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•••••• L••
Latest filing Sep 14, 2026
First filing on the tape May 25, 2016 · 51 filings
SEC status approved since Jun 2, 2016
RAUM
$3.2B
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
100%
$3.2B individuals and HNW
Advisors
25
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
50
29 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$3.2B as of Aug 14, 2026
Mar 2, 2017$495M then
HNW client RAUM$3.0B as of Aug 14, 2026
Feb 7, 2018$575M then
State-registered IARs (5.B.3)26 as of Aug 14, 2026
Mar 2, 20175 then
Employees (5.A)50 as of Aug 14, 2026
Mar 2, 201712 then
Private funds: no history
RAUM +19% over the last fiscal year+12% a year over threeIARs 20 to 26offices 2 to 3
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
- RAUM per advisor
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $480,864derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 6.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +30%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,500reportedItem 5.H
- Custody
- $387M, 435 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.0B93%
- Individuals$216M6.8%
- Charitable organizations$7.6M0.2%
- Individual clients
- 720reported
- HNW clients
- 722reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6,635reported
- Financial planning clients
- 1,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $387M for 435 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
25 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• K••••Certified Financial Planner | Houston, Tx | Jun 20, 2016 | 13 y | 2 |
| J•••• E••••• B•••••Certified Financial Planner, Chartered Financial Consultant | Miami Beach, Fl | Jun 20, 2016 | 19 y | 4 |
| M•••••• P•••••• D•••• | Fairfax, Va | Aug 22, 2016 | 12 y | 2 |
| N••• R••••••• C••••••Certified Financial Planner | Mclean, Va | Apr 8, 2020 | 24 y | 3 |
| M•••••• B••••• C•••••Certified Financial Planner | Mclean, Va | Nov 13, 2020 | 19 y | 3 |
| S••••• R•••••••Certified Financial Planner | Mclean, Va | Apr 28, 2022 | 10 y | 0 |
| M•••• L••• G••••Certified Financial Planner | Houston, Tx | May 5, 2022 | 26 y | 3 |
| B•••• P••• W••••••Certified Financial Planner | Vienna, Va | May 5, 2022 | 19 y | 3 |
| M••••• B•••• V•••Certified Financial Planner | Falls Church, Va | Jul 12, 2022 | 19 y | 2 |
| D••••• E••••Certified Financial Planner | Mclean, Va | Oct 21, 2022 | 12 y | 2 |
| P•••••• J• M•••••••Certified Financial Planner | Mclean, Va | Oct 26, 2022 | 10 y | 0 |
| N•••••• A•••••• C•••••••Certified Financial Planner | Mclean, Va | Jun 27, 2023 | 13 y | 0 |
| S•••••• E•••••••• K•••••• | Mclean, Va | Jul 27, 2023 | 12 y | 2 |
| A••••• M• M•••Certified Financial Planner | Houston, Tx | Dec 14, 2023 | 12 y | 2 |
| C••• H••••••• B•••••Certified Financial Planner | Mclean, Va | Jul 1, 2024 | 12 y | 0 |
| S••••• L••••••• T•••••••Certified Financial Planner | Mclean, Va | Aug 8, 2024 | 22 y | 4 |
| G•••••• F••••• O••••Certified Financial Planner | Houston, Tx | Apr 9, 2025 | 11 y | 5 |
| V••••••• E•••••••• H•••••Certified Financial Planner | Mclean, Va | May 14, 2025 | 13 y | 0 |
| N••••• J•••• V•••••••••Certified Financial Planner | Mclean, Va | Jun 3, 2025 | 11 y | 0 |
| A••••• H•••••••Certified Financial Planner | The Woodlands, Tx | Jun 17, 2025 | 10 y | 2 |
| A•••• C•••••• E•••••••••Certified Financial Planner | Mclean, Va | Nov 19, 2025 | 15 y | 1 |
| C••••• H••••• M••••••••Certified Financial Planner | Mclean, Va | Jan 8, 2026 | 13 y | 1 |
