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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
B••• O•• C•••••• L••
Latest filing Feb 25, 2025
First filing on the tape Mar 9, 2012 · 23 filings
SEC status approved since Feb 25, 2000
RAUM
$285M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$285M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$285M as of Feb 25, 2025
Mar 9, 2012$260M then
HNW client RAUM$285M as of Feb 25, 2025
Mar 7, 2018$433M then
State-registered IARs (5.B.3)1 as of Feb 25, 2025
Mar 9, 20120 then
Employees (5.A)1 as of Feb 25, 2025
Feb 28, 20133 then
Private funds: no history
RAUM -49% over the last fiscal year-22% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Feb 25, 2025; every figure names its basis
- RAUM per advisor
- $285MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $704,760derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -49%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -37%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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$285M100%
- Individual clients
- 0reported
- HNW clients
- 94reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 405reported
- Financial planning clients
- 0reported
- 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
Left, latest
- T••••• A••• B•••• to C••••••••• W•••••• L••Jul 17, 2025 · RIA to RIA
- M•••••• B•••• K••••••• to C••••• P••••••• L••Nov 5, 2024 · RIA to RIA
- E••••• R••••••• G•••••• to T••••••• F•••••••• P•••••••Oct 19, 2010 · Other
Joined, latest
- M•••••• B•••• K••••••• from L•••••••• T••••••• A•••• M••••••••• I••Aug 24, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• T•••••• A••• · Membercontrolsince 04/1999 · owns 50% to 75%
- K•••••••• M••••••• B•••• · Member, Chief Compliance Officercontrolsince 01/2009 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Menlo Park, Ca · principal | 0 | 0 | 0 | ||
| Palo Alto, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 500 to 405Feb 29, 2024 to Feb 25, 2025
- Advisory employees · 2 to 1Feb 29, 2024 to Feb 25, 2025
- BD registered reps · 0 to 1Feb 29, 2024 to Feb 25, 2025
- HNW clients · 149 to 94Feb 29, 2024 to Feb 25, 2025
- Employees · 2 to 1Feb 29, 2024 to Feb 25, 2025
- State-registered IARs · 2 to 1Feb 29, 2024 to Feb 25, 2025
- Discretionary RAUM · $557M to $285MFeb 29, 2024 to Feb 25, 2025
- HNW RAUM · $557M to $285MFeb 29, 2024 to Feb 25, 2025
- RAUM · $557M to $285MFeb 29, 2024 to Feb 25, 2025
- Accounts · 497 to 500Jan 25, 2023 to Feb 29, 2024
- HNW clients · 150 to 149Jan 25, 2023 to Feb 29, 2024
- Assets in custody · 11475945.0 to unsetJan 25, 2023 to Feb 29, 2024
- Custody of client assets · true to falseJan 25, 2023 to Feb 29, 2024
- Discretionary RAUM · $506M to $557MJan 25, 2023 to Feb 29, 2024
- HNW RAUM · $506M to $557MJan 25, 2023 to Feb 29, 2024
- RAUM · $506M to $557MJan 25, 2023 to Feb 29, 2024
- Accounts · 479 to 497Jun 28, 2022 to Jan 25, 2023
- HNW clients · 141 to 150Jun 28, 2022 to Jan 25, 2023
- Assets in custody · $17.4M to $11.5MJun 28, 2022 to Jan 25, 2023
- Discretionary RAUM · $597M to $506MJun 28, 2022 to Jan 25, 2023
- HNW RAUM · $597M to $506MJun 28, 2022 to Jan 25, 2023
- RAUM · $597M to $506MJun 28, 2022 to Jan 25, 2023
- Accounts · 453 to 479Jun 29, 2021 to Feb 1, 2022
- Assets in custody · unset to 17364987.0Jun 29, 2021 to Feb 1, 2022
- Custody of client assets · false to trueJun 29, 2021 to Feb 1, 2022
- Discretionary RAUM · $543M to $597MJun 29, 2021 to Feb 1, 2022
- HNW RAUM · $543M to $597MJun 29, 2021 to Feb 1, 2022
- RAUM · $543M to $597MJun 29, 2021 to Feb 1, 2022
- Accounts · 401 to 453Oct 28, 2020 to Feb 5, 2021
- HNW clients · 125 to 141Oct 28, 2020 to Feb 5, 2021
- Discretionary RAUM · $459M to $543MOct 28, 2020 to Feb 5, 2021
- HNW RAUM · $459M to $543MOct 28, 2020 to Feb 5, 2021
- RAUM · $459M to $543MOct 28, 2020 to Feb 5, 2021
- Accounts · 399 to 401Mar 22, 2019 to Mar 13, 2020
- Advisory employees · 3 to 2Mar 22, 2019 to Mar 13, 2020
- HNW clients · 127 to 125Mar 22, 2019 to Mar 13, 2020
- Assets in custody · 233133915.0 to unsetMar 22, 2019 to Mar 13, 2020
- Custody of client assets · true to falseMar 22, 2019 to Mar 13, 2020
- Employees · 3 to 2Mar 22, 2019 to Mar 13, 2020
- State-registered IARs · 3 to 2Mar 22, 2019 to Mar 13, 2020
Signals
7 dated events
- B••• O•• C•••••• L•• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $285.4M)Aug 1, 2025 · Left the SEC roster · derived
- T••••• A••• B•••• left B••• O•• C•••••• L•• for C••••••••• W•••••• L•• (registered 2025-07-01)Jul 17, 2025 · Advisor changed firm · fact
- B••• O•• C•••••• L•• reported RAUM $285.4M, down 49% from $556.7M (2024-02-29 to 2025-02-25)Feb 25, 2025 · RAUM change · derived
- M•••••• B•••• K••••••• left B••• O•• C•••••• L•• for C••••• P••••••• L•• (registered 2024-10-25)Nov 5, 2024 · Advisor changed firm · fact
- A••••• C••••• B•••• (Member) no longer on Schedule A of B••• O•• C•••••• L•• (listed 2019-03-22, absent 2020-03-13)Mar 13, 2020 · Control person left · inference
- A••••• C••••• B•••• (Member) appeared on Schedule A of B••• O•• C•••••• L••Mar 22, 2019 · Control person joined · fact
- Loren Walden (Member, Chief Compliance Officer) no longer on Schedule A of B••• O•• C•••••• L•• (listed 2018-03-07, absent 2019-03-22)Mar 22, 2019 · Control person left · inference
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