DFX Intelligence
RIA Intelligence
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SEC-registered adviser
B•••• P•••• C•••••• M••••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Jun 10, 2024 · 3 filings
SEC status approved since Jul 11, 2024
RAUM
$48.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
69%
$33.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$48.4M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$48.4M as of Mar 16, 2026
Mar 31, 2025$48.8M then
HNW client RAUM$30.6M as of Mar 16, 2026
Mar 31, 2025$30.5M then
State-registered IARs (5.B.3)1 as of Mar 16, 2026
Mar 31, 20251 then
Employees (5.A)2 as of Mar 16, 2026
Mar 31, 20252 then
Private funds: no history
RAUM -0.7% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 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
- $48.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.3%derived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companies, 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$30.6M63%
- Investment companies$14.5M30%
- Individuals$2.9M5.9%
- Pension and profit-sharing plans$246,3070.5%
- Charitable organizations$201,9950.4%
- Individual clients
- 10reported
- HNW clients
- 26reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 39reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.69 fund_share=0.3 institutional_share=0.01 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 |
|---|---|---|---|---|
| G•••• A••• G••••••••Chartered Financial Analyst | Metuchen, Nj | Jan 13, 2016 | 26 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••••••••• G••••• A••• · Principalcontrolsince 10/2015 · owns 75% or more
- C•••• Y• · Chief Compliance Officersince 04/2024 · owns less than 5%
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 · 41 to 39Mar 31, 2025 to Mar 16, 2026
- HNW clients · 28 to 26Mar 31, 2025 to Mar 16, 2026
- Discretionary RAUM · $48.8M to $48.4MMar 31, 2025 to Mar 16, 2026
- HNW RAUM · $30.5M to $30.6MMar 31, 2025 to Mar 16, 2026
- Individual RAUM · $2.6M to $2.9MMar 31, 2025 to Mar 16, 2026
- Pension RAUM · $237,445 to $246,307Mar 31, 2025 to Mar 16, 2026
- RAUM · $48.8M to $48.4MMar 31, 2025 to Mar 16, 2026
- Accounts · 38 to 41Jun 10, 2024 to Mar 31, 2025
- HNW clients · 25 to 28Jun 10, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jun 10, 2024 to Mar 31, 2025
- Discretionary RAUM · $28.8M to $48.8MJun 10, 2024 to Mar 31, 2025
- HNW RAUM · $25.9M to $30.5MJun 10, 2024 to Mar 31, 2025
- Individual RAUM · $2.4M to $2.6MJun 10, 2024 to Mar 31, 2025
- Pension RAUM · $217,326 to $237,445Jun 10, 2024 to Mar 31, 2025
- RAUM · $28.8M to $48.8MJun 10, 2024 to Mar 31, 2025
Signals
1 dated events
- B•••• P•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 10, 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
- Business phone
- 732-318-6598reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- b•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 732-841-6641reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- b•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $48.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026