DFX Intelligence
RIA Intelligence
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SEC-registered adviser
B•••••• • J•••••• F••••• W••••• M•••••••••
Legal name B•••••• • J••••••• L••
Latest filing Jul 2, 2026
First filing on the tape May 5, 2016 · 8 filings
SEC status approved since Sep 19, 2025
RAUM
$113M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
97%
$109M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$56.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$113M as of Jul 2, 2026
Sep 19, 2025$106M then
HNW client RAUM$91.3M as of Jul 2, 2026
Sep 19, 2025$84.4M then
State-registered IARs (5.B.3)2 as of Jul 2, 2026
Sep 19, 20252 then
Employees (5.A)2 as of Jul 2, 2026
Sep 19, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 2, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $56.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $523,505derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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$91.3M81%
- Individuals$18.2M16%
- Pension and profit-sharing plans$3.6M3.2%
- Individual clients
- 59reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 216reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• L•••••• B••••••Certified Financial Planner | Pasadena, Ca | Jun 30, 2016 | 32 y | 2 |
| R•••••• M•••• J••••••Certified Financial Planner | Pasadena, Ca | Jul 1, 2016 | 25 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R•••••• M•••• J•••••• from W•••• F•••• A•••••••Jul 1, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L•••••• B•••••• from W•••• F•••• A•••••••Jun 30, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Jul 5, 2016 · Pasadena, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• M••••••• L•••••• · Partner And Chief Compliance Officercontrolsince 06/2016 · owns 50% to 75%
- J••••••• R••••••• M•••• · Partnercontrolsince 06/2016 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Pasadena, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 217 to 216Sep 19, 2025 to Feb 24, 2026
- HNW clients · 28 to 30Sep 19, 2025 to Feb 24, 2026
- Individual clients · 63 to 59Sep 19, 2025 to Feb 24, 2026
- Discretionary RAUM · $96.4M to $108MSep 19, 2025 to Feb 24, 2026
- HNW RAUM · $84.4M to $91.3MSep 19, 2025 to Feb 24, 2026
- Individual RAUM · $18.0M to $18.2MSep 19, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $9.1M to $5.3MSep 19, 2025 to Feb 24, 2026
- Pension RAUM · $3.1M to $3.6MSep 19, 2025 to Feb 24, 2026
- RAUM · $106M to $113MSep 19, 2025 to Feb 24, 2026
- Accounts · 207 to 217Sep 14, 2016 to Sep 19, 2025
- Business name · B•••••• • J••••••• L•• to B•••••• • J•••••• F••••• W••••• M•••••••••Sep 14, 2016 to Sep 19, 2025
- HNW clients · unset to 28.0Sep 14, 2016 to Sep 19, 2025
- Individual clients · unset to 63.0Sep 14, 2016 to Sep 19, 2025
- Financial planning clients · 0 to 1-10Sep 14, 2016 to Sep 19, 2025
- Other offices · unset to 0.0Sep 14, 2016 to Sep 19, 2025
- Discretionary RAUM · $47.4M to $96.4MSep 14, 2016 to Sep 19, 2025
- HNW RAUM · unset to 84350624.0Sep 14, 2016 to Sep 19, 2025
- Individual RAUM · unset to 18024578.0Sep 14, 2016 to Sep 19, 2025
- Non-discretionary RAUM · $0 to $9.1MSep 14, 2016 to Sep 19, 2025
- Pension RAUM · unset to 3145780.0Sep 14, 2016 to Sep 19, 2025
- RAUM · $47.4M to $106MSep 14, 2016 to Sep 19, 2025
- Accounts · 0 to 207Aug 18, 2016 to Sep 14, 2016
- Discretionary RAUM · $0 to $47.4MAug 18, 2016 to Sep 14, 2016
- RAUM · $0 to $47.4MAug 18, 2016 to Sep 14, 2016
- HQ city · PEMBROKE to PASADENAMay 5, 2016 to Jun 6, 2016
- HQ state · MA to CAMay 5, 2016 to Jun 6, 2016
- Business name · B•• A••••••• to B•••••• • J••••••• L••Jun 6, 2016 to Jun 6, 2016
- Legal name · B•• A••••••• to B•••••• • J••••••• L••Jun 6, 2016 to Jun 6, 2016
Signals
1 dated events
- B•• A••••••• filed its initial SEC registration (Form ADV)May 5, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B•••••• • J•••••• F••••• W••••• M••••••••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 626-405-2920reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 626-405-2997reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- B••••••ANDJ••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (626) 405-2920reportedpublic record, Form ADV, Jul 2, 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
- $56.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026