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••••• M••••••••• I•••
Latest filing Mar 20, 2026
First filing on the tape Mar 24, 2023 · 13 filings
SEC status approved since Apr 24, 2023
RAUM
$190M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$190M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$190M
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
13 filings and snapshots on the tape
RAUM$190M as of Mar 20, 2026
Mar 12, 2024$145M then
HNW client RAUM$140M as of Mar 20, 2026
Mar 12, 2024$42.0M then
State-registered IARs (5.B.3)1 as of Mar 20, 2026
Mar 12, 20242 then
Employees (5.A)6 as of Mar 20, 2026
Mar 12, 20246 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Mar 20, 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
- RAUM per advisor
- $190MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 320derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $636,364derivedHNW RAUM over HNW clients
- Average account
- $593,750derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$140M74%
- Individuals$50.0M26%
- Individual clients
- 100reported
- HNW clients
- 220reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 320reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• S•••••••• W•••••Certified Financial Planner | Ellicott City, Md | May 11, 2023 | 13 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••••• S•••••••• W••••• from K•••• M•••••••••May 11, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• J•••••• S•••••••• · President And Chief Compliance Officercontrolsince 02/2023 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 20, 2026accounts (Item 5.F.2.f) moved from 975.0 to 320.0 (-67.0%) between the annual amendments of 2025-03-03 and 2026-03-20; the peer median change was +5.0% (3686 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 1.2% percentile
What changed
consecutive filings, newest first
- Accounts · 975 to 320Sep 5, 2025 to Mar 20, 2026
- Advisory employees · 2 to 1Sep 5, 2025 to Mar 20, 2026
- HNW clients · 200 to 220Sep 5, 2025 to Mar 20, 2026
- State-registered IARs · 2 to 1Sep 5, 2025 to Mar 20, 2026
- Discretionary RAUM · $160M to $190MSep 5, 2025 to Mar 20, 2026
- HNW RAUM · $120M to $140MSep 5, 2025 to Mar 20, 2026
- Individual RAUM · $40.0M to $50.0MSep 5, 2025 to Mar 20, 2026
- RAUM · $160M to $190MSep 5, 2025 to Mar 20, 2026
- Accounts · 925 to 975Oct 22, 2024 to Mar 3, 2025
- Individual clients · 90 to 100Oct 22, 2024 to Mar 3, 2025
- Financial planning clients · 251-500 to 251-500Oct 22, 2024 to Mar 3, 2025
- Discretionary RAUM · $145M to $160MOct 22, 2024 to Mar 3, 2025
- HNW RAUM · $42.0M to $120MOct 22, 2024 to Mar 3, 2025
- Individual RAUM · $103M to $40.0MOct 22, 2024 to Mar 3, 2025
- RAUM · $145M to $160MOct 22, 2024 to Mar 3, 2025
- Accounts · 1,012 to 925Dec 5, 2023 to Mar 12, 2024
- HNW clients · unset to 200.0Dec 5, 2023 to Mar 12, 2024
- Individual clients · 704 to 90Dec 5, 2023 to Mar 12, 2024
- Employees · 2 to 6Dec 5, 2023 to Mar 12, 2024
- Insurance-licensed employees · 2 to 0Dec 5, 2023 to Mar 12, 2024
- Financial planning clients · 0 to 251-500Dec 5, 2023 to Mar 12, 2024
- Discretionary RAUM · $126M to $145MDec 5, 2023 to Mar 12, 2024
- HNW RAUM · unset to 42000000.0Dec 5, 2023 to Mar 12, 2024
- Individual RAUM · $148M to $103MDec 5, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $22.4M to $0Dec 5, 2023 to Mar 12, 2024
- RAUM · $148M to $145MDec 5, 2023 to Mar 12, 2024
- Accounts · 0 to 1,012Jun 29, 2023 to Aug 24, 2023
- Individual clients · unset to 704.0Jun 29, 2023 to Aug 24, 2023
- Discretionary RAUM · $0 to $126MJun 29, 2023 to Aug 24, 2023
- Individual RAUM · unset to 148449192.0Jun 29, 2023 to Aug 24, 2023
- Non-discretionary RAUM · $0 to $22.4MJun 29, 2023 to Aug 24, 2023
- RAUM · $0 to $148MJun 29, 2023 to Aug 24, 2023
Signals
1 dated events
- B•••••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Mar 24, 2023 · 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
- o•••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 410-992-4500reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- b•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 410-992-4500reportedpublic record, Form ADV, Mar 20, 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
- $190Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026