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

I•••••• C•••••• A•••••••

Former SEC-registered adviserBradenton, FloridaCRD 108976SEC 801-80862IAPD
Legal name B•••••• C•••••• M••••••••• I••
Latest filing Apr 11, 2022
First filing on the tape Jan 31, 2012 · 36 filings
RAUM
$419M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
66%
$275M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$419M as of Feb 3, 2022
Jan 31, 2012$64.5M then
HNW client RAUM$231M as of Feb 3, 2022
Mar 20, 2018$100M then
State-registered IARs (5.B.3)6 as of Feb 3, 2022
Feb 6, 20154 then
Employees (5.A)7 as of Feb 3, 2022
Feb 6, 20154 then
Private funds: no history
RAUM +33% over the last fiscal year+27% a year over threeIARs 6 to 6offices 2 to 0
Practice profile
derived from the filing of Apr 11, 2022; every figure names its basis
RAUM per advisor
$69.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$691,999derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+33%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+22%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$86.3M, 75 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)
  • 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$231M55%
  • Other investment advisers$118M28%
  • Individuals$44.4M11%
  • Corporations and businesses$19.9M4.7%
  • Pension and profit-sharing plans$6.2M1.5%
Individual clients
164reported
HNW clients
65reported
Pension plan clients
13reported
Charitable clients
n/areported
Accounts
605reported
Financial planning clients
26-50reported
Wrap fee programs
$0 sponsored, $118M managedreported
Custody of client assets
$86.3M for 75 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••• T•••••• H••••• · President, Treasurer, Secretary, Chief Compliance Officercontrol
    since 07/1992 · owns 50% to 75%
  • C•••••••• C••••••• B•••••• · Executive Vp, Ciocontrol
    since 08/2018 · owns 25% to 50%
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
  • Other offices · 2 to 0
    Feb 3, 2022 to Apr 11, 2022
  • Accounts · 532 to 605
    Aug 31, 2021 to Feb 3, 2022
  • Corporate clients · unset to 9.0
    Aug 31, 2021 to Feb 3, 2022
  • HNW clients · 54 to 65
    Aug 31, 2021 to Feb 3, 2022
  • Individual clients · 133 to 164
    Aug 31, 2021 to Feb 3, 2022
  • Pension plan clients · unset to 13.0
    Aug 31, 2021 to Feb 3, 2022
  • Assets in custody · $68.6M to $86.3M
    Aug 31, 2021 to Feb 3, 2022
  • Discretionary RAUM · $314M to $419M
    Aug 31, 2021 to Feb 3, 2022
  • HNW RAUM · $188M to $231M
    Aug 31, 2021 to Feb 3, 2022
  • Individual RAUM · $20.1M to $44.4M
    Aug 31, 2021 to Feb 3, 2022
  • Pension RAUM · $2.9M to $6.2M
    Aug 31, 2021 to Feb 3, 2022
  • RAUM · $314M to $419M
    Aug 31, 2021 to Feb 3, 2022
  • Wrap assets (manager) · $93.5M to $118M
    Aug 31, 2021 to Feb 3, 2022
  • Accounts · 561 to 532
    Oct 21, 2020 to Feb 19, 2021
  • Advisory employees · 7 to 6
    Oct 21, 2020 to Feb 19, 2021
  • Advisory activities · 5 to 6
    Oct 21, 2020 to Feb 19, 2021
  • HNW clients · 55 to 54
    Oct 21, 2020 to Feb 19, 2021
  • Individual clients · 149 to 133
    Oct 21, 2020 to Feb 19, 2021
  • Assets in custody · $38.5M to $68.6M
    Oct 21, 2020 to Feb 19, 2021
  • Employees · 8 to 7
    Oct 21, 2020 to Feb 19, 2021
  • State-registered IARs · 7 to 6
    Oct 21, 2020 to Feb 19, 2021
  • Discretionary RAUM · $256M to $314M
    Oct 21, 2020 to Feb 19, 2021
  • HNW RAUM · $126M to $188M
    Oct 21, 2020 to Feb 19, 2021
  • Individual RAUM · $41.5M to $20.1M
    Oct 21, 2020 to Feb 19, 2021
  • Pension RAUM · $1.5M to $2.9M
    Oct 21, 2020 to Feb 19, 2021
  • RAUM · $256M to $314M
    Oct 21, 2020 to Feb 19, 2021
  • Wrap assets (manager) · $87.0M to $93.5M
    Oct 21, 2020 to Feb 19, 2021
  • Accounts · 268 to 561
    Oct 28, 2019 to Feb 24, 2020
  • HNW clients · 52 to 55
    Oct 28, 2019 to Feb 24, 2020
  • Individual clients · 211 to 149
    Oct 28, 2019 to Feb 24, 2020
  • Assets in custody · $57.7M to $38.5M
    Oct 28, 2019 to Feb 24, 2020
  • Other offices · 3 to 2
    Oct 28, 2019 to Feb 24, 2020
  • Discretionary RAUM · $199M to $256M
    Oct 28, 2019 to Feb 24, 2020
  • HNW RAUM · $104M to $126M
    Oct 28, 2019 to Feb 24, 2020
  • Individual RAUM · $38.2M to $41.5M
    Oct 28, 2019 to Feb 24, 2020
  • Non-discretionary RAUM · $3.6M to $0
    Oct 28, 2019 to Feb 24, 2020
  • Pension RAUM · $1.3M to $1.5M
    Oct 28, 2019 to Feb 24, 2020
  • RAUM · $203M to $256M
    Oct 28, 2019 to Feb 24, 2020
  • Wrap assets (manager) · $59.6M to $87.0M
    Oct 28, 2019 to Feb 24, 2020
  • Accounts · 244 to 268
    Aug 16, 2018 to Mar 5, 2019
Signals
9 dated events
  • A••••• M• G••••• left I•••••• C•••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-04-05)
    Apr 5, 2022 · Advisor changed firm · fact
  • C•••••• B•••••• C••••••• left I•••••• C•••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-04-13)
    Apr 5, 2022 · Advisor changed firm · fact
  • J••• M•••••• H•••••• left I•••••• C•••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-04-05)
    Apr 5, 2022 · Advisor changed firm · fact
  • J••••• S•••••••• left I•••••• C•••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-04-05)
    Apr 5, 2022 · Advisor changed firm · fact
  • D•••• K••• left I•••••• C•••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-04-05)
    Apr 5, 2022 · Advisor changed firm · fact
  • T••••• H••••• B•••••• left I•••••• C•••••• A••••••• for F•• A••••••• S••••••• I•• (registered 1994-11-17)
    Apr 5, 2022 · Advisor changed firm · fact
  • I•••••• C•••••• A•••••••'s advisors moved to W••••• E••••••••• A••••••• S•••••••• L•• (Bradenton, FL): 5 of 6 registered, on the same day
    Apr 5, 2022 · Firm absorbed (people side) · derived
  • I•••••• C•••••• A••••••• reported RAUM $418.7M, up 33% from $314.3M (2021-08-31 to 2022-02-03)
    Feb 3, 2022 · RAUM change · derived
  • B•••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
    Jan 9, 2015 · First SEC registration · 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