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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

B••• S••••• G••••• A•••••••• L••

CRD 143047

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Search this name across graphsid dfx:ria:be281856-5a7e-8fc9-086b-8c6ce81d5586

Data as of Mar 24, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 28, 2012 to Mar 24, 2015
4 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: $212M••• Locked
Discretionary RAUM: $12.9M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• N•••••	Member	D	yes	01/2004	Feb 28, 2012	Mar 24, 2015
B•••••••• R•••••	CHAIRMAN, MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	D	yes	01/2004	Feb 28, 2012	Mar 24, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••••• W••••• M••••••••• L••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 24, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$212M	$219M	-3.2%	$235M	-3.4%	4	4	n/a	n/a

Relationships

Controls (2)

← B•••••••• R•••••OwnerCHAIRMAN, MANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code D, individual
Feb 28, 2012 to presentfactForm ADV
← B•••••••• N•••••OwnerMEMBER, ownership code D, individual
Feb 28, 2012 to presentfactForm ADV

Registered with (1)

← SCOTT DAVID FRANKAdvisorregistration: previous registration
Jun 23, 2009 to Sep 30, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:be281856-5a7e-8fc9-086b-8c6ce81d5586
First observed: Feb 28, 2012
Last observed: Mar 24, 2015 140 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.