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•••••• P••••• W••••• M•••••••
Legal name B••••••• P••••• A•• B•••• I•••
Latest filing May 10, 2021
First filing on the tape Mar 28, 2012 · 24 filings
RAUM
$3.8B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
90%
$3.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$3.8B as of Mar 31, 2021
Mar 28, 2012$1.6B then
HNW client RAUM$3.3B as of Mar 31, 2021
Mar 30, 2018$2.2B then
State-registered IARs (5.B.3)18 as of Mar 31, 2021
Mar 6, 20130 then
Employees (5.A)22 as of Mar 31, 2021
Mar 6, 201320 then
Private funds: no history
RAUM +19% over the last fiscal year+15% a year over threeIARs 17 to 18
Practice profile
derived from the filing of May 10, 2021; every figure names its basis
- RAUM per advisor
- $212MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.2MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 18.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +5.9%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $1.3B, 574 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.3B86%
- Corporations and businesses$184M4.8%
- Charitable organizations$174M4.5%
- Individuals$139M3.6%
- Pension and profit-sharing plans$18.6M0.5%
- Individual clients
- 206reported
- HNW clients
- 529reported
- Pension plan clients
- 8reported
- Charitable clients
- 34reported
- Accounts
- 1,938reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 574 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
- J••• F•••••••• B•••••• to L•• F•••••••• L••Jun 18, 2020 · RIA to affiliated broker-dealer or bank
- V••••••• M•••• B••• to A••••••••• F•••••••• S•••••••• L••May 3, 2019 · RIA to affiliated broker-dealer or bank
- A••••• F••••••• S••••• to S••••• W••••• M•••••••••Oct 1, 2018 · RIA to RIA
- J•••• M•••• W•••••• to F•••••• C••••••• L••Mar 4, 2015 · Other
- C•••••• J••••• W••••• to S••••••• I••••••••• P••••••• L••Nov 13, 2012 · Other
- W•••••• J••••• D••••• to A••••• A•••• M•••••••••Jun 4, 2003 · Other
Joined, latest
- E•••• J•••• S•••••••• from B••••••• J•••• L••Feb 23, 2021 · RIA to RIA
- M•••• E•••••••• W•••• from T••••••••• W•••••Nov 18, 2019 · RIA to RIA
- E•••• K•• K••• from C••••••••• W••••• M•••••••••Nov 14, 2018 · RIA to RIA
- V••••••• M•••• B••• from A••••••••• F•••••••• S•••••••• L••Jun 24, 2016 · Other
- A••••• F••••••• S••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 28, 2016 · Other
- J•••••• M••• W•••••• from A••••••••• F•••••••• S•••••••• L••Jul 29, 2015 · Other
- J•••• M•••• W•••••• from P•••••• I••••••••• M••••••••• I••Sep 14, 2012 · Other
- J•••• L••••• P•••••• R•• from C•••••••• G••••• M•••••• I•••Apr 1, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 18 left for B•••••• P••••• W••••• M•••••••Aug 1, 2021 · Seattle, Wa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• J••••• K•••• · Chairman, Director And Officercontrolsince 01/1990 · owns 10% to 25%
- C•••••••• M••••• W••••• · Director And Officercontrolsince 01/1998 · owns 5% to 10%
- G•••••• L•••• P••••••• · Director And Officercontrolsince 01/1996 · owns less than 5%
- P••••• C•••••• L•• · Director And Officercontrolsince 10/2006 · owns 5% to 10%
- P•••••• S•••••• C•••••• · Director And Chief Executive Officercontrolsince 01/1990 · owns 10% to 25%
- G••••• M••••••• R••••• · Officersince 06/2014 · owns 5% to 10%
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
- Accounts · 1,726 to 1,938Jun 30, 2020 to Mar 31, 2021
- Advisory employees · 17 to 18Jun 30, 2020 to Mar 31, 2021
- Charity clients · 33 to 34Jun 30, 2020 to Mar 31, 2021
- Corporate clients · 21 to 17Jun 30, 2020 to Mar 31, 2021
- HNW clients · 474 to 529Jun 30, 2020 to Mar 31, 2021
- Individual clients · 180 to 206Jun 30, 2020 to Mar 31, 2021
- Pension plan clients · 10 to 8Jun 30, 2020 to Mar 31, 2021
- Assets in custody · $1.7B to $1.3BJun 30, 2020 to Mar 31, 2021
- Employees · 20 to 22Jun 30, 2020 to Mar 31, 2021
- State-registered IARs · 17 to 18Jun 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $3.0B to $3.6BJun 30, 2020 to Mar 31, 2021
- HNW RAUM · $2.7B to $3.3BJun 30, 2020 to Mar 31, 2021
- Individual RAUM · $125M to $139MJun 30, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $210M to $261MJun 30, 2020 to Mar 31, 2021
- Pension RAUM · $22.3M to $18.6MJun 30, 2020 to Mar 31, 2021
- RAUM · $3.2B to $3.8BJun 30, 2020 to Mar 31, 2021
- Accounts · 1,614 to 1,726Mar 29, 2019 to Mar 30, 2020
- Advisory employees · 18 to 17Mar 29, 2019 to Mar 30, 2020
- Charity clients · 34 to 33Mar 29, 2019 to Mar 30, 2020
- HNW clients · 482 to 474Mar 29, 2019 to Mar 30, 2020
- Individual clients · 129 to 180Mar 29, 2019 to Mar 30, 2020
- Pension plan clients · 7 to 10Mar 29, 2019 to Mar 30, 2020
- Assets in custody · $1.4B to $1.7BMar 29, 2019 to Mar 30, 2020
- State-registered IARs · 18 to 17Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $2.5B to $3.0BMar 29, 2019 to Mar 30, 2020
- HNW RAUM · $2.3B to $2.7BMar 29, 2019 to Mar 30, 2020
- Individual RAUM · $56.4M to $125MMar 29, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $184M to $210MMar 29, 2019 to Mar 30, 2020
- Pension RAUM · $22.2M to $22.3MMar 29, 2019 to Mar 30, 2020
- RAUM · $2.6B to $3.2BMar 29, 2019 to Mar 30, 2020
- Employees · 22 to 20Oct 17, 2018 to Mar 29, 2019
- Accounts · 1,558 to 1,614Oct 17, 2018 to Mar 29, 2019
- Advisory employees · 19 to 18Oct 17, 2018 to Mar 29, 2019
- Charity clients · 29 to 34Oct 17, 2018 to Mar 29, 2019
- Corporate clients · 6 to 21Oct 17, 2018 to Mar 29, 2019
- HNW clients · 487 to 482Oct 17, 2018 to Mar 29, 2019
- Individual clients · 98 to 129Oct 17, 2018 to Mar 29, 2019
- Pension plan clients · 4 to 7Oct 17, 2018 to Mar 29, 2019
- Assets in custody · $594M to $1.4BOct 17, 2018 to Mar 29, 2019
- State-registered IARs · 19 to 18Oct 17, 2018 to Mar 29, 2019
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