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••••••• A•••• M••••••••• L•
Latest filing May 1, 2026
First filing on the tape May 29, 2020 · 5 filings
SEC status approved since May 1, 2026
RAUM
$106M
reported, Item 5.F
Discretionary
54%
of RAUM
Private clients
68%
$71.9M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$35.5M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM: $106M
HNW client RAUM: $60.8M
State-registered IARs (5.B.3)3 as of May 1, 2026
May 29, 20200 then
Employees (5.A)8 as of May 1, 2026
May 29, 20206 then
Private funds7 as of May 1, 2026
May 29, 20202 then
Practice profile
derived from the filing of May 1, 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
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $26.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $412,724derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 54%derivedof RAUM
- Institutional
- 5.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$60.8M57%
- Pooled investment vehicles$20.2M19%
- Individuals$11.1M10%
- Corporations and businesses$8.0M7.5%
- Charitable organizations$6.3M5.9%
- Individual clients
- 48reported
- HNW clients
- 47reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 258reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.68 fund_share=0.19 institutional_share=0.06 related_bd=false related_bank=true bd_reps=1.0 bank_owner=falsederived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• W••• K•••• W••• | Princeton, Nj | Dec 22, 2020 | 26 y | 1 |
| V•••• A•••••••Certified Financial Planner | Princeton, Nj | Oct 21, 2021 | 10 y | 1 |
| C•••••••• E••••••••• L•••• | Princeton, Nj | Jun 14, 2024 | 16 y | 0 |
| A••••••• W••••••••• | Princeton, Nj | Sep 14, 2026 | 12 y | 0 |
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
- R••• J•••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 22, 2022 · Other
Joined, latest
- V•••• A••••••• from E••••• J••••Oct 21, 2021 · Other
- R••• J•••• S•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 24, 2021 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• C•••••• P••••••• F••• I• L• | Hedge Fund | $0 | 0 | May 29, 2020 |
| B••••••• M•••• F••• I• L• | Private Equity Fund | $0 | 0 | May 29, 2020 |
Owners and control persons
Schedule A and B, latest filing
- L••••• C••••••••• E••••••••• · Chief Compliance Officercontrolsince 08/2019 · owns less than 5%
- L••••• C••••••••• N••• · Cio, Portfolio Managercontrolsince 08/2019 · owns 75% or more
- B••••• F•••• · Shareholdercontrolsince 09/2003 · owns 25% to 50% of P•••• O•• N••••••• I•••
- B••••• L••• · Shareholdercontrolsince 09/2003 · owns 25% to 50% of P•••• O•• N••••••• I•••
Entity owners
- B••••••• A•••• M••••••••• L•• · General Partnerdirect · owns less than 5%
- P•••• O•• N••••••• I••• · Memberindirect · owns 75% or more of A•••••• C••••••• C•••••• L••
- A•••••• C••••••• C•••••• L•• · Limited Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- B••••••• C•••••• P••••••• G• L••bankpooled vehicle sponsorn
- B••••••• M•••• G• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Princeton, Nj · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · unset to 258.0Oct 26, 2020 to May 1, 2026
- Advisory employees · 4 to 3Oct 26, 2020 to May 1, 2026
- BD registered reps · 0 to 1Oct 26, 2020 to May 1, 2026
- Corporate clients · 0 to 12Oct 26, 2020 to May 1, 2026
- HNW clients · 0 to 47Oct 26, 2020 to May 1, 2026
- Individual clients · 0 to 48Oct 26, 2020 to May 1, 2026
- Pooled vehicle clients · 0 to 7Oct 26, 2020 to May 1, 2026
- Assets in custody · 0.0 to unsetOct 26, 2020 to May 1, 2026
- Employees · 6 to 8Oct 26, 2020 to May 1, 2026
- Financial planning clients · unset to Oct 26, 2020 to May 1, 2026
- State-registered IARs · 2 to 3Oct 26, 2020 to May 1, 2026
- Private funds · 2 to 7Oct 26, 2020 to May 1, 2026
- Discretionary RAUM · unset to 57594550.0Oct 26, 2020 to May 1, 2026
- HNW RAUM · unset to 60790549.0Oct 26, 2020 to May 1, 2026
- Individual RAUM · unset to 11125996.0Oct 26, 2020 to May 1, 2026
- Non-discretionary RAUM · unset to 48888362.0Oct 26, 2020 to May 1, 2026
- Pooled vehicle RAUM · unset to 20233000.0Oct 26, 2020 to May 1, 2026
- RAUM · unset to 106482912.0Oct 26, 2020 to May 1, 2026
- Assets in custody · unset to 0.0Aug 7, 2020 to Oct 26, 2020
- State-registered IARs · 0 to 2Aug 7, 2020 to Oct 26, 2020
Signals
3 dated events
- A••••••• W••••••••• registered as an investment adviser representative at B••••••• A•••• M••••••••• L•Sep 14, 2026 · Advisor registered · fact
- R••• J•••• S•••••• left B••••••• A•••• M••••••••• L• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-08-29)Jul 22, 2022 · Advisor changed firm · fact
- B••••••• A•••• M••••••••• L• filed its initial SEC registration (Form ADV)May 29, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B••••••• A•••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 303-797-9080reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 609-917-7900reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/bergamot-asset-management-llc/aboutreportedpublic record, Form ADV, Sep 19, 2026
- Website
- b•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 609-917-7900reportedpublic record, Form ADV, May 1, 2026
- Contact form
- b•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $35.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026