| T••••• A•••••••• K••••••Certified Financial Planner | Mclean, Va | May 12, 2026 | 10 y | 0 |
| E•••• K•••••• W••••Certified Financial Planner | Mclean, Va | May 12, 2026 | 10 y | 0 |
| J••• N••••••• D••••Certified Financial Planner | Houston, Tx | Jul 3, 2026 | 10 y | 0 |
Advisor movement
6 left, 2 joined in 12 months
net -4 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 24% of current headcount9 left over 36 months
Left, latest
- T•••• L•••• D••• to E•••••• F•••••••• E••••••Jul 10, 2026 · RIA to RIA
- J••• H•• S•• to H•••••••• A••••••• C••••May 19, 2026 · Other
- S••• E• G••••• to R••••• W• B•••• • C•• I•••••••••Mar 27, 2026 · RIA to RIA
- H••••••• C•••• M•••••• to R••••••••• C•••••• P•••••••Mar 26, 2026 · RIA to RIA
- G•••••• M•••••• K•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 22, 2025 · RIA to affiliated broker-dealer or bank
- A••• J•••• P•••• to K•••••• C•••••• M•••••••••Oct 3, 2025 · RIA to RIA
- K•••• K•••••••• to A••••••••• F•••••••• S•••••••• L••Jul 22, 2024 · RIA to affiliated broker-dealer or bank
- J•••• M•••••• G••••• to E•••••• F•••••••• E••••••Jun 4, 2024 · RIA to RIA
- J••••••• A••••••• M••••••••• to S••••••••• G••••• • K••• • W••••• A•••••••Nov 2, 2023 · RIA to RIA
- S••••• L••••••• T••••••• to 4• W••••• M••••••••• L••Feb 13, 2023 · RIA to RIA
- W•••••• A•••••••• M••• to O•••• W•••••• I•••Oct 31, 2022 · RIA to affiliated broker-dealer or bank
- M••• K••••••• to A••••••• F••••••••• L•••Jul 22, 2022 · RIA to affiliated broker-dealer or bank
- F••• S••••• L••••••• to O•••• W•••••• I•••Apr 22, 2022 · RIA to affiliated broker-dealer or bank
- M•••••• B•••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Oct 18, 2021 · RIA to affiliated broker-dealer or bank
- G•••• M••••••• S••••• to W•••••• P•••••••Oct 21, 2020 · RIA to RIA
Joined, latest
- C••••• H••••• M•••••••• from E•••••• W••••• M••••••••• L••Jan 8, 2026 · RIA to RIA
- A•••• C•••••• E••••••••• from S•••• W••••• M••••••••• L••Nov 19, 2025 · Affiliated broker-dealer or bank to independent RIA
- A••••• H••••••• from W••••• J•••••• W•••••Jun 17, 2025 · RIA to RIA
- T•••• L•••• D••• from P•••••••• S••••••••• I•••Apr 14, 2025 · Other
- G•••••• F••••• O•••• from F•••• P••••••• W•••••• L••Apr 9, 2025 · RIA to RIA
- S••••• L••••••• T••••••• from 4• W••••• M••••••••• L••Aug 8, 2024 · RIA to RIA
- S••• E• G••••• from M••••• S••••••Apr 7, 2024 · Wirehouse to independent RIA
- A••••• M• M••• from T•• M••••• G••••• L••Dec 14, 2023 · RIA to RIA
- K•••• K•••••••• from M••••• S••••••Nov 16, 2023 · Wirehouse to independent RIA
- S•••••• E•••••••• K•••••• from T••••• I••••••••• P••••••• L••Jul 27, 2023 · RIA to RIA
- J•••• M•••••• G••••• from E•••••• F•••••••• E••••••Mar 6, 2023 · RIA to RIA
- S••••• L••••••• T••••••• from W••••••••• F•••••••• S•••••••• L••Oct 26, 2022 · Other
- D••••• E•••• from W•••• F•••• A•••••••Oct 21, 2022 · Wirehouse to independent RIA
- M••••• B•••• V••• from F••••••• P••••••• A•• W•••••••• A•••••••Jul 12, 2022 · Affiliated broker-dealer or bank to independent RIA
- M•••• L••• G•••• from C••••••••• F•••••••• N••••••May 5, 2022 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from M••••• S••••••Jul 15, 2016 · Mclean, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J••••• E••••• · Chief Executive Officer, Treasurer And Secretarycontrolsince 06/2016 · owns less than 5%
- C••••• D••••••• · Controllercontrolsince 08/2025 · owns less than 5%
- D••••• M•••••••• A••• · Chief Administrative Officercontrolsince 11/2025 · owns less than 5%
