • Individuals$8.7M5.0%
  • Pension and profit-sharing plans$1.7M1.0%
Individual clients
27reported
HNW clients
52reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
489reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$48.4M for 41 clientsreported
Compensation
% of AUM, fixedreported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••••• F••••• J••• · Manager/ Chief Compliance Officercontrol
      since 05/2014 · owns 75% or more
    • C••••••• F••••• T••••• · Membercontrol
      since 05/2014 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Harrison, NY1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 459 to 489
      Jul 24, 2018 to Mar 13, 2019
    • Advisory employees · 2 to 4
      Jul 24, 2018 to Mar 13, 2019
    • HNW clients · 48 to 52
      Jul 24, 2018 to Mar 13, 2019
    • Individual clients · 28 to 27
      Jul 24, 2018 to Mar 13, 2019
    • Assets in custody · $76.7M to $48.4M
      Jul 24, 2018 to Mar 13, 2019
    • State-registered IARs · 2 to 4
      Jul 24, 2018 to Mar 13, 2019
    • Discretionary RAUM · $179M to $172M
      Jul 24, 2018 to Mar 13, 2019
    • HNW RAUM · $164M to $163M
      Jul 24, 2018 to Mar 13, 2019
    • Individual RAUM · $14.8M to $8.7M
      Jul 24, 2018 to Mar 13, 2019
    • Non-discretionary RAUM · $1.7M to $1.6M
      Jul 24, 2018 to Mar 13, 2019
    • Pension RAUM · $1.7M to $1.7M
      Jul 24, 2018 to Mar 13, 2019
    • RAUM · $180M to $174M
      Jul 24, 2018 to Mar 13, 2019
    • Other offices · 0 to 1
      Mar 16, 2018 to Jul 24, 2018
    • Accounts · 419 to 459
      May 15, 2017 to Mar 16, 2018
    • HNW clients · unset to 48.0
      May 15, 2017 to Mar 16, 2018
    • Individual clients · unset to 28.0
      May 15, 2017 to Mar 16, 2018
    • Assets in custody · unset to 76674064.0
      May 15, 2017 to Mar 16, 2018
    • Custody of client assets · false to true
      May 15, 2017 to Mar 16, 2018
    • Other offices · unset to 0.0
      May 15, 2017 to Mar 16, 2018
    • Discretionary RAUM · $135M to $179M
      May 15, 2017 to Mar 16, 2018
    • HNW RAUM · unset to 163842786.0
      May 15, 2017 to Mar 16, 2018
    • Individual RAUM · unset to 14790580.0
      May 15, 2017 to Mar 16, 2018
    • Non-discretionary RAUM · $1.9M to $1.7M
      May 15, 2017 to Mar 16, 2018
    • Pension RAUM · unset to 1704970.0
      May 15, 2017 to Mar 16, 2018
    • RAUM · $137M to $180M
      May 15, 2017 to Mar 16, 2018
    • HQ city · RED BANK to HOLMDEL
      Mar 16, 2017 to May 15, 2017
    • Accounts · 384 to 419
      Mar 7, 2016 to Mar 16, 2017
    • Employees · 3 to 4
      Mar 7, 2016 to Mar 16, 2017
    • Financial planning clients · 26-50 to 51-100
      Mar 7, 2016 to Mar 16, 2017
    • Discretionary RAUM · $109M to $135M
      Mar 7, 2016 to Mar 16, 2017
    • Non-discretionary RAUM · $1.6M to $1.9M
      Mar 7, 2016 to Mar 16, 2017
    • RAUM · $111M to $137M
      Mar 7, 2016 to Mar 16, 2017
    • Accounts · 361 to 384
      Mar 26, 2015 to Mar 7, 2016
    • Employees · 4 to 3
      Mar 26, 2015 to Mar 7, 2016
    • Insurance-licensed employees · 2 to 0
      Mar 26, 2015 to Mar 7, 2016
    • Financial planning clients · 0 to 26-50
      Mar 26, 2015 to Mar 7, 2016
    • Discretionary RAUM · $136M to $109M
      Mar 26, 2015 to Mar 7, 2016
    • Non-discretionary RAUM · $1.8M to $1.6M
      Mar 26, 2015 to Mar 7, 2016
    • RAUM · $138M to $111M
      Mar 26, 2015 to Mar 7, 2016
    • Accounts · 345 to 361
      Nov 26, 2014 to Mar 26, 2015
    Signals
    1 dated events
    • B••• B•••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      May 19, 2014 · 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.
    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