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•••••••• W•••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jul 23, 2024 · 6 filings
SEC status approved since Aug 22, 2024
RAUM
$149M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$145M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$149M
derived; firm RAUM over IAPD count
Employees
6
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$149M as of Mar 27, 2026
Jan 23, 2025$129M then
HNW client RAUM$145M as of Mar 27, 2026
Jan 23, 2025$123M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Jan 23, 20251 then
Employees (5.A)6 as of Mar 27, 2026
Jan 23, 20256 then
Private funds: no history
RAUM +32% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 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
- $149MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $836,841derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%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
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $144M, 31 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$145M97%
- Charitable organizations$4.3M2.9%
- Individual clients
- 0reported
- HNW clients
- 31reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 178reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $144M for 31 clientsreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| A••• R•••••• H••• | Austin, Tx | Oct 3, 2022 | 16 y | 3 |
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
- A••• R•••••• H••• from R••••• A•••••••Oct 3, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• A•••• R•••••• · Principal, Chief Compliance Officercontrolsince 07/2022 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 150 to 178Mar 18, 2025 to Mar 27, 2026
- Assets in custody · $113M to $144MMar 18, 2025 to Mar 27, 2026
- Discretionary RAUM · $113M to $144MMar 18, 2025 to Mar 27, 2026
- HNW RAUM · $107M to $145MMar 18, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $0 to $4.7MMar 18, 2025 to Mar 27, 2026
- RAUM · $113M to $149MMar 18, 2025 to Mar 27, 2026
- RAUM · $129M to $113MJan 23, 2025 to Mar 18, 2025
- Accounts · 122 to 150Jan 23, 2025 to Mar 18, 2025
- HNW clients · 27 to 31Jan 23, 2025 to Mar 18, 2025
- Assets in custody · $123M to $113MJan 23, 2025 to Mar 18, 2025
- Financial planning clients · unset to Jan 23, 2025 to Mar 18, 2025
- Discretionary RAUM · $129M to $113MJan 23, 2025 to Mar 18, 2025
- HNW RAUM · $123M to $107MJan 23, 2025 to Mar 18, 2025
- Employees · 4 to 6Oct 7, 2024 to Jan 23, 2025
Signals
1 dated events
- B•••••••• W•••••• L•• filed its initial SEC registration (Form ADV)Jul 23, 2024 · 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
- h••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 512-222-9169reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/brookline-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- b•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-222-9169reportedpublic record, Form ADV, Mar 27, 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
- $149Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026