DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 1b 10b

B••• I••••••••• S•••••••• I•••

CRD 33856

CHARLOTTE, NC

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Data as of Sep 20, 2017 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1,058
Dated events: 1
On other graphs: 0
Observed: Aug 31, 2015 to Sep 20, 2017
12 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.1B••• Locked
Discretionary RAUM: $134M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 850
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••• C•••••••••	Shareholder	E	yes	05/1995	Aug 31, 2015	Sep 20, 2017
B••••• B•••••• A•• T•••• C••••••	Shareholder	E	yes	03/1994	Aug 31, 2015	Sep 20, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• C•••••• M••••••••• L••	n/a	Other adviser	$69B	N	yes	Nc
B••• S••••••••• L••	n/a	Former SEC adviser	$26B	N	yes	Va

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 30, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$1.1B	$743M	45.9%	n/a	n/a	850	700	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T••••• A••••••• S•••••••• I•••	2	Jan 2, 2018	Feb 17, 2021	RICHMOND, VA	Team lift out	Other	0.4%
C••••• I••••••••• A••••••• L••	2	Aug 23, 2017	Oct 17, 2017

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B••• S••••••••• L••	2	Feb 17, 2021	Dec 1, 2015	RICHMOND, VA	Team lift out	Other	0.2%
W•••• F•••• A•••••••	2	Dec 8, 2017	Dec 21, 2017

Relationships

showing 80 of 1,058

Affiliated with (6)

→ B••• I••••••••• I••••••••• A•••••••• I•••Registered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ S••••••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ B••• S••••••••• L••Registered adviserother investment adviser, broker-dealer, bank, LP sponsor, custodian, common control
factForm ADV
← V••••• F•••• A•••• M••••••••• L••

Dated events

Order

Occurred
31 Aug 2015
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 31, 2015
Last observed: Sep 20, 2017 109 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 11 rows

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• I••••••••• A••••••• L••	2	Jun 18, 2015	Jun 22, 2015	CRESTVIEW HILLS, KY	Team lift out	Other	0.2%