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•• R••• A••••••• L••

Former SEC-registered adviserSag Harbor, New YorkCRD 330067SEC 801-137259IAPD
Latest filing Sep 16, 2026
First filing on the tape Aug 10, 2026 · 2 filings
RAUM
$27.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$27.8M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$9.3M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$27.8M as of Sep 16, 2026
Aug 10, 2026$27.8M then
HNW client RAUM$26.5M as of Sep 16, 2026
Aug 10, 2026$26.5M then
State-registered IARs (5.B.3)3 as of Sep 16, 2026
Aug 10, 20263 then
Employees (5.A)3 as of Sep 16, 2026
Aug 10, 20263 then
Private funds: no history
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
RAUM per advisor
$9.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
14derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$853,387derivedHNW RAUM over HNW clients
Average account
$677,073derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$26.5M95%
  • Individuals$1.3M4.7%
Individual clients
10reported
HNW clients
31reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
41reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S•••••• W••• T•••••Sag Harbor, NyMar 8, 202426 y0
S••• T••••• H••••••Chartered Financial AnalystSag Harbor, NyApr 18, 202415 y0
A•••••• J••••• C••••••Montauk, Ny Jun 9, 202525 y0
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      No Schedule A on the extract for this adviser.
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Sag Harbor, Ny · principal300
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      No event on the tape.
      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
      Firm profile
      linkedin.com/company/big-rock-advisorsreportedpublic record, Form ADV, Sep 19, 2026
      Website
      bigrockadvisorsllc.comreportedpublic record, Form ADV, Sep 19, 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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $9.3Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 15, 2026