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•••••••
Legal name B••••• A•••••••• L••
Latest filing Apr 2, 2026
First filing on the tape Jan 26, 2026 · 3 filings
SEC status approved since Jan 5, 2026
RAUM
$128M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$128M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$42.7M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$128M as of Apr 2, 2026
Jan 26, 2026$0 then
HNW client RAUM: $93.6M
State-registered IARs (5.B.3)1 as of Apr 2, 2026
Jan 26, 20261 then
Employees (5.A)2 as of Apr 2, 2026
Jan 26, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 2, 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
- $42.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $720,401derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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$93.6M73%
- Individuals$34.6M27%
- Individual clients
- 121reported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 178reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• A• S••••Chartered Financial Consultant | Greenwood Village, Co | Jan 6, 2026 | 22 y | 4 |
| D••• M•••• L••••••Chartered Financial Consultant | Plainville, Ct | Jan 29, 2026 | 26 y | 3 |
| A•••• L•••••••• | Pelham, Ma | Feb 8, 2026 | 11 y | 2 |
Advisor movement
1 left, 4 joined in 12 months
net +3 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- A••••• B••••••••• to C••••••••• F•••••••• N••••••Jul 13, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- A•••• L•••••••• from M•• I•••••••• S•••••••• L••Feb 8, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- D••• M•••• L•••••• from M•• I•••••••• S•••••••• L••Jan 29, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- A••••• B••••••••• from M•• I•••••••• S•••••••• L••Jan 27, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••••• A• S•••• from T•• W••••• C••••••••• G••••Jan 6, 2026 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M•• I•••••••• S•••••••• L••Feb 2, 2026 · Plainville, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• L•••••• O• · Partnercontrolsince 05/2025 · owns 50% to 75%
- S••••• J••••••• A• · Managing Partner & Chief Compliance Officercontrolsince 05/2025 · 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 |
|---|---|---|---|---|---|
| Greenwood Village, Co · principal | 3 | 3 | 0 | ||
| Simsbury, Ct | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 178Feb 5, 2026 to Apr 2, 2026
- HNW clients · unset to 57.0Feb 5, 2026 to Apr 2, 2026
- Individual clients · unset to 121.0Feb 5, 2026 to Apr 2, 2026
- Discretionary RAUM · $0 to $128MFeb 5, 2026 to Apr 2, 2026
- HNW RAUM · unset to 93605389.0Feb 5, 2026 to Apr 2, 2026
- Individual RAUM · unset to 34625918.0Feb 5, 2026 to Apr 2, 2026
- RAUM · $0 to $128MFeb 5, 2026 to Apr 2, 2026
Signals
2 dated events
- A••••• B••••••••• left B••••• A••••••• for C••••••••• F•••••••• N•••••• (registered 2026-07-15)Jul 13, 2026 · Advisor changed firm · fact
- 2 advisors left M•• I•••••••• S•••••••• L•• (Plainville, CT) for B••••• A••••••• on the same dayFeb 2, 2026 · Team lift-out · derived
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
- Website
- b•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 253-970-4935reportedpublic record, Form ADV, Apr 2, 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
- $42.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026