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•••• I••••••••• C••••••• I••
Legal name B•••• I••••••••• C•••••• I••
Latest filing Mar 7, 2025
First filing on the tape Apr 2, 2012 · 22 filings
SEC status approved since Jan 28, 1997
RAUM
$982M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$764M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$982M as of Mar 7, 2025
Apr 2, 2012$1.0B then
HNW client RAUM$764M as of Mar 7, 2025
Mar 5, 2018$932M then
State-registered IARs (5.B.3)0 as of Mar 7, 2025
Mar 26, 20131 then
Employees (5.A)10 as of Mar 7, 2025
Mar 26, 20138 then
Private funds1 as of Mar 7, 2025
Jan 29, 20201 then
RAUM -0.4% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 7, 2025; 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
- $10.8MderivedHNW RAUM over HNW clients
- Average account
- $12.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%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
- -0.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -30%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $116M, 10 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$764M78%
- Corporations and businesses$150M15%
- Pooled investment vehicles$46.0M4.7%
- Charitable organizations$21.9M2.2%
- Individual clients
- 0reported
- HNW clients
- 71reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 81reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $116M for 10 clientsreported
- Compensation
- % of AUM, performancereported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••• C•••• I••••••••• P•••••••• L• | Hedge Fund | $55.5M | 50 | Apr 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• T•••••• E••• · Managing Directorcontrolsince 01/1995 · owns 25% to 50%
- B••••• W•••••• T••••• · Managing Directorcontrolsince 12/1997 · owns 75% or more
- B•••••••• C••••• A•• · Chief Compliance Officercontrolsince 03/2013 · owns less than 5%
- J•••••••• K••••• S••••• · Managing Directorcontrolsince 06/2002 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list B•••• I••••••••• C••••••• I•• as a related person
- 140011 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 113 to 81Feb 7, 2024 to Mar 7, 2025
- Charity clients · 4 to 3Feb 7, 2024 to Mar 7, 2025
- HNW clients · 102 to 71Feb 7, 2024 to Mar 7, 2025
- Assets in custody · $119M to $116MFeb 7, 2024 to Mar 7, 2025
- Discretionary RAUM · $985M to $982MFeb 7, 2024 to Mar 7, 2025
- HNW RAUM · $771M to $764MFeb 7, 2024 to Mar 7, 2025
- Pooled vehicle RAUM · $55.5M to $46.0MFeb 7, 2024 to Mar 7, 2025
- RAUM · $985M to $982MFeb 7, 2024 to Mar 7, 2025
- Accounts · 129 to 113Feb 10, 2023 to Feb 7, 2024
- HNW clients · 118 to 102Feb 10, 2023 to Feb 7, 2024
- Assets in custody · $103M to $119MFeb 10, 2023 to Feb 7, 2024
- Discretionary RAUM · $1.0B to $985MFeb 10, 2023 to Feb 7, 2024
- HNW RAUM · $801M to $771MFeb 10, 2023 to Feb 7, 2024
- Pooled vehicle RAUM · $54.6M to $55.5MFeb 10, 2023 to Feb 7, 2024
- RAUM · $1.0B to $985MFeb 10, 2023 to Feb 7, 2024
- Related adviser · true to falseFeb 10, 2023 to Feb 7, 2024
- Accounts · 133 to 129Feb 8, 2022 to Feb 10, 2023
- Advisory employees · 5 to 6Feb 8, 2022 to Feb 10, 2023
- Charity clients · 5 to 4Feb 8, 2022 to Feb 10, 2023
- HNW clients · 121 to 118Feb 8, 2022 to Feb 10, 2023
- Assets in custody · $107M to $103MFeb 8, 2022 to Feb 10, 2023
- Employees · 9 to 10Feb 8, 2022 to Feb 10, 2023
- Discretionary RAUM · $1.5B to $1.0BFeb 8, 2022 to Feb 10, 2023
- HNW RAUM · $971M to $801MFeb 8, 2022 to Feb 10, 2023
- Pooled vehicle RAUM · $62.9M to $54.6MFeb 8, 2022 to Feb 10, 2023
- RAUM · $1.5B to $1.0BFeb 8, 2022 to Feb 10, 2023
- Accounts · 128 to 133Sep 9, 2021 to Feb 8, 2022
- HNW clients · 116 to 121Sep 9, 2021 to Feb 8, 2022
- Assets in custody · $107M to $107MSep 9, 2021 to Feb 8, 2022
- Employees · 12 to 9Sep 9, 2021 to Feb 8, 2022
- Discretionary RAUM · $1.3B to $1.5BSep 9, 2021 to Feb 8, 2022
- HNW RAUM · $845M to $971MSep 9, 2021 to Feb 8, 2022
- Pooled vehicle RAUM · $59.4M to $62.9MSep 9, 2021 to Feb 8, 2022
- RAUM · $1.3B to $1.5BSep 9, 2021 to Feb 8, 2022
- Related adviser · false to trueFeb 15, 2021 to Sep 9, 2021
- Accounts · 121 to 128Nov 9, 2020 to Feb 15, 2021
- Advisory employees · 4 to 5Nov 9, 2020 to Feb 15, 2021
- Charity clients · 6 to 5Nov 9, 2020 to Feb 15, 2021
- HNW clients · 108 to 116Nov 9, 2020 to Feb 15, 2021
- Assets in custody · $54.8M to $107MNov 9, 2020 to Feb 15, 2021
Signals
2 dated events
- B•••• I••••••••• C••••••• I•• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $981.7M)Jun 2, 2025 · Left the SEC roster · derived
- B•••• I••••••••• C••••••• I•• reported RAUM $1.0B, down 31% from $1.5B (2022-02-08 to 2023-02-10)Feb 10, 2023 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- B•••• I••••••••• C•••••• I••/pa · Family Officesshared cik · office
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