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••••••••• F•••••••• A•••••••• I•••

Former SEC-registered adviserHouston, TexasCRD 109386SEC 801-56534IAPD
Latest filing Oct 1, 2015
First filing on the tape Mar 16, 2012 · 16 filings
RAUM
$14.1M
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$25.0M as of Mar 31, 2015
Mar 16, 2012$36.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2015
Mar 16, 20120 then
Employees (5.A)5 as of Mar 31, 2015
Mar 21, 20137 then
Private funds: no history
RAUM -44% over the last fiscal year-27% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Oct 1, 2015; every figure names its basis
RAUM per advisor
$7.0MderivedRAUM 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
$141,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)
  • compensates persons for client referrals (8.G.1)
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
100reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H••••• W••••••• C•••• · Chief Compliance Officercontrol
    since 01/1997 · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Modesto, CA
What changed
consecutive filings, newest first
  • Advisory employees · 2 to 3
    Sep 17, 2015 to Oct 1, 2015
  • Insurance-licensed employees · 1 to 2
    Sep 15, 2015 to Sep 17, 2015
  • Business name · B••••••••• F•••••••• A••••••• I•• to B••••••••• F•••••••• A•••••••• I•••
    Aug 21, 2015 to Sep 10, 2015
  • Legal name · B••••••••• F•••••••• A••••••• I•• to B••••••••• F•••••••• A•••••••• I•••
    Aug 21, 2015 to Sep 10, 2015
  • Advisory activities · 3 to 4
    Jul 28, 2015 to Aug 21, 2015
  • Insurance-licensed employees · 0 to 1
    Jun 15, 2015 to Jul 1, 2015
  • Advisory activities · 4 to 3
    Apr 20, 2015 to Jun 4, 2015
  • Financial planning clients · 26-50 to 11-25
    Apr 20, 2015 to Jun 4, 2015
  • Discretionary RAUM · $25.0M to $14.1M
    Apr 20, 2015 to Jun 4, 2015
  • RAUM · $25.0M to $14.1M
    Apr 20, 2015 to Jun 4, 2015
  • Related adviser · false to true
    Apr 20, 2015 to Jun 4, 2015
  • Related insurance company · true to false
    Apr 20, 2015 to Jun 4, 2015
  • Accounts · 266 to 100
    Nov 20, 2013 to Mar 27, 2014
  • Employees · 7 to 5
    Nov 20, 2013 to Mar 27, 2014
  • Discretionary RAUM · $27.3M to $25.0M
    Nov 20, 2013 to Mar 27, 2014
  • RAUM · $27.3M to $25.0M
    Nov 20, 2013 to Mar 27, 2014
  • Accounts · 264 to 266
    Mar 16, 2012 to Mar 21, 2013
  • Advisory employees · unset to 2.0
    Mar 16, 2012 to Mar 21, 2013
  • Employees · unset to 7.0
    Mar 16, 2012 to Mar 21, 2013
  • State-registered IARs · 0 to 2
    Mar 16, 2012 to Mar 21, 2013
  • Discretionary RAUM · $36.0M to $27.3M
    Mar 16, 2012 to Mar 21, 2013
  • RAUM · $36.0M to $27.3M
    Mar 16, 2012 to Mar 21, 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