DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

B•••••••• A•••• M••••••••• L••

CRD 109422

DALLAS, TX

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Search this name across graphsid dfx:ria:7b154485-8a23-3749-5ad1-56262453d332

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 25
On other graphs: 0
Observed: Mar 30, 2012 to Mar 31, 2026
49 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: asset managerderivedprivate_client_share=0.0 fund_share=0.98 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $238M••• Locked
Discretionary RAUM: $238M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B•••••••• D•••••• E••••••• E••••• A•••• F••• L•	Hedge Fund	$9.3M	Sep 20, 2016	17	Mar 30, 2012	dropped	021-70371
B•••••••• D•••••• E••••••• E••••• A•••• F••• L••	Hedge Fund	$532,658

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• R••••••• L••	CEO, MANAGER AND MEMBER	Na	yes	08/2023	Aug 15, 2013	Oct 1, 2024
D•••••• R••••••• P•••	CHIEF INVESTMENT OFFICER AND MEMBER	Na	yes	08/2023	Mar 30, 2012	Oct 1, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••••• M••••••••• C•••	n/a	Other adviser	$12B	N	yes	n/a
W••••••• A•••••••• L••••	n/a	Mixed wealth	$750M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	0	no

Regulatory AUM by fiscal year

••• Locked

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

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	$238M	$238M	-0.0%	$1.3B	-43.0%	3	5	0	1

Relationships

Affiliated with (9)

← W••••••• W••••• M•••••••••Registered adviserother investment adviser, bank, control, common control
factForm ADV
→ W••••••• M••••••••• C•••Registered adviserother investment adviser, common control
factForm ADV
→ S•••••• A•••••••• L•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ W••••••• W••••• M•••••••••Registered adviserother investment adviser, common control

Dated events

Occurred
Mar 29, 2024
Regulatory AUM changed
B•••••••• A•••• M••••••••• L•• reported RAUM $311.1M, down 76% from $1.3B (2023-08-15 to 2024-03-29)
Form ADVobserved 7 days ago
$-975M
Occurred
Aug 15, 2023
Control person left
Jon Christopher Guptill (Co-Ceo, President, Co-Chief Investment Officer, Manager And Member) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2023-08-15, absent 2023-08-15)
Form ADVobserved 7 days ago
Occurred
Aug 15, 2023
Control person joined
Lee Ricardo Cortez (Ceo, Manager And Member) appeared on Schedule A of B•••••••• A•••• M••••••••• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7b154485-8a23-3749-5ad1-56262453d332
First observed: Mar 30, 2012
Last observed: Mar 31, 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.