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•••••• R••••• • R••
Legal name B•• O•••• L••
Latest filing Mar 1, 2023
First filing on the tape Mar 29, 2012 · 34 filings
RAUM
$3.4B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
95%
$3.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
43
27 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$3.4B as of Mar 31, 2022
Mar 29, 2012$1.5B then
HNW client RAUM$3.1B as of Mar 31, 2022
Mar 30, 2018$2.3B then
State-registered IARs (5.B.3)27 as of Mar 31, 2022
Mar 27, 201313 then
Employees (5.A)43 as of Mar 31, 2022
Mar 27, 201340 then
Private funds: no history
RAUM +13% over the last fiscal year+14% a year over threeIARs 28 to 27
Practice profile
derived from the filing of Mar 1, 2023; every figure names its basis
- RAUM per advisor
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $451,045derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 27.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -3.6%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $916M, 845 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.1B92%
- Charitable organizations$136M4.0%
- Individuals$105M3.1%
- Pension and profit-sharing plans$16.5M0.5%
- Corporations and businesses$1.7M0.0%
- Individual clients
- 205reported
- HNW clients
- 595reported
- Pension plan clients
- n/areported
- Charitable clients
- 17reported
- Accounts
- 7,536reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $916M for 845 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
- S•••• R•••••• K•••••• to C••••••Mar 31, 2023 · RIA to RIA
- J••• D•••• S•••••• to C••••••Mar 31, 2023 · RIA to RIA
- J••• P• M••••• to C••••••Mar 31, 2023 · RIA to RIA
- M•••••• R••••• U••••• to C••••••Mar 31, 2023 · RIA to RIA
- J•••• A•••• B••• to C••••••Mar 31, 2023 · RIA to RIA
- C••••••••• S•••••• B••••••••• to C••••••Mar 31, 2023 · RIA to RIA
- J•••••• E• S•••• to C••••••Mar 31, 2023 · RIA to RIA
- K•••• W•••••• W•••••• to C••••••Mar 31, 2023 · RIA to RIA
- I••••• S•••••• S•••••• to C••••••Mar 31, 2023 · RIA to RIA
- D••••• L••••••• D•• to C••••••Mar 31, 2023 · RIA to RIA
- B•••••• P••••• D•••••• to C••••••Mar 31, 2023 · RIA to RIA
- J•••• L•••• R•••• to C••••••Mar 31, 2023 · RIA to RIA
- N•••• G••••••• to C••••••Mar 31, 2023 · RIA to RIA
- G••• J••• M•••••••• to C••••••Mar 31, 2023 · RIA to RIA
- E••• G•••••• S•••••• to C••••••Mar 31, 2023 · RIA to RIA
Joined, latest
- B•••••• P••••• D•••••• from H••••••• C••••••Sep 9, 2021 · RIA to RIA
- K••••• A•••••• C•••••••• from E••••• C•••••• L••Jan 26, 2020 · Other
- D•••• T••••• G•••• from P•• W••••• M•••••••••Aug 1, 2019 · Other
- S•••• R•••••• B•••••••• from W••••• F•••••••• P••••••• G••••• I•••Jun 26, 2014 · Other
- E••• G•••••• S•••••• from H••••••• C••••••Jun 3, 2014 · Other
- J•••••• D••• S•••• from O•••• W•••••• I•••Jul 21, 2006 · Other
- G••• J••• M•••••••• from H••••••• C••••••Jul 20, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• A••••• T•••••• · Sr. Wealth Managercontrolsince 05/2014 · owns less than 5%
- N•••••••• L••••• T•••••• · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- R••• D•••••• B•••• · Co-Chief Executive Officer, Chief Investment Officercontrolsince 04/1996 · owns less than 5%
- S••••••• J•••• D•••• · Co-Chief Executive Officercontrolsince 06/2001 · owns less than 5%
- S••••••• E•••• G•••••• · Vice President & Director Of Researchcontrolsince 11/2013 · owns less than 5%
- D••• D•••••• L••••••• · Sr. Wealth Manager, Chief P••••••• Officersince 05/2003 · owns less than 5%
- J•••• B••••• R•••• · Vice President, Director Of Operationssince 06/2015 · owns less than 5%
- M••••••••• G•••• J••• · Executive Vice President Of Business Developmentsince 06/2006 · owns less than 5%
- P•••••• T•••••• C•••••••• · Sr. Director Of Marketingsince 07/2019 · owns less than 5%
- T•••••••• K••••• M•••• · Director Of Human Resourcessince 10/2014 · owns less than 5%
Entity owners
- C• P•••••• W•••••• L•• · Ownerdirect · owns 75% or more
- C• F•••••••• C•••• · Ownerindirect · owns 75% or more of C• U• H••••••• I••• · public reporting company
- C• U• H••••••• I••• · Ownerindirect · owns 75% or more of C••• H•••••••• L••
- C••• H•••••••• L•• · Ownerindirect · owns 75% or more of C• P•••••• W•••••• L••
Related persons
Schedule D 7.A
- A•••••• C•••••• M••••••••• L••broker-dealern
- A•••••• F•••••••• M••••••••• L••broker-dealern
- C• P•••••• C•••••• L•broker-dealerinvestment advisern
- C••••••investment adviseryRAUM $165B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7,165 to 7,536Feb 16, 2022 to Mar 31, 2022
- Advisory employees · 28 to 27Feb 16, 2022 to Mar 31, 2022
- Charity clients · 18 to 17Feb 16, 2022 to Mar 31, 2022
- HNW clients · 577 to 595Feb 16, 2022 to Mar 31, 2022
- Individual clients · 196 to 205Feb 16, 2022 to Mar 31, 2022
- Assets in custody · $992M to $916MFeb 16, 2022 to Mar 31, 2022
- Employees · 36 to 43Feb 16, 2022 to Mar 31, 2022
- State-registered IARs · 28 to 27Feb 16, 2022 to Mar 31, 2022
