DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
B•••••• E••••
Legal name B•••••• E•••• A••••••••• I••
Latest filing Sep 27, 2012
First filing on the tape Jan 19, 2012 · 3 filings
RAUM
$610M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$610M as of Sep 27, 2012
Jan 19, 2012$631M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 27, 2012; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $689,744derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Custody
- $27.4M, 29 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 884reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $27.4M for 29 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- J••••• T••• W•••••• to G•••••• A•••••••• L••May 14, 2013 · Other
- A•••••• M• R•••• to M•••••• W••••• A•••••••Dec 31, 2012 · Other
- M•••••• S••••• M••••• to M•••••• W••••• A•••••••Dec 21, 2012 · Other
- R••••• J••• D••••••• to M•••••• W••••• A•••••••Dec 21, 2012 · Other
- D•••• M•••••• H••• to M•••••• W••••• A•••••••Dec 21, 2012 · Other
- M•••••• S•••• D••••••• to M•••••• W••••• A•••••••Dec 21, 2012 · Other
- N••••••• S•••••••• L••••••••• to N•• C•••••• M••••••••• L••Aug 20, 2010 · Other
Joined, latest
- M•••••• S••••• M••••• from D••••••• I••••••••• A••••••• L••Nov 13, 2012 · Other
- N••••••• S•••••••• L••••••••• from S•••••••• A••••••• L••Dec 15, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• C••••••• J• · Vice Presidentcontrolsince 01/2008 · owns 10% to 25%
- D•••••••• R•••••• J••• · Presidentcontrolsince 10/1988 · owns 50% to 75%
- M•••••••• J••••• A•••••• · Vice President & Secretarycontrolsince 04/2007 · owns 25% to 50%
- W••••••• J•••••• T••• · Vice President & Chief Compliance Officercontrolsince 01/2008 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 851 to 884Jan 19, 2012 to Feb 6, 2012
- Advisory activities · 3 to 4Jan 19, 2012 to Feb 6, 2012
- Assets in custody · $21.9M to $27.4MJan 19, 2012 to Feb 6, 2012
- Discretionary RAUM · $631M to $610MJan 19, 2012 to Feb 6, 2012
- RAUM · $631M to $610MJan 19, 2012 to Feb 6, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026