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B••••••• S••••••••• I•••
Independent wealth manager, based in Albany, New York, reporting $33.6M of regulatory assets across 3 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $33.6M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +29%
- Private clients
- 100% of RAUM, $33.6M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $26.0MRAUM now $33.6M
- Contact points 6
Every filed figure, and the identifiersCRD 7754 · SEC 801-30987 · 23 filingsShowHide
CRD 7754SEC 801-30987First filing on the tape Apr 9, 2012, latest Sep 29, 2025SEC status approved since Dec 24, 1987IAPD
RAUM
$33.6M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
100%
$33.6M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$11.2M
derived; firm RAUM over IAPD count
Employees
12
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$33.6M as of Sep 29, 2025
Nov 28, 2012$51.2M then
HNW client RAUM$12.7M as of Sep 29, 2025
Oct 2, 2017$1.1M then
State-registered IARs (5.B.3)3 as of Sep 29, 2025
Nov 28, 20120 then
Employees (5.A)12 as of Sep 29, 2025
Nov 28, 201212 then
Private funds: no history
RAUM +29% over the last fiscal year-8.0% a year over threeIARs 3 to 3offices 0 to 1
Practice profile
derived from the filing of Sep 29, 2025; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $11.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $494,263derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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 a broker-dealer (6.A.1)
- 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
- Individuals$20.9M62%
- High-net-worth individuals$12.7M38%
- Individual clients
- 63reported
- HNW clients
- 5reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 68reported
- Financial planning clients
- reported
- 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=true related_bank=false bd_reps=9.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••••• C••••••• | Albany, Ny | Apr 10, 2014 | 14 y | 0 |
| T••••• W•••••• L••••••• | New Bern, Nc | Aug 17, 2015 | 40 y | 0 |
| W•••••• T••••• B•••• | Albany, Ny | Jan 13, 2026 | 33 y | 0 |
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• W•••••• T••••• · President,Msrb, Cco,Aml Compliance Officer Of B••••••• Sec. & President,Ceo,Shareholder Of B•••• G••••• A••••controlsince 08/2011 · owns less than 5%
- B••••• W•••••• T••••• · Shareholdercontrolsince 08/2011 · owns 75% or more of B•••• G••••• A•••• M••••••••• I•••
- L•••••••• T••••• W•••••• · Vice President/ Rosfpsince 06/2009 · owns less than 5%
- S••••••• I•••• S• · Financial Operations Principalsince 06/2017 · owns less than 5%
Entity owners
- B•••• G••••• A•••• M••••••••• I••• · Ownerdirect · owns 75% or more
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 | 1 | 0 | ||
| Pensacola, Fl | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Pensacola, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 100 to 68Oct 1, 2024 to Sep 29, 2025
- HNW clients · 14 to 5Oct 1, 2024 to Sep 29, 2025
- Individual clients · 52 to 63Oct 1, 2024 to Sep 29, 2025
- Financial planning clients · unset to Oct 1, 2024 to Sep 29, 2025
- Discretionary RAUM · $30.2M to $29.9MOct 1, 2024 to Sep 29, 2025
- HNW RAUM · $24.7M to $12.7MOct 1, 2024 to Sep 29, 2025
- Individual RAUM · $9.3M to $20.9MOct 1, 2024 to Sep 29, 2025
- Non-discretionary RAUM · $3.8M to $3.7MOct 1, 2024 to Sep 29, 2025
- RAUM · $33.9M to $33.6MOct 1, 2024 to Sep 29, 2025
- Accounts · 76 to 100Jun 3, 2024 to Sep 30, 2024
- BD registered reps · 11 to 9Jun 3, 2024 to Sep 30, 2024
- HNW clients · 8 to 14Jun 3, 2024 to Sep 30, 2024
- Individual clients · 67 to 52Jun 3, 2024 to Sep 30, 2024
- Pension plan clients · 1 to 0Jun 3, 2024 to Sep 30, 2024
- Employees · 13 to 12Jun 3, 2024 to Sep 30, 2024
- HQ city · PENSACOLA to ALBANYJun 3, 2024 to Sep 30, 2024
- HQ state · FL to NYJun 3, 2024 to Sep 30, 2024
- Other offices · 0 to 1Jun 3, 2024 to Sep 30, 2024
- Discretionary RAUM · $19.1M to $30.2MJun 3, 2024 to Sep 30, 2024
- HNW RAUM · $13.9M to $24.7MJun 3, 2024 to Sep 30, 2024
- Individual RAUM · $11.1M to $9.3MJun 3, 2024 to Sep 30, 2024
- Non-discretionary RAUM · $6.9M to $3.8MJun 3, 2024 to Sep 30, 2024
- Pension RAUM · 1009351.0 to unsetJun 3, 2024 to Sep 30, 2024
- RAUM · $26.0M to $33.9MJun 3, 2024 to Sep 30, 2024
- HQ city · HAUPPAUGE to PENSACOLASep 28, 2023 to Jun 3, 2024
- HQ state · NY to FLSep 28, 2023 to Jun 3, 2024
- Accounts · 111 to 76Nov 16, 2022 to Sep 28, 2023
- BD registered reps · 7 to 11Nov 16, 2022 to Sep 28, 2023
- Individual clients · 66 to 67Nov 16, 2022 to Sep 28, 2023
- Employees · 10 to 13Nov 16, 2022 to Sep 28, 2023
- Discretionary RAUM · $26.1M to $19.1MNov 16, 2022 to Sep 28, 2023
- HNW RAUM · $12.3M to $13.9MNov 16, 2022 to Sep 28, 2023
- Individual RAUM · $19.3M to $11.1MNov 16, 2022 to Sep 28, 2023
- Non-discretionary RAUM · $6.3M to $6.9MNov 16, 2022 to Sep 28, 2023
- Pension RAUM · $897,446 to $1.0MNov 16, 2022 to Sep 28, 2023
- RAUM · $32.4M to $26.0MNov 16, 2022 to Sep 28, 2023
- Accounts · 78 to 111Sep 30, 2021 to Sep 28, 2022
- BD registered reps · 6 to 7Sep 30, 2021 to Sep 28, 2022
- HNW clients · 10 to 8Sep 30, 2021 to Sep 28, 2022
- Individual clients · 60 to 66Sep 30, 2021 to Sep 28, 2022
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
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Sep 29, 2025
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Sep 29, 2025
- Contact form
- ••• Lockedreportedpublished 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
- $11.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026