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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Former SEC-registered adviser
B••••••• S••••••••• C•••••• M••••••••• I•••
Latest filing Mar 25, 2024
First filing on the tape Apr 15, 2021 · 10 filings
RAUM
$195M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$194M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$195M as of Mar 22, 2024
Mar 15, 2022$63.8M then
HNW client RAUM$85.1M as of Mar 22, 2024
Mar 15, 2022$42.7M then
State-registered IARs (5.B.3)2 as of Mar 22, 2024
Mar 15, 20222 then
Employees (5.A)2 as of Mar 22, 2024
Mar 15, 20222 then
Private funds: no history
RAUM +66% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 2024; every figure names its basis
- RAUM per advisor
- $97.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 271derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $222,807derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +66%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +69%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $195MreportedItem 5.I
- 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)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$109M56%
- High-net-worth individuals$85.1M44%
- Charitable organizations$1.2M0.6%
- Individual clients
- 477reported
- HNW clients
- 64reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 875reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $195M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
- D•••• S• P••••••• from F•• S••••••••• C•••••••••Aug 30, 2021 · Other
- M•••••• J•••• B•••• from C•••••• G•••• • C• I••Jun 28, 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
- A••••••• L•••• A•• · Chief Compliance Officercontrolsince 04/2021 · owns less than 5%
- C•••••• G•••••• T••••• · Ceocontrolsince 11/2021 · owns 5% to 10%
- C•••••• G•••••• T••••• · Shareholdercontrolsince 12/2017 · owns 50% to 75% of B••••••• S••••••••• H•••••••• I•••
- D••••••• S•••••• J••••• · Shareholdercontrolsince 12/2022 · owns F of B••••••• S••••••••• H•••••••• I•••
- P•••••••• D••••• S• · Principalsince 07/2021 · owns less than 5%
- A••••••••• T•••• W• · Shareholdersince 08/2021 · owns F of B••••••• S••••••••• H•••••••• I•••
- F•••••••• S••••••••• A•••••• · Shareholdersince 02/2019 · owns F of B••••••• S••••••••• H•••••••• I•••
- H••••••••• M•••••• · Shareholdersince 12/2021 · owns F of B••••••• S••••••••• H•••••••• I•••
- H•••••• D••••••• A••••• · Shareholdersince 12/2017 · owns F of B••••••• S••••••••• H•••••••• I•••
- H••••• S••••••• T• · Shareholdersince 02/2018 · owns F of B••••••• S••••••••• H•••••••• I•••
- K••••••• R•••••• A• · Shareholdersince 12/2017 · owns F of B••••••• S••••••••• H•••••••• I•••
- P•••••••• D••••• S• · Shareholdersince 07/2021 · owns F of B••••••• S••••••••• H•••••••• I•••
- W•••• C••••••• W•••••• · Shareholdersince 02/2018 · owns F of B••••••• S••••••••• H•••••••• I•••
- W•••• E••••• J••• · Shareholdersince 02/2018 · owns F of B••••••• S••••••••• H•••••••• I•••
Entity owners
- B••••••• S••••••••• H•••••••• I••• · Shareholderdirect · owns 75% or more
- S••••• B•••••• · Shareholderindirect · owns F of B••••••• S••••••••• H•••••••• I•••
Related persons
Schedule D 7.A
- B••••••• S••••••••• C••••broker-dealerinvestment advisercustodianyRAUM $931M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rochester, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 539 to 875Mar 22, 2023 to Mar 22, 2024
- Charity clients · 1 to 4Mar 22, 2023 to Mar 22, 2024
- HNW clients · 47 to 64Mar 22, 2023 to Mar 22, 2024
- Individual clients · 273 to 477Mar 22, 2023 to Mar 22, 2024
- Financial planning clients · 26-50 to 1-10Mar 22, 2023 to Mar 22, 2024
- Discretionary RAUM · $117M to $195MMar 22, 2023 to Mar 22, 2024
- HNW RAUM · $59.8M to $85.1MMar 22, 2023 to Mar 22, 2024
- Individual RAUM · $57.5M to $109MMar 22, 2023 to Mar 22, 2024
- RAUM · $117M to $195MMar 22, 2023 to Mar 22, 2024
- Wrap assets (manager) · unset to 0.0Mar 22, 2023 to Mar 22, 2024
- Wrap assets (sponsor) · unset to 194956017.0Mar 22, 2023 to Mar 22, 2024
- Accounts · 170 to 539Aug 25, 2022 to Mar 22, 2023
- Charity clients · unset to 1.0Aug 25, 2022 to Mar 22, 2023
- HNW clients · 26 to 47Aug 25, 2022 to Mar 22, 2023
- Individual clients · 51 to 273Aug 25, 2022 to Mar 22, 2023
- Discretionary RAUM · $60.4M to $117MAug 25, 2022 to Mar 22, 2023
- HNW RAUM · $42.7M to $59.8MAug 25, 2022 to Mar 22, 2023
- Individual RAUM · $21.0M to $57.5MAug 25, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $3.4M to $0Aug 25, 2022 to Mar 22, 2023
- RAUM · $63.8M to $117MAug 25, 2022 to Mar 22, 2023
- Accounts · 331 to 170Jul 22, 2021 to Mar 15, 2022
- HNW clients · 13 to 26Jul 22, 2021 to Mar 15, 2022
- Individual clients · 208 to 51Jul 22, 2021 to Mar 15, 2022
- Financial planning clients · 1-10 to 26-50Jul 22, 2021 to Mar 15, 2022
- Discretionary RAUM · $64.8M to $60.4MJul 22, 2021 to Mar 15, 2022
- HNW RAUM · $23.5M to $42.7MJul 22, 2021 to Mar 15, 2022
- Individual RAUM · $44.3M to $21.0MJul 22, 2021 to Mar 15, 2022
- Non-discretionary RAUM · $3.0M to $3.4MJul 22, 2021 to Mar 15, 2022
- RAUM · $67.8M to $63.8MJul 22, 2021 to Mar 15, 2022
- Accounts · 0 to 331Jun 25, 2021 to Jul 22, 2021
- HNW clients · unset to 13.0Jun 25, 2021 to Jul 22, 2021
- Individual clients · unset to 208.0Jun 25, 2021 to Jul 22, 2021
- Financial planning clients · 0 to 1-10Jun 25, 2021 to Jul 22, 2021
- Discretionary RAUM · $0 to $64.8MJun 25, 2021 to Jul 22, 2021
- HNW RAUM · unset to 23457836.0Jun 25, 2021 to Jul 22, 2021
- Individual RAUM · unset to 44336413.0Jun 25, 2021 to Jul 22, 2021
- Non-discretionary RAUM · $0 to $3.0MJun 25, 2021 to Jul 22, 2021
- RAUM · $0 to $67.8MJun 25, 2021 to Jul 22, 2021
Signals
4 dated events
- Lori Ann Alberts no longer registered at B••••••• S••••••••• C•••••• M••••••••• I•••; no later IA registration on IAPDJun 28, 2024 · Advisor departure · fact
- Joseph Samuel Dinorma (Shareholder) appeared on Schedule A of B••••••• S••••••••• C•••••• M••••••••• I•••Mar 22, 2023 · Control person joined · fact
- S. Jai Ramachandran (Shareholder) no longer on Schedule A of B••••••• S••••••••• C•••••• M••••••••• I••• (listed 2021-07-22, absent 2022-03-15)Mar 15, 2022 · Control person left · inference
- B••••••• S••••••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Apr 15, 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026