- E••••••••• A••••• C•••••• · Chief Operating Officercontrolsince 11/2025 · owns less than 5%
- F••••••• J••••••• M••• · Presidentcontrolsince 02/2025 · owns less than 5%
- K••••••• S••••••• E•••••••• · Chief Compliance Officercontrolsince 01/2025 · owns less than 5%
- S••••••• A••••••••• C• · Chief Investment Officercontrolsince 01/2022 · owns less than 5%
Entity owners
- B••••• W••••• M••••• L•• · Memberdirect · 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 |
|---|---|---|---|---|---|
| Mclean, Va · principal | 25 | 5 | 6 | ||
| The Woodlands, Tx | 7 | 0 | 0 | ||
| Houston, Tx | 5 | 1 | 0 | ||
| Vienna, Va | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- The Woodlands, TX4 employees
- Houston, TX3 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 14, 2026C••••• D••••••• (CONTROLLER) appeared on Schedule A between the filings of 2022-03-15 and 2026-09-14peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Sep 14, 2026F••••••• J••••••• M••• (PRESIDENT) appeared on Schedule A between the filings of 2022-03-15 and 2026-09-14peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Sep 14, 2026K••••••• S••••••• E•••••••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2022-03-15 and 2026-09-14peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Sep 14, 2026E••••••••• A••••• C•••••• (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2022-03-15 and 2026-09-14peers: independent wealth managers, $1B to $5B (1,362)
- new owner headcount expandsCombination · filing Mar 25, 2026B••••• W••••• M••••• L•• joined Schedule A on the filing of 2026-09-14; advisors 20.0 to 26.0 between the annual amendments of 2025-03-12 and 2026-03-25peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Financial planning clients · More than 500 to More than 500Aug 14, 2026 to Sep 14, 2026
- Related adviser · false to unsetAug 14, 2026 to Sep 14, 2026
- Related bank · false to unsetAug 14, 2026 to Sep 14, 2026
- Related broker-dealer · false to unsetAug 14, 2026 to Sep 14, 2026
- Related insurance company · false to unsetAug 14, 2026 to Sep 14, 2026
- Succession · false to unsetAug 14, 2026 to Sep 14, 2026
- Accounts · 6,117 to 6,635Dec 9, 2025 to Mar 25, 2026
- Advisory employees · 23 to 29Dec 9, 2025 to Mar 25, 2026
- HNW clients · 627 to 722Dec 9, 2025 to Mar 25, 2026
- Individual clients · 702 to 720Dec 9, 2025 to Mar 25, 2026
- Assets in custody · $154M to $387MDec 9, 2025 to Mar 25, 2026
- Employees · 41 to 50Dec 9, 2025 to Mar 25, 2026
- State-registered IARs · 20 to 26Dec 9, 2025 to Mar 25, 2026
- Discretionary RAUM · $2.1B to $2.5BDec 9, 2025 to Mar 25, 2026
- HNW RAUM · $2.5B to $3.0BDec 9, 2025 to Mar 25, 2026
- Individual RAUM · $162M to $216MDec 9, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $627M to $680MDec 9, 2025 to Mar 25, 2026
- RAUM · $2.7B to $3.2BDec 9, 2025 to Mar 25, 2026
- Other offices · 2 to 3Mar 12, 2025 to Aug 29, 2025
- Financial planning clients · More than 500 to More than 500Feb 4, 2025 to Mar 12, 2025
- Accounts · 6,495 to 6,117Oct 21, 2024 to Feb 4, 2025
- Advisory employees · 20 to 23Oct 21, 2024 to Feb 4, 2025
- HNW clients · 619 to 627Oct 21, 2024 to Feb 4, 2025
- Individual clients · 640 to 702Oct 21, 2024 to Feb 4, 2025
- Assets in custody · $115M to $154MOct 21, 2024 to Feb 4, 2025
- Employees · 36 to 41Oct 21, 2024 to Feb 4, 2025
- State-registered IARs · 17 to 20Oct 21, 2024 to Feb 4, 2025
- Discretionary RAUM · $1.8B to $2.1BOct 21, 2024 to Feb 4, 2025
- HNW RAUM · $2.4B to $2.5BOct 21, 2024 to Feb 4, 2025
- Individual RAUM · $194M to $162MOct 21, 2024 to Feb 4, 2025
