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.

SEC-registered adviser

Back Bay Financial Planning & Investments

Independent wealth managerBethany Beach, DelawareCRD 335236SEC 801-137070websiteIAPD
Legal name Back Bay Financial Planning & Investments, LLC
Latest filing Aug 31, 2026
First filing on the tape Aug 31, 2026 · 1 filings
SEC status approved since Aug 13, 2026
RAUM
$120M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
99%
$119M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$60.2M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $120M
HNW client RAUM: $95.9M
State-registered IARs (5.B.3): 2
Employees (5.A): 4
Private funds: no history
Practice profile
derived from the filing of Aug 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
RAUM per advisor
$60.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$421,238derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 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, selection of other advisersreportedItem 5.G
Custody
$106M, 87 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
  • 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)
  • 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$95.9M80%
  • Individuals$23.4M19%
  • Pension and profit-sharing plans$893,5850.7%
  • Corporations and businesses$236,1830.2%
Individual clients
53reported
HNW clients
41reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
286reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$106M for 87 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Robert S JeterCertified Financial PlannerBethany Beach, DeApr 30, 202513 y3
Matthew Joseph O'KeefeCertified Financial PlannerBethany Beach, De Aug 31, 202616 y1
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    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
    Bethany Beach, De · principal210
    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
    Business email
    contact@backbayfp.comreportedpublished by the firm, firm site, Sep 17, 2026
    Business phone
    302-316-1820reportedpublished by the firm, firm site, Sep 17, 2026
    Website
    backbayfp.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    3023161820reportedpublic record, Form ADV, Aug 31, 2026
    Contact form
    backbayfp.com/contact-usreportedpublished 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
    $60.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026