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••••••• F•••••••• G••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Apr 10, 2018 · 15 filings
SEC status approved since May 7, 2018
RAUM
$94.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$94.2M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$47.1M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$94.2M as of Mar 31, 2026
Mar 19, 2019$40.0M then
HNW client RAUM$35.0M as of Mar 31, 2026
Mar 19, 2019$2.5M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 19, 20192 then
Employees (5.A)5 as of Mar 31, 2026
Mar 19, 20194 then
Private funds: no history
RAUM +21% over the last fiscal year+19% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $47.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 244derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $193,014derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$59.2M63%
- High-net-worth individuals$35.0M37%
- Individual clients
- 470reported
- HNW clients
- 18reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 488reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• H••••• S••••••••Chartered Financial Consultant | Rockville Centre, Ny | Jul 17, 2022 | 31 y | 2 |
| K•••• W•••••• C•••••• | Rockville Centre, Ny | Jan 2, 2026 | 24 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- K•••• W•••••• C•••••• from N••••••••• I••••••••• A•••••••• L••Jan 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- S•••• H••••• S•••••••• from L•• F•••••••• L••Jul 17, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• J••••• R•••• · Partner And Chief Compliance Officercontrolsince 04/2018 · owns 25% to 50%
- S••••••••• S••••• H••••• · Partnercontrolsince 04/2018 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Rockville Centre, Ny · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rockaway Park, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 447 to 488Mar 25, 2025 to Mar 31, 2026
- HNW clients · 15 to 18Mar 25, 2025 to Mar 31, 2026
- Individual clients · 432 to 470Mar 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $77.7M to $94.2MMar 25, 2025 to Mar 31, 2026
- HNW RAUM · $30.0M to $35.0MMar 25, 2025 to Mar 31, 2026
- Individual RAUM · $47.7M to $59.2MMar 25, 2025 to Mar 31, 2026
- RAUM · $77.7M to $94.2MMar 25, 2025 to Mar 31, 2026
- Accounts · 459 to 447Mar 26, 2024 to Mar 25, 2025
- Individual clients · 444 to 432Mar 26, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $67.5M to $77.7MMar 26, 2024 to Mar 25, 2025
- HNW RAUM · $20.0M to $30.0MMar 26, 2024 to Mar 25, 2025
- Individual RAUM · $47.5M to $47.7MMar 26, 2024 to Mar 25, 2025
- RAUM · $67.5M to $77.7MMar 26, 2024 to Mar 25, 2025
- Accounts · 445 to 459Mar 29, 2023 to Mar 26, 2024
- HNW clients · 11 to 15Mar 29, 2023 to Mar 26, 2024
- Individual clients · 434 to 444Mar 29, 2023 to Mar 26, 2024
- Discretionary RAUM · $56.0M to $67.5MMar 29, 2023 to Mar 26, 2024
- HNW RAUM · $16.0M to $20.0MMar 29, 2023 to Mar 26, 2024
- Individual RAUM · $40.0M to $47.5MMar 29, 2023 to Mar 26, 2024
- RAUM · $56.0M to $67.5MMar 29, 2023 to Mar 26, 2024
- Accounts · 308 to 445Apr 1, 2022 to Mar 29, 2023
- HNW clients · 7 to 11Apr 1, 2022 to Mar 29, 2023
- Individual clients · 301 to 434Apr 1, 2022 to Mar 29, 2023
- Discretionary RAUM · $62.0M to $56.0MApr 1, 2022 to Mar 29, 2023
- HNW RAUM · $15.0M to $16.0MApr 1, 2022 to Mar 29, 2023
- Individual RAUM · $47.0M to $40.0MApr 1, 2022 to Mar 29, 2023
- RAUM · $62.0M to $56.0MApr 1, 2022 to Mar 29, 2023
- Accounts · 425 to 308Mar 29, 2021 to Mar 16, 2022
- HNW clients · unset to 7.0Mar 29, 2021 to Mar 16, 2022
- Individual clients · unset to 301.0Mar 29, 2021 to Mar 16, 2022
- Discretionary RAUM · $57.0M to $62.0MMar 29, 2021 to Mar 16, 2022
- HNW RAUM · unset to 15000000.0Mar 29, 2021 to Mar 16, 2022
- Individual RAUM · unset to 47000000.0Mar 29, 2021 to Mar 16, 2022
- RAUM · $57.0M to $62.0MMar 29, 2021 to Mar 16, 2022
- Accounts · 280 to 425Dec 9, 2020 to Mar 29, 2021
- Corporate clients · 1.0 to unsetDec 9, 2020 to Mar 29, 2021
- HNW clients · 5.0 to unsetDec 9, 2020 to Mar 29, 2021
- Individual clients · 275.0 to unsetDec 9, 2020 to Mar 29, 2021
- Discretionary RAUM · $50.5M to $57.0MDec 9, 2020 to Mar 29, 2021
Signals
1 dated events
- B•• R•••• F•••••••• G•••• filed its initial SEC registration (Form ADV)Apr 10, 2018 · 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 email
- i•••@b•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- j••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- m•••@b•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 678-954-4000reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 718-833-4901reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 718-833-4903reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- B•••••••FINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (718) 833-4901reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- b•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- b•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $47.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026