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••• L••
Latest filing Mar 6, 2026
First filing on the tape Mar 31, 2017 · 18 filings
SEC status approved since Mar 15, 2017
RAUM
$51.0M
reported, Item 5.F
Discretionary
23%
of RAUM
Private clients
87%
$44.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$51.0M
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
18 filings and snapshots on the tape
RAUM$51.0M as of Mar 6, 2026
Mar 30, 2018$12.8M then
HNW client RAUM$44.5M as of Mar 6, 2026
Mar 30, 2018$12.8M then
State-registered IARs (5.B.3)0 as of Mar 6, 2026
Mar 30, 20180 then
Employees (5.A)2 as of Mar 6, 2026
Mar 30, 20182 then
Private funds: no history
RAUM -16% over the last fiscal year-0.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 6, 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
- $51.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.6MderivedHNW RAUM over HNW clients
- Average account
- $5.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 23%derivedof RAUM
- Institutional
- 13%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
- -16%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$44.5M87%
- Insurance companies$6.5M13%
- Individual clients
- n/areported
- HNW clients
- 8reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 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 |
|---|---|---|---|---|
| C••••• A•••••• P•••• | New York, Ny | Apr 5, 2019 | 19 y | 1 |
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
- C••••• A•••••• P•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 5, 2019 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••• O•••••• A•••••• D••••••• · Chief Executive Officer, Chief Compliance Officer ,Managing Membercontrolsince 10/2016 · owns 75% or more
Related persons
Schedule D 7.A
- B• A•••• M••••••••• I•••investment advisernRAUM $155M
- I•• A••••••••• S•investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 6, 2026discretionary share of RAUM moved from 41.0% to 23.0% between the annual amendments of 2025-02-21 and 2026-03-06peers: independent wealth managers, under $100M (707)
What changed
consecutive filings, newest first
- Accounts · 8 to 9Feb 21, 2025 to Mar 6, 2026
- Discretionary RAUM · $24.9M to $12.0MFeb 21, 2025 to Mar 6, 2026
- HNW RAUM · $61.0M to $44.5MFeb 21, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $36.1M to $39.0MFeb 21, 2025 to Mar 6, 2026
- RAUM · $61.0M to $51.0MFeb 21, 2025 to Mar 6, 2026
- Accounts · 9 to 8Apr 5, 2024 to Feb 21, 2025
- HNW clients · 9 to 8Apr 5, 2024 to Feb 21, 2025
- Financial planning clients · 0 to 0Apr 5, 2024 to Feb 21, 2025
- Discretionary RAUM · $28.2M to $24.9MApr 5, 2024 to Feb 21, 2025
- HNW RAUM · $57.8M to $61.0MApr 5, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $29.6M to $36.1MApr 5, 2024 to Feb 21, 2025
- RAUM · $57.8M to $61.0MApr 5, 2024 to Feb 21, 2025
- Accounts · 8 to 9May 11, 2023 to Mar 28, 2024
- Advisory activities · 3 to 2May 11, 2023 to Mar 28, 2024
- HNW clients · 8 to 9May 11, 2023 to Mar 28, 2024
- Discretionary RAUM · $23.7M to $28.2MMay 11, 2023 to Mar 28, 2024
- HNW RAUM · $52.3M to $57.8MMay 11, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $28.6M to $29.6MMay 11, 2023 to Mar 28, 2024
- RAUM · $52.3M to $57.8MMay 11, 2023 to Mar 28, 2024
- Related adviser · false to trueMay 11, 2023 to Mar 28, 2024
- Other offices · 1 to 0Nov 3, 2022 to Mar 9, 2023
- Discretionary RAUM · $27.9M to $23.7MNov 3, 2022 to Mar 9, 2023
- HNW RAUM · $63.2M to $52.3MNov 3, 2022 to Mar 9, 2023
- Non-discretionary RAUM · $35.3M to $28.6MNov 3, 2022 to Mar 9, 2023
- RAUM · $63.2M to $52.3MNov 3, 2022 to Mar 9, 2023
- Discretionary RAUM · $20.9M to $27.9MMar 31, 2021 to Feb 15, 2022
- HNW RAUM · $60.1M to $63.2MMar 31, 2021 to Feb 15, 2022
- Non-discretionary RAUM · $39.2M to $35.3MMar 31, 2021 to Feb 15, 2022
- RAUM · $60.1M to $63.2MMar 31, 2021 to Feb 15, 2022
- Discretionary RAUM · $17.6M to $20.9MJun 17, 2020 to Mar 31, 2021
- HNW RAUM · $58.0M to $60.1MJun 17, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $40.4M to $39.2MJun 17, 2020 to Mar 31, 2021
- RAUM · $58.0M to $60.1MJun 17, 2020 to Mar 31, 2021
- Accounts · 7 to 8Mar 29, 2019 to Mar 12, 2020
- HNW clients · 7 to 8Mar 29, 2019 to Mar 12, 2020
- Discretionary RAUM · $54.9M to $17.6MMar 29, 2019 to Mar 12, 2020
- HNW RAUM · $54.9M to $58.0MMar 29, 2019 to Mar 12, 2020
- Non-discretionary RAUM · $0 to $40.4MMar 29, 2019 to Mar 12, 2020
- RAUM · $54.9M to $58.0MMar 29, 2019 to Mar 12, 2020
- Accounts · 4 to 7Jun 29, 2018 to Mar 29, 2019
Signals
2 dated events
- B••• L•• filed its initial SEC registration (Form ADV)Mar 31, 2017 · First SEC registration · fact
- B••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 31, 2017 · Succession (Item 4) · 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
- Principal office phone
- 9179515150reportedpublic record, Form ADV, Mar 6, 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
- $51.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026