- Discretionary RAUM · $2.9B to $3.3BFeb 16, 2022 to Mar 31, 2022
- HNW RAUM · $2.8B to $3.1BFeb 16, 2022 to Mar 31, 2022
- Individual RAUM · $97.4M to $105MFeb 16, 2022 to Mar 31, 2022
- Non-discretionary RAUM · $117M to $98.5MFeb 16, 2022 to Mar 31, 2022
- Pension RAUM · $11.4M to $16.5MFeb 16, 2022 to Mar 31, 2022
- RAUM · $3.0B to $3.4BFeb 16, 2022 to Mar 31, 2022
- Related adviser · false to trueFeb 16, 2022 to Mar 31, 2022
- Related broker-dealer · false to trueFeb 16, 2022 to Mar 31, 2022
- Business name · B•••••• R••••• • R••• I••• to B•••••• R••••• • R••Feb 8, 2022 to Feb 16, 2022
- Legal name · B•••••• R••••• • R••• I••• to B•• O•••• L••Oct 28, 2021 to Feb 8, 2022
- Succession · true to falseOct 28, 2021 to Feb 8, 2022
- Organization form · Corporation to Limited Liability CompanyMar 31, 2021 to Oct 28, 2021
- Succession · false to trueMar 31, 2021 to Oct 28, 2021
- Accounts · 6,455 to 7,165Nov 10, 2020 to Mar 31, 2021
- Charity clients · 16 to 18Nov 10, 2020 to Mar 31, 2021
- Corporate clients · 5.0 to unsetNov 10, 2020 to Mar 31, 2021
- HNW clients · 549 to 577Nov 10, 2020 to Mar 31, 2021
- Individual clients · 186 to 196Nov 10, 2020 to Mar 31, 2021
- Pension plan clients · 4.0 to unsetNov 10, 2020 to Mar 31, 2021
- Assets in custody · $539M to $992MNov 10, 2020 to Mar 31, 2021
- Employees · 40 to 36Nov 10, 2020 to Mar 31, 2021
- Discretionary RAUM · $2.7B to $2.9BNov 10, 2020 to Mar 31, 2021
- HNW RAUM · $2.5B to $2.8BNov 10, 2020 to Mar 31, 2021
- Individual RAUM · $99.8M to $97.4MNov 10, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $68.7M to $117MNov 10, 2020 to Mar 31, 2021
- Pension RAUM · $4.6M to $11.4MNov 10, 2020 to Mar 31, 2021
- RAUM · $2.7B to $3.0BNov 10, 2020 to Mar 31, 2021
- Accounts · 5,981 to 6,455Jul 22, 2019 to Mar 30, 2020
- Advisory employees · 25 to 28Jul 22, 2019 to Mar 30, 2020
- Charity clients · 17 to 16Jul 22, 2019 to Mar 30, 2020
- HNW clients · 498 to 549Jul 22, 2019 to Mar 30, 2020
- Individual clients · 201 to 186Jul 22, 2019 to Mar 30, 2020
Signals
29 dated events
- N•••• G••••••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- D••••• L••••••• D•• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- B•••••• P••••• D•••••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- J•••••• A••• L•• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- S•••• R•••••• K•••••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- J••• P• M••••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-17)Mar 31, 2023 · Advisor changed firm · fact
- J•••• A•••• B••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- M••••••• K•• H•••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- K••• R•••••••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- R••• W• G•••••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-17)Mar 31, 2023 · Advisor changed firm · fact
- J••• D•••• S•••••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- J•••••• E• S•••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- S•••• B••••••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- K•••• W•••••• W•••••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- I••••• S•••••• S•••••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- M•••••• D•••• K•••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- G••• J••• M•••••••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- C••••••••• S•••••• B••••••••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- E••• G•••••• S•••••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- A•••• T•••••• A•••••••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- J•••• L•••• R•••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-17)Mar 31, 2023 · Advisor changed firm · fact
- M•••••• R••••• U••••• left B•••••• R••••• • R•• for C•••••• (registered 2022-11-23)Mar 31, 2023 · Advisor changed firm · fact
- B•••••• R••••• • R••'s advisors moved to C•••••• (Columbus, OH): 22 of 22 registered, on the same dayMar 31, 2023 · Firm absorbed (people side) · derived
- Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of B•••••• R••••• • R••Mar 1, 2023 · Control person joined · fact
- Louis James B••••• (Member Of The Board Of Directors) no longer on Schedule A of B•••••• R••••• • R•• (listed 2022-02-16, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Miller Peggy R••••• (Chair Of The Board Of Directors) no longer on Schedule A of B•••••• R••••• • R•• (listed 2022-02-16, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- B•••••• R••••• • R••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 28, 2021 · Succession (Item 4) · fact
- Scott Michael Rister (President) no longer on Schedule A of B•••••• R••••• • R•• (listed 2021-03-31, absent 2021-10-28)Oct 28, 2021 · Control person left · inference
- Scott Michael Rister (President) appeared on Schedule A of B•••••• R••••• • R••Mar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- B•••••• R••••• • R•• · Private Equityshared crd · intermediary
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