- Non-discretionary RAUM · $795M to $627MOct 21, 2024 to Feb 4, 2025
- RAUM · $2.6B to $2.7BOct 21, 2024 to Feb 4, 2025
- Other offices · 3 to 2Jul 1, 2024 to Oct 18, 2024
- Accounts · 6,056 to 6,495Mar 4, 2023 to Mar 6, 2024
- Advisory employees · 16 to 20Mar 4, 2023 to Mar 6, 2024
- HNW clients · 568 to 619Mar 4, 2023 to Mar 6, 2024
- Individual clients · 680 to 640Mar 4, 2023 to Mar 6, 2024
- Assets in custody · $423M to $115MMar 4, 2023 to Mar 6, 2024
- Employees · 28 to 36Mar 4, 2023 to Mar 6, 2024
- State-registered IARs · 13 to 17Mar 4, 2023 to Mar 6, 2024
Signals
19 dated events
- T•••• L•••• D••• left B••••• W•••••• L•• for E•••••• F•••••••• E•••••• (registered 2026-07-16)Jul 10, 2026 · Advisor changed firm · fact
- S••• E• G••••• left B••••• W•••••• L•• for R••••• W• B•••• • C•• I••••••••• (registered 2026-04-03)Mar 27, 2026 · Advisor changed firm · fact
- H••••••• C•••• M•••••• left B••••• W•••••• L•• for R••••••••• C•••••• P••••••• (registered 2026-04-06)Mar 26, 2026 · Advisor changed firm · fact
- G•••••• M•••••• K•••• left B••••• W•••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-03-19)Oct 22, 2025 · Advisor changed firm · fact
- A••• J•••• P•••• left B••••• W•••••• L•• for K•••••• C•••••• M••••••••• (registered 2025-10-24)Oct 3, 2025 · Advisor changed firm · fact
- K•••• K•••••••• left B••••• W•••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-07-25)Jul 22, 2024 · Advisor changed firm · fact
- J•••• M•••••• G••••• left B••••• W•••••• L•• for E•••••• F•••••••• E•••••• (registered 2024-09-18)Jun 4, 2024 · Advisor changed firm · fact
- J••••••• A••••••• M••••••••• left B••••• W•••••• L•• for S••••••••• G••••• • K••• • W••••• A••••••• (registered 2024-06-06)Nov 2, 2023 · Advisor changed firm · fact
- S••••• L••••••• T••••••• left B••••• W•••••• L•• for 4• W••••• M••••••••• L•• (registered 2023-03-06)Feb 13, 2023 · Advisor changed firm · fact
- W•••••• A•••••••• M••• left B••••• W•••••• L•• for O•••• W•••••• I••• (registered 2022-11-15)Oct 31, 2022 · Advisor changed firm · fact
- M••• K••••••• left B••••• W•••••• L•• for A••••••• F••••••••• L••• (registered 2022-08-11)Jul 22, 2022 · Advisor changed firm · fact
- F••• S••••• L••••••• left B••••• W•••••• L•• for O•••• W•••••• I••• (registered 2022-03-23)Apr 22, 2022 · Advisor changed firm · fact
- B••••• W•••••• L•• reported RAUM $1.9B, up 47% from $1.3B (2021-10-18 to 2022-03-15)Mar 15, 2022 · RAUM change · derived
- C Aleksandr Spencer (Chief Investment Officer) appeared on Schedule A of B••••• W•••••• L••Mar 15, 2022 · Control person joined · fact
- B••••• W•••••• L•• reported RAUM $1.3B, up 38% from $947.5M (2020-10-14 to 2021-03-16)Mar 16, 2021 · RAUM change · derived
- J••• Brian Bogart (Member) no longer on Schedule A of B••••• W•••••• L•• (listed 2020-03-05, absent 2020-06-10)Jun 10, 2020 · Control person left · inference
- B••••• W•••••• L•• reported RAUM $947.5M, up 27% from $748.1M (2020-01-07 to 2020-03-05)Mar 5, 2020 · RAUM change · derived
- B••••• W•••••• L•• reported RAUM $708.6M, up 43% from $494.5M (2017-09-21 to 2018-02-07)Feb 7, 2018 · RAUM change · derived
- A•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 25, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/bogart-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- bogartwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (703) 570-8651reportedpublic record, Form ADV, Sep 14, 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
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026