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B•••• D•••••• F••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

B•••• D•••••• F••••••••• L••

CRD 314622

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Search this name across graphsid dfx:ria:1f20d439-41d5-acec-44d0-f4f32861084b

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 30
Dated events: 2
On other graphs: 0
Observed: May 28, 2021 to Mar 30, 2026
15 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.66 fund_share=0.0 institutional_share=0.34 related_bd=true related_bank=false bd_reps=2.0
Regulatory AUM: $441MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $369M
Private client RAUM: $291MderivedItem 5.D individuals plus high net worth individuals
Private client share: 66%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• D•••••• F•••••••• H••••••• L••	Owner	E	yes	04/2021	May 28, 2021	Mar 29, 2024
B•••••••• P•••••• S••••••••	CO-MANAGING MEMBER	D	yes	04/2021	May 28, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O•••• W•••••• I•••	n/a	Bd affiliated wealth	$235B	N	no	n/a
S••••••••• A•••••• A•••••••• I•••	n/a	Former SEC adviser	$40B	N	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$441M	$366M	20.5%	$245M	21.6%	2	2	0	0

Relationships

Affiliated with (23)

← L•••••••• T••••••• A•••• M••••••••• I••Registered adviserother investment adviser, common control
factForm ADV
← V••••••••• W••••• M••••••••• C••••Registered adviserother investment adviser, common control
factForm ADV
← O•••• A••••••• S•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← O•••• W•••••• I•••Registered adviserother investment adviser, common control

Dated events

Occurred
Apr 1, 2025
Regulatory AUM changed
B•••• D•••••• F••••••••• L•• reported RAUM $365.5M, up 83% from $199.6M (2024-03-29 to 2025-04-01)
Form ADVobserved 7 days ago
$166M
Occurred
May 28, 2021
First Form ADV filing
B•••• D•••••• F••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1f20d439-41d5-acec-44d0-f4f32861084b
First observed: May 28, 2021
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.