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•••• F•••••••• M••••••••• G••••• L••
Latest filing Feb 17, 2025
First filing on the tape Jan 4, 2016 · 23 filings
SEC status approved since Jan 1, 2016
RAUM
$56.8M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
93%
$52.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$56.8M as of Feb 17, 2025
Mar 22, 2016$36.4M then
HNW client RAUM$29.9M as of Feb 17, 2025
Feb 26, 2018$14.1M then
State-registered IARs (5.B.3)1 as of Feb 17, 2025
Mar 22, 20161 then
Employees (5.A)3 as of Feb 17, 2025
Mar 22, 20161 then
Private funds: no history
RAUM +23% over the last fiscal year+3.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 17, 2025; every figure names its basis
- RAUM per advisor
- $56.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $512,117derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +25%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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$29.9M53%
- Individuals$22.8M40%
- Other investment advisers$2.3M4.1%
- Pension and profit-sharing plans$1.9M3.3%
- Individual clients
- 89reported
- HNW clients
- 16reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 111reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $2.3M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- T••••• J•••• B•••• to L•• F•••••••• L••Dec 31, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- T••••• J•••• B•••• from W••••• S••••• S••••••••• I•••Apr 4, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• T•••••• J•••• · Managing Member/Chief Compliance Officercontrolsince 12/2015 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Latham, Ny · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 84 to 111Mar 15, 2024 to Feb 17, 2025
- HNW clients · 13 to 16Mar 15, 2024 to Feb 17, 2025
- Individual clients · 71 to 89Mar 15, 2024 to Feb 17, 2025
- Employees · 2 to 3Mar 15, 2024 to Feb 17, 2025
- Financial planning clients · 0 to 0Mar 15, 2024 to Feb 17, 2025
- Discretionary RAUM · $44.6M to $55.0MMar 15, 2024 to Feb 17, 2025
- HNW RAUM · $20.3M to $29.9MMar 15, 2024 to Feb 17, 2025
- Individual RAUM · $24.3M to $22.8MMar 15, 2024 to Feb 17, 2025
- Non-discretionary RAUM · $1.7M to $1.9MMar 15, 2024 to Feb 17, 2025
- Pension RAUM · $1.7M to $1.9MMar 15, 2024 to Feb 17, 2025
- RAUM · $46.4M to $56.8MMar 15, 2024 to Feb 17, 2025
- Wrap assets (manager) · $2.2M to $2.3MMar 15, 2024 to Feb 17, 2025
- Accounts · 106 to 84Apr 21, 2023 to Mar 14, 2024
- HNW clients · 11 to 13Apr 21, 2023 to Mar 14, 2024
- Individual clients · 95 to 71Apr 21, 2023 to Mar 14, 2024
- Financial planning clients · 1-10 to 0Apr 21, 2023 to Mar 14, 2024
- Discretionary RAUM · $44.5M to $44.6MApr 21, 2023 to Mar 14, 2024
- HNW RAUM · $18.3M to $20.3MApr 21, 2023 to Mar 14, 2024
- Individual RAUM · $26.3M to $24.3MApr 21, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $1.7M to $1.7MApr 21, 2023 to Mar 14, 2024
- Pension RAUM · $1.7M to $1.7MApr 21, 2023 to Mar 14, 2024
- RAUM · $46.2M to $46.4MApr 21, 2023 to Mar 14, 2024
- Wrap assets (manager) · $2.0M to $2.2MApr 21, 2023 to Mar 14, 2024
- Accounts · 103 to 106Oct 5, 2022 to Mar 15, 2023
- HNW clients · 12 to 11Oct 5, 2022 to Mar 15, 2023
- Individual clients · 89 to 95Oct 5, 2022 to Mar 15, 2023
- Financial planning clients · 0 to 1-10Oct 5, 2022 to Mar 15, 2023
- Discretionary RAUM · $49.4M to $44.5MOct 5, 2022 to Mar 15, 2023
- HNW RAUM · $23.1M to $18.3MOct 5, 2022 to Mar 15, 2023
- Individual RAUM · $26.3M to $26.3MOct 5, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $2.1M to $1.7MOct 5, 2022 to Mar 15, 2023
- Pension RAUM · $2.1M to $1.7MOct 5, 2022 to Mar 15, 2023
- RAUM · $51.5M to $46.2MOct 5, 2022 to Mar 15, 2023
- Wrap assets (manager) · $2.2M to $2.0MOct 5, 2022 to Mar 15, 2023
- Accounts · 98 to 103Mar 23, 2021 to Mar 19, 2022
- Individual clients · 84 to 89Mar 23, 2021 to Mar 19, 2022
- Financial planning clients · 1-10 to 0Mar 23, 2021 to Mar 19, 2022
- State-registered IARs · 0 to 1Mar 23, 2021 to Mar 19, 2022
- Discretionary RAUM · $49.3M to $49.4MMar 23, 2021 to Mar 19, 2022
- HNW RAUM · $21.4M to $23.1MMar 23, 2021 to Mar 19, 2022
Signals
4 dated events
- B•••• F•••••••• M••••••••• G••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $56.8M)Jan 2, 2026 · Left the SEC roster · derived
- T••••• J•••• B•••• left B•••• F•••••••• M••••••••• G••••• L•• for L•• F•••••••• L•• (registered 2025-10-29)Dec 31, 2025 · Advisor changed firm · fact
- B•••• F•••••••• M••••••••• G••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 4, 2016 · Succession (Item 4) · fact
- B•••• F•••••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)Jan 4, 2016 · 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