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••• C••••••
Legal name B••• C•••••• M••••••••• L••
Latest filing May 24, 2026
First filing on the tape Jan 14, 2021 · 12 filings
SEC status approved since Feb 12, 2021
RAUM
$168M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
100%
$168M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$84.2M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$168M as of May 24, 2026
Mar 24, 2022$88.3M then
HNW client RAUM$129M as of May 24, 2026
Mar 24, 2022$31.6M then
State-registered IARs (5.B.3)2 as of May 24, 2026
Mar 24, 20222 then
Employees (5.A)3 as of May 24, 2026
Mar 24, 20223 then
Private funds: no history
RAUM +35% over the last fiscal year+24% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 24, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $84.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 141derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $599,054derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $148MreportedItem 5.I
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$129M76%
- Individuals$39.6M24%
- Individual clients
- 206reported
- HNW clients
- 75reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 281reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| J••••• A•••• B••• | Rochester, Ny | Apr 4, 2021 | 16 y | 0 |
| D•••• S••• N•••• | Rochester, Ny | Oct 23, 2023 | 19 y | 2 |
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 headcount1 left over 36 months
Left, latest
- K••• C•••• K•••• to E••••••• • A•••••••••Sep 17, 2024 · RIA to RIA
Joined, latest
- D•••• S••• N•••• from L•• F•••••••• L••Oct 23, 2023 · Affiliated broker-dealer or bank to independent RIA
- K••• C•••• K•••• from L•• F•••••••• L••Apr 19, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• J••••• · Managing Member, Chief Executive Officer, & Chief Compliance Officercontrolsince 10/2020 · owns 50% to 75%
- M••• A•••••• K• · Managing Membercontrolsince 11/2020 · owns 75% or more of M••••• L••
- B•••• J•••••• A•••• · Membersince 11/2020 · owns F of M••••• L••
Entity owners
- M••••• L•• · Memberdirect · 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 |
|---|---|---|---|---|---|
| Rochester, Ny · principal | 2 | 0 | 0 | ||
| Spencerport, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing May 24, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-01-03, yes on the filing of 2026-05-24peers: independent wealth managers, $100M to $500M (5,676)
- custody status changedChange between filings · filing May 24, 2026custody of client assets (Item 9.A): yes on the filing of 2025-01-03, no on the filing of 2026-05-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 643 to 281Jan 3, 2025 to May 24, 2026
- Advisory activities · 2 to 4Jan 3, 2025 to May 24, 2026
- HNW clients · 23 to 75Jan 3, 2025 to May 24, 2026
- Individual clients · 509 to 206Jan 3, 2025 to May 24, 2026
- Assets in custody · 150000.0 to unsetJan 3, 2025 to May 24, 2026
- Custody of client assets · true to falseJan 3, 2025 to May 24, 2026
- Discretionary RAUM · $110M to $148MJan 3, 2025 to May 24, 2026
- HNW RAUM · $51.0M to $129MJan 3, 2025 to May 24, 2026
- Individual RAUM · $57.1M to $39.6MJan 3, 2025 to May 24, 2026
- Non-discretionary RAUM · $14.3M to $20.2MJan 3, 2025 to May 24, 2026
- Pension RAUM · 16403051.0 to unsetJan 3, 2025 to May 24, 2026
- RAUM · $124M to $168MJan 3, 2025 to May 24, 2026
- Financial planning clients · 251-500 to 251-500Oct 2, 2024 to Jan 3, 2025
- Accounts · 452 to 643Mar 24, 2022 to Jul 23, 2024
- HNW clients · 11 to 23Mar 24, 2022 to Jul 23, 2024
- Individual clients · 442 to 509Mar 24, 2022 to Jul 23, 2024
- Assets in custody · $19.1M to $150,000Mar 24, 2022 to Jul 23, 2024
- Financial planning clients · 101-250 to 251-500Mar 24, 2022 to Jul 23, 2024
- Discretionary RAUM · $68.4M to $110MMar 24, 2022 to Jul 23, 2024
- HNW RAUM · $31.6M to $51.0MMar 24, 2022 to Jul 23, 2024
- Individual RAUM · $44.2M to $57.1MMar 24, 2022 to Jul 23, 2024
- Non-discretionary RAUM · $19.9M to $14.3MMar 24, 2022 to Jul 23, 2024
- Pension RAUM · $12.5M to $16.4MMar 24, 2022 to Jul 23, 2024
- RAUM · $88.3M to $124MMar 24, 2022 to Jul 23, 2024
- Accounts · 236 to 452Nov 16, 2021 to Mar 24, 2022
- HNW clients · 31 to 11Nov 16, 2021 to Mar 24, 2022
- Individual clients · 94 to 442Nov 16, 2021 to Mar 24, 2022
- Assets in custody · unset to 19128236.0Nov 16, 2021 to Mar 24, 2022
- Custody of client assets · false to trueNov 16, 2021 to Mar 24, 2022
- Employees · 2 to 3Nov 16, 2021 to Mar 24, 2022
- State-registered IARs · 1 to 2Nov 16, 2021 to Mar 24, 2022
- Discretionary RAUM · $54.0M to $68.4MNov 16, 2021 to Mar 24, 2022
- HNW RAUM · $68.0M to $31.6MNov 16, 2021 to Mar 24, 2022
- Individual RAUM · $22.0M to $44.2MNov 16, 2021 to Mar 24, 2022
- Non-discretionary RAUM · $36.0M to $19.9MNov 16, 2021 to Mar 24, 2022
- Pension RAUM · unset to 12524391.0Nov 16, 2021 to Mar 24, 2022
- RAUM · $90.0M to $88.3MNov 16, 2021 to Mar 24, 2022
- Wrap assets (manager) · unset to 0.0Nov 16, 2021 to Mar 24, 2022
- Wrap assets (sponsor) · unset to 0.0Nov 16, 2021 to Mar 24, 2022
- HQ city · unset to ROCHESTERJun 21, 2021 to Nov 16, 2021
Signals
5 dated events
- C•••• K••• K•••• (Chief Operating Officer) no longer on Schedule A of B••• C•••••• (listed 2024-07-23, absent 2024-10-02)Oct 2, 2024 · Control person left · inference
- K••• C•••• K•••• left B••• C•••••• for E••••••• • A••••••••• (registered 2024-10-22)Sep 17, 2024 · Advisor changed firm · fact
- K A••••• Mui (Managing Member) appeared on Schedule A of B••• C••••••Nov 16, 2021 · Control person joined · fact
- C•••• K••• K•••• (Chief Operating Officer) appeared on Schedule A of B••• C••••••Apr 2, 2021 · Control person joined · fact
- B••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 14, 2021 · 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
- a•••••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- d••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 585-307-2502reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 585-727-0321reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 585-269-8511reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- b•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 585-269-8511reportedpublic record, Form ADV, May 24, 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
- $84.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026