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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SEC-registered adviser
B•••••••• C•••••• H••••••• I••
Latest filing Mar 9, 2026
First filing on the tape Mar 26, 2012 · 17 filings
SEC status approved since Oct 30, 1996
RAUM
$283M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$283M as of Mar 9, 2026
Mar 26, 2012$40.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 9, 2026
Mar 26, 20120 then
Employees (5.A)2 as of Mar 9, 2026
Mar 28, 20132 then
Private funds: no history
RAUM +28% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 9, 2026; 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
- $283MderivedRAUM 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
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$283M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• L•••••• A••• · Chief Compliance Officercontrolsince 12/2023 · owns less than 5%
- F••••• L••••• H••••• · Corporate Secretarycontrolsince 10/2007 · owns 75% or more
- F••••• M••••••• R•••••• · Chairman/Ceocontrolsince 02/1993 · owns 75% or more
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
- Discretionary RAUM · $221M to $283MMar 19, 2025 to Mar 9, 2026
- RAUM · $221M to $283MMar 19, 2025 to Mar 9, 2026
- Financial planning clients · unset to Mar 27, 2024 to Mar 19, 2025
- HQ city · unset to Mar 27, 2024 to Mar 19, 2025
- HQ state · unset to Mar 27, 2024 to Mar 19, 2025
- Discretionary RAUM · $255M to $221MMar 27, 2024 to Mar 19, 2025
- RAUM · $255M to $221MMar 27, 2024 to Mar 19, 2025
- Discretionary RAUM · $189M to $255MJan 2, 2024 to Mar 27, 2024
- RAUM · $189M to $255MJan 2, 2024 to Mar 27, 2024
- Discretionary RAUM · $747M to $189MMar 17, 2022 to Mar 27, 2023
- RAUM · $747M to $189MMar 17, 2022 to Mar 27, 2023
- Discretionary RAUM · $866M to $747MNov 15, 2021 to Mar 17, 2022
- RAUM · $866M to $747MNov 15, 2021 to Mar 17, 2022
- Discretionary RAUM · $341M to $866MMar 28, 2020 to Mar 28, 2021
- RAUM · $341M to $866MMar 28, 2020 to Mar 28, 2021
- Discretionary RAUM · $231M to $341MMar 27, 2019 to Mar 28, 2020
- RAUM · $231M to $341MMar 27, 2019 to Mar 28, 2020
- Discretionary RAUM · $112M to $231MMar 29, 2018 to Mar 27, 2019
- RAUM · $112M to $231MMar 29, 2018 to Mar 27, 2019
- HQ city · SAN JOSE to unsetMar 21, 2017 to Mar 29, 2018
- HQ state · CA to unsetMar 21, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 21, 2017 to Mar 29, 2018
- Discretionary RAUM · $57.1M to $112MMar 21, 2017 to Mar 29, 2018
- RAUM · $57.1M to $112MMar 21, 2017 to Mar 29, 2018
- HQ city · unset to SAN JOSEMar 21, 2016 to Mar 21, 2017
- HQ state · unset to CAMar 21, 2016 to Mar 21, 2017
- Discretionary RAUM · $61.2M to $57.1MMar 21, 2016 to Mar 21, 2017
- RAUM · $61.2M to $57.1MMar 21, 2016 to Mar 21, 2017
- Discretionary RAUM · $63.1M to $61.2MMar 23, 2015 to Mar 21, 2016
- RAUM · $63.1M to $61.2MMar 23, 2015 to Mar 21, 2016
- Discretionary RAUM · $87.5M to $63.1MMar 26, 2014 to Mar 23, 2015
- RAUM · $87.5M to $63.1MMar 26, 2014 to Mar 23, 2015
- Discretionary RAUM · $50.1M to $87.5MMar 28, 2013 to Mar 26, 2014
- RAUM · $50.1M to $87.5MMar 28, 2013 to Mar 26, 2014
- Advisory employees · unset to 1.0Mar 26, 2012 to Mar 28, 2013
- Employees · unset to 2.0Mar 26, 2012 to Mar 28, 2013
- Discretionary RAUM · $40.6M to $50.1MMar 26, 2012 to Mar 28, 2013
- RAUM · $40.6M to $50.1MMar 26, 2012 to Mar 28, 2013
Signals
7 dated events
- Anne Lesley Buck (Chief Compliance Officer) appeared on Schedule A of B•••••••• C•••••• H••••••• I••Jan 2, 2024 · Control person joined · fact
- Sothara Chin (Chief Compliance Officer) no longer on Schedule A of B•••••••• C•••••• H••••••• I•• (listed 2023-03-27, absent 2024-01-02)Jan 2, 2024 · Control person left · inference
- B•••••••• C•••••• H••••••• I•• reported RAUM $188.6M, down 75% from $747.4M (2022-03-17 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- Sothara Chin (Chief Compliance Officer) appeared on Schedule A of B•••••••• C•••••• H••••••• I••Nov 15, 2021 · Control person joined · fact
- B•••••••• C•••••• H••••••• I•• reported RAUM $866.0M, up 154% from $341.0M (2020-03-28 to 2021-03-28)Mar 28, 2021 · RAUM change · derived
- B•••••••• C•••••• H••••••• I•• reported RAUM $341.0M, up 48% from $230.9M (2019-03-27 to 2020-03-28)Mar 28, 2020 · RAUM change · derived
- B•••••••• C•••••• H••••••• I•• reported RAUM $230.9M, up 105% from $112.3M (2018-03-29 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- B••••••••FUNDS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (408) 526-0707reportedpublic record, Form ADV, Mar 9, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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