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••••• C•••••• M••••••••• I••
Latest filing Mar 10, 2025
First filing on the tape Mar 8, 2012 · 33 filings
SEC status approved since Aug 30, 1990
RAUM
$278M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$278M 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
33 filings and snapshots on the tape
RAUM$278M as of Mar 10, 2025
Mar 8, 2012$320M then
HNW client RAUM$276M as of Mar 10, 2025
Feb 6, 2018$251M then
State-registered IARs (5.B.3)1 as of Mar 10, 2025
Mar 8, 20120 then
Employees (5.A)2 as of Mar 10, 2025
Mar 12, 20135 then
Private funds: no history
RAUM +15% over the last fiscal year+10% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 10, 2025; every figure names its basis
- RAUM per advisor
- $278MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- High-net-worth individuals$276M99%
- Individuals$2.1M0.7%
- Individual clients
- 12reported
- HNW clients
- 53reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 164reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- E••••• G••••• B••••• to F•••• M•••••••• C•• L••Mar 6, 2026 · RIA to affiliated broker-dealer or bank
- A•• S••••• G•••••••• to C•••• A•••• M•••••••••Feb 10, 2021 · RIA to a state-registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• E•••••• G••••• · President/Chief Compliance Officercontrolsince 05/1990 · owns less than 5%
- B•••••• E•••••• G••••• · T••••••controlsince 07/2009 · owns F of E••••• G• B•••••• T•••••• O• T•• E••••• G• B••••• R•••••••• L••••• T•••• F•• E••••• G• B•••••
- M••••••••• M•••• S••••• · Directorsince 10/2014 · owns less than 5%
- T•••••• C••••• C• · Directorsince 10/2014 · owns less than 5%
Entity owners
- E••••• G• B•••••• T•••••• O• T•• E••••• G• B••••• R•••••••• L••••• T•••• F•• E••••• G• B••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Jackson, Wy · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 161 to 164Mar 11, 2024 to Mar 10, 2025
- HNW clients · 46 to 53Mar 11, 2024 to Mar 10, 2025
- Individual clients · 16 to 12Mar 11, 2024 to Mar 10, 2025
- Financial planning clients · unset to Mar 11, 2024 to Mar 10, 2025
- Discretionary RAUM · $242M to $277MMar 11, 2024 to Mar 10, 2025
- HNW RAUM · $238M to $276MMar 11, 2024 to Mar 10, 2025
- Individual RAUM · $4.7M to $2.1MMar 11, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $938,090 to $985,308Mar 11, 2024 to Mar 10, 2025
- RAUM · $243M to $278MMar 11, 2024 to Mar 10, 2025
- Accounts · 162 to 161Mar 22, 2023 to Mar 11, 2024
- Advisory employees · 2 to 1Mar 22, 2023 to Mar 11, 2024
- Individual clients · 17 to 16Mar 22, 2023 to Mar 11, 2024
- Employees · 3 to 2Mar 22, 2023 to Mar 11, 2024
- Discretionary RAUM · $227M to $242MMar 22, 2023 to Mar 11, 2024
- HNW RAUM · $224M to $238MMar 22, 2023 to Mar 11, 2024
- Individual RAUM · $4.3M to $4.7MMar 22, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $984,486 to $938,090Mar 22, 2023 to Mar 11, 2024
- RAUM · $228M to $243MMar 22, 2023 to Mar 11, 2024
- Accounts · 160 to 162Mar 25, 2022 to Mar 21, 2023
- HNW clients · 42 to 46Mar 25, 2022 to Mar 21, 2023
- Individual clients · 16 to 17Mar 25, 2022 to Mar 21, 2023
- Discretionary RAUM · $207M to $227MMar 25, 2022 to Mar 21, 2023
- HNW RAUM · $204M to $224MMar 25, 2022 to Mar 21, 2023
- Individual RAUM · $4.3M to $4.3MMar 25, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $890,131 to $984,486Mar 25, 2022 to Mar 21, 2023
- RAUM · $208M to $228MMar 25, 2022 to Mar 21, 2023
- Accounts · 163 to 160Mar 12, 2021 to Mar 17, 2022
- HNW clients · 41 to 42Mar 12, 2021 to Mar 17, 2022
- Individual clients · 17 to 16Mar 12, 2021 to Mar 17, 2022
- Pension plan clients · 2 to 0Mar 12, 2021 to Mar 17, 2022
- Discretionary RAUM · $171M to $207MMar 12, 2021 to Mar 17, 2022
- HNW RAUM · $167M to $204MMar 12, 2021 to Mar 17, 2022
- Individual RAUM · $3.7M to $4.3MMar 12, 2021 to Mar 17, 2022
- Non-discretionary RAUM · $1.1M to $890,131Mar 12, 2021 to Mar 17, 2022
- Pension RAUM · $1.8M to $0Mar 12, 2021 to Mar 17, 2022
- RAUM · $172M to $208MMar 12, 2021 to Mar 17, 2022
- HNW clients · 46 to 41Jun 4, 2020 to Mar 12, 2021
- Individual clients · 18 to 17Jun 4, 2020 to Mar 12, 2021
- Pension plan clients · 4 to 2Jun 4, 2020 to Mar 12, 2021
- State-registered IARs · 2 to 1Jun 4, 2020 to Mar 12, 2021
Signals
3 dated events
- B••••• C•••••• M••••••••• I•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $277.9M)Apr 1, 2026 · Left the SEC roster · derived
- E••••• G••••• B••••• left B••••• C•••••• M••••••••• I•• for F•••• M•••••••• C•• L•• (registered 2026-03-10)Mar 6, 2026 · Advisor changed firm · fact
- B••••• C•••••• M••••••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 14, 2017 · Succession (Item 4) · fact
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