DFX Intelligence

B•••• C•••••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

B•••• C•••••• M••••••••• I•••

CRD 111768

BERKELEY, CA

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Data as of May 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 1
Observed: Nov 18, 2011 to May 27, 2026
42 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

B•••• C•••••• M••••••••• I•••

Private equity manager · same SEC CIK, same CRD, same SEC file number

Facts

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

Firm class: independent wealth managerderived••• Locked
Regulatory AUM: $857M••• Locked
Discretionary RAUM: $857M
Private client RAUM: $856Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $214Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P•••• B••• R•••••••••	n/a	BERKELEY, CA	15	15	n/a	no
A•• S••••••• T••••••	Certified Financial Planner	BERKELEY, CA	5	29

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
H••••••••• C•••••• P••••••• L••	Other Private Fund	$4.5M	Mar 22, 2023	8	Mar 29, 2012	reported	021-166890

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• J••••• B••••	Chairman	C	yes	07/2019	Nov 18, 2011	Mar 27, 2024
R••••••••• P••••• B•••	PRESIDENT AND CHIEF INVESTMENT OFFICER	C	yes	10/2015	Aug 30, 2013	Mar 27, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Orinda	CA	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

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

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$857M	$696M	23.1%	$526M	17.6%	7	6	2	2

Relationships

Registered with (4)

← S••••• P••••Advisorregistration: current employment
Nov 22, 2025 to presentfactForm ADV
← A•• S••••••• T••••••Advisorregistration: current employment
Mar 24, 2021 to presentfactForm ADV
← J•••••• V•••••••• S•• C•••••Advisorregistration: current employment
Mar 24, 2021 to presentfactForm ADV
← P•••• B••• R•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 18, 2011
Last observed: May 27, 2026 4 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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 24, 2016	$322M	$322M	7	3	n/a	1	$5.4M
2014	Mar 25, 2015	$336M	$336M	4	3	n/a	1	$5.2M
2013	Mar 28, 2014	$282M	$282M	5	2	n/a	1	$5.0M
2012	Mar 26, 2013	$226M	$226M	5	3	n/a	1	$4.6M
2011	Mar 29, 2012	$177M	$177M	n/a	n/a	n/a	1	$4.0M