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.

Former SEC-registered adviser

Bofa Advisors, LLC

Former SEC-registered adviserBoston, MassachusettsCRD 107900SEC 801-50372IAPD
Latest filing Apr 21, 2016
First filing on the tape Mar 30, 2012 · 42 filings
RAUM
$94B
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
63
28 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$3.2B gross assets
History
42 filings and snapshots on the tape
RAUM$94B as of Mar 21, 2016
Mar 30, 2012$79B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 21, 2016
Mar 22, 20134 then
Employees (5.A)63 as of Mar 21, 2016
Mar 22, 201364 then
Private funds1 as of Mar 21, 2016
Mar 30, 20127 then
RAUM +7.6% over the last fiscal year+4.8% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Apr 21, 2016; every figure names its basis
RAUM per advisor
$47BderivedRAUM 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
$550MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
31.5derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+7.6%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, publications, educational seminars, otherreportedItem 5.G
Custody
$3.2B, 1 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • a related person acts as qualified custodian (9.D.2)
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
171reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$3.2B for 1 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
Joined, latest
Every departureEvery arrival
Private funds
7 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Strategic Cash Portfolio II, A Series Of Qualified Purchaser Funds, LLCLiquidity Fund$3.2B2Mar 30, 2012
South Street Cbo 2000 -1Securitized Asset Fund$2.0M6Mar 30, 2012
Flagship Clo IIISecuritized Asset Fund$010Mar 30, 2012
Aurum Clo 2002-1 LtdSecuritized Asset Fund$00Mar 30, 2012
South Street Cbo 1999-1Securitized Asset Fund$04Mar 30, 2012
Flagship Clo IVSecuritized Asset Fund$010Mar 30, 2012
Bank Of America Global Liquidity Fund, Plc - Eurono longer reportedLiquidity Fund$00Mar 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • Richard James Bordewick · Chief Compliance Officercontrol
    since 05/2010 · owns less than 5%
  • Brian Kenneth Crotty · Chief Operating Officercontrol
    since 01/2014 · owns less than 5%
  • Ann Linda Douglas · Chief Financial Officercontrol
    since 09/2010 · owns less than 5%
  • John Michael Pelzar · President, Manager, Ceo & Chairmancontrol
    since 05/2010 · owns less than 5%
  • Jewel Rana Wright · Chief Legal Officercontrol
    since 07/2014 · owns less than 5%
Entity owners
  • Bofa Global Capital Management Group, LLC · Member
    direct · owns 75% or more
  • Bac North America Holding Company · Shareholder
    indirect · owns 75% or more of Bana Holding Corporation
  • Bana Holding Corporation · Shareholder
    indirect · owns 75% or more of Bank Of America, National Association
  • Bank Of America Corporation · Shareholder
    indirect · owns 75% or more of Nb Holdings Corporation · public reporting company
  • Bank Of America, National Association · Member
    indirect · owns 75% or more of Bofa Global Capital Management Group, LLC
  • Nb Holdings Corporation · Shareholder
    indirect · owns 75% or more of Bac North America Holding Company
Related persons
Schedule D 7.A
  • Banc Of America Capital Management (Ireland), Limited
    pooled vehicle sponsorn
  • Bank Of America Merrill Lynch International Limited
    broker-dealern
  • Bank Of America, National Association
    broker-dealerreal estatecustodiann
  • Bofa Distributors, Inc.
    broker-dealery
  • Merrill Lynch, Pierce, Fenner & Smith Incorporated
    broker-dealerinvestment advisertrust companyLP sponsorcustodiannRAUM $1782B
Offices
Schedule D 1.F, the 25 largest
  • Charlotte, NC
  • Los Angeles, CA
What changed
consecutive filings, newest first
  • Accounts · 182 to 171
    Jan 12, 2016 to Mar 21, 2016
  • Advisory employees · 29 to 28
    Jan 12, 2016 to Mar 21, 2016
  • BD registered reps · 19 to 15
    Jan 12, 2016 to Mar 21, 2016
  • Assets in custody · $3.2B to $3.2B
    Jan 12, 2016 to Mar 21, 2016
  • Employees · 64 to 63
    Jan 12, 2016 to Mar 21, 2016
  • State-registered IARs · 4 to 2
    Jan 12, 2016 to Mar 21, 2016
  • Discretionary RAUM · $87B to $94B
    Jan 12, 2016 to Mar 21, 2016
  • Non-discretionary RAUM · $5.7M to $0
    Jan 12, 2016 to Mar 21, 2016
  • RAUM · $87B to $94B
    Jan 12, 2016 to Mar 21, 2016
  • Private funds · 6 to 1
    Dec 22, 2015 to Jan 12, 2016
  • Accounts · 184 to 182
    Dec 23, 2014 to Mar 10, 2015
  • Assets in custody · $3.2B to $3.2B
    Dec 23, 2014 to Mar 10, 2015
  • Employees · 66 to 64
    Dec 23, 2014 to Mar 10, 2015
  • Discretionary RAUM · $86B to $87B
    Dec 23, 2014 to Mar 10, 2015
  • Non-discretionary RAUM · $15.8M to $5.7M
    Dec 23, 2014 to Mar 10, 2015
  • RAUM · $86B to $87B
    Dec 23, 2014 to Mar 10, 2015
  • Accounts · 302 to 184
    Jan 29, 2014 to Mar 10, 2014
  • BD registered reps · 21 to 19
    Jan 29, 2014 to Mar 10, 2014
  • Assets in custody · $3.1B to $3.2B
    Jan 29, 2014 to Mar 10, 2014
  • Employees · 64 to 66
    Jan 29, 2014 to Mar 10, 2014
  • Private funds · 7 to 6
    Jan 29, 2014 to Mar 10, 2014
  • Discretionary RAUM · $82B to $86B
    Jan 29, 2014 to Mar 10, 2014
  • Non-discretionary RAUM · $0 to $15.8M
    Jan 29, 2014 to Mar 10, 2014
  • RAUM · $82B to $86B
    Jan 29, 2014 to Mar 10, 2014
  • Related bank · true to false
    Jan 29, 2014 to Mar 10, 2014
  • Accounts · 300 to 302
    Jul 11, 2012 to Mar 22, 2013
  • Advisory employees · unset to 29.0
    Jul 11, 2012 to Mar 22, 2013
  • Advisory activities · 5 to 7
    Jul 11, 2012 to Mar 22, 2013
  • BD registered reps · 0 to 21
    Jul 11, 2012 to Mar 22, 2013
  • Assets in custody · $3.0B to $3.1B
    Jul 11, 2012 to Mar 22, 2013
  • Employees · unset to 64.0
    Jul 11, 2012 to Mar 22, 2013
  • State-registered IARs · unset to 4.0
    Jul 11, 2012 to Mar 22, 2013
  • Discretionary RAUM · $79B to $82B
    Jul 11, 2012 to Mar 22, 2013
  • RAUM · $79B to $82B
    Jul 11, 2012 to Mar 22, 2013
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