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•••••• G••••
Latest filing Mar 31, 2026
First filing on the tape Nov 22, 2022 · 16 filings
SEC status approved since Dec 21, 2022
RAUM
$215M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
94%
$203M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$215M as of Mar 31, 2026
Mar 21, 2023$0 then
HNW client RAUM$137M as of Mar 31, 2026
Mar 21, 2023$0 then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 21, 20233 then
Employees (5.A)4 as of Mar 31, 2026
Mar 21, 20234 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 4 to 3
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 158derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $669,542derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +25%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$137M64%
- Individuals$65.6M31%
- Pension and profit-sharing plans$11.2M5.2%
- Corporations and businesses$936,6770.4%
- Individual clients
- 244reported
- HNW clients
- 71reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 321reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.05 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•••• M•••••• S•••• | Albany, Ny | Dec 22, 2022 | 21 y | 1 |
| J••• F•••••• M••••••• | Albany, Ny | Feb 11, 2025 | 32 y | 1 |
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
- T•••• W•••••• R••• to D•••• A•••• C•••••••••Jul 1, 2025 · RIA to RIA
Joined, latest
- J••• F•••••• M••••••• from L•• F•••••••• L••Feb 11, 2025 · Affiliated broker-dealer or bank to independent RIA
- T•••• W•••••• R••• from L•• F•••••••• L••Jan 19, 2023 · RIA to a newly registered adviser
- J•••• M•••••• S•••• from L•• F•••••••• L••Dec 22, 2022 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• J••••• M•••••• · Managing Partner And Chief Compliance Officercontrolsince 10/2022 · owns 50% to 75%
- S••••• M••••••• A•••••• · Managing Partnercontrolsince 10/2022 · 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 |
|---|---|---|---|---|---|
| Albany, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 644.0 to 321.0 (-50.0%) between the annual amendments of 2025-03-24 and 2026-03-31; the peer median change was +5.0% (3687 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 3.0% percentile
What changed
consecutive filings, newest first
- Accounts · 644 to 321Jan 12, 2026 to Mar 31, 2026
- HNW clients · 46 to 71Jan 12, 2026 to Mar 31, 2026
- Individual clients · 205 to 244Jan 12, 2026 to Mar 31, 2026
- Pension plan clients · 4 to 5Jan 12, 2026 to Mar 31, 2026
- Financial planning clients · 101-250 to 51-100Jan 12, 2026 to Mar 31, 2026
- Discretionary RAUM · $154M to $204MJan 12, 2026 to Mar 31, 2026
- HNW RAUM · $81.8M to $137MJan 12, 2026 to Mar 31, 2026
- Individual RAUM · $63.8M to $65.6MJan 12, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $12.9M to $11.2MJan 12, 2026 to Mar 31, 2026
- Pension RAUM · $19.9M to $11.2MJan 12, 2026 to Mar 31, 2026
- RAUM · $167M to $215MJan 12, 2026 to Mar 31, 2026
- Advisory employees · 4 to 3Jun 11, 2025 to Jan 12, 2026
- Business name · S•••• W••••• to B••••••• A•••••• G••••Jun 11, 2025 to Jan 12, 2026
- Employees · 5 to 4Jun 11, 2025 to Jan 12, 2026
- State-registered IARs · 4 to 3Jun 11, 2025 to Jan 12, 2026
- Legal name · B••••••• A•••••• G••••• L•• to B••••••• A•••••• G••••Jun 11, 2025 to Jan 12, 2026
- Financial planning clients · 101-250 to 101-250Mar 24, 2025 to Jun 11, 2025
- Accounts · 443 to 644Feb 21, 2025 to Mar 24, 2025
- HNW clients · 40 to 46Feb 21, 2025 to Mar 24, 2025
- Individual clients · 176 to 205Feb 21, 2025 to Mar 24, 2025
- Discretionary RAUM · $82.8M to $154MFeb 21, 2025 to Mar 24, 2025
- HNW RAUM · $43.8M to $81.8MFeb 21, 2025 to Mar 24, 2025
- Individual RAUM · $32.0M to $63.8MFeb 21, 2025 to Mar 24, 2025
- Non-discretionary RAUM · $9.2M to $12.9MFeb 21, 2025 to Mar 24, 2025
- Pension RAUM · $15.7M to $19.9MFeb 21, 2025 to Mar 24, 2025
- RAUM · $91.9M to $167MFeb 21, 2025 to Mar 24, 2025
- Advisory employees · 3 to 4Apr 8, 2024 to Feb 21, 2025
- Employees · 4 to 5Apr 8, 2024 to Feb 21, 2025
- State-registered IARs · 3 to 4Apr 8, 2024 to Feb 21, 2025
- Accounts · 291 to 443Dec 13, 2023 to Mar 20, 2024
- Business name · B••••••• A•••••• G••••• L•• to S•••• W•••••Dec 13, 2023 to Mar 20, 2024
- HNW clients · 35 to 40Dec 13, 2023 to Mar 20, 2024
- Individual clients · 120 to 176Dec 13, 2023 to Mar 20, 2024
- Pension plan clients · 1 to 4Dec 13, 2023 to Mar 20, 2024
- Financial planning clients · 0 to 101-250Dec 13, 2023 to Mar 20, 2024
- Discretionary RAUM · $65.1M to $82.8MDec 13, 2023 to Mar 20, 2024
- HNW RAUM · $31.8M to $43.8MDec 13, 2023 to Mar 20, 2024
- Individual RAUM · $27.5M to $32.0MDec 13, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $0 to $9.2MDec 13, 2023 to Mar 20, 2024
- Pension RAUM · $5.3M to $15.7MDec 13, 2023 to Mar 20, 2024
Signals
2 dated events
- T•••• W•••••• R••• left B••••••• A•••••• G•••• for D•••• A•••• C••••••••• (registered 2025-06-06)Jul 1, 2025 · a•••••• firm change · fact
- B••••••• A•••••• G••••• L•• filed its initial SEC registration (Form ADV)Nov 22, 2022 · 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
- info@broadwayadvisorgroup.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- michael@broadwayadvisorgroup.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 518-477-3626reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- broadwayadvisorgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 518-477-3626reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- broadwayadvisorgroup.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- broadwayadvisorgroup.com/teamreportedpublished 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
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026