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•••••••• C•••••• M••••••••• I•••

Former SEC-registered adviserB••••••••, MarylandCRD 109949SEC 801-110282IAPD
Latest filing Feb 8, 2019
First filing on the tape Mar 21, 2012 · 9 filings
RAUM
$118M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
92%
$109M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$118M as of Feb 8, 2019
Mar 21, 2012$79.0M then
HNW client RAUM$71.8M as of Feb 8, 2019
Mar 12, 2018$75.1M then
State-registered IARs (5.B.3)3 as of Feb 8, 2019
Mar 21, 20120 then
Employees (5.A)4 as of Feb 8, 2019
Mar 12, 20184 then
Private funds: no history
RAUM -13% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 8, 2019; every figure names its basis
RAUM per advisor
$39.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$907,292derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-7.5%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$3.2M, 3 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$71.8M61%
  • Individuals$36.9M31%
  • Corporations and businesses$9.3M7.9%
Individual clients
94reported
HNW clients
29reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
130reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$3.2M for 3 clientsreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G•••••• A••••••••• S•••••• · Presidentcontrol
      since 10/1994 · owns 75% or more
    • H•••••• L••••• G••••• · Chief Financial Officer, Chief Compliance Officercontrol
      since 12/2006 · owns less than 5%
    • S••••••••• J••••• B•••••• · Owner
      since 10/2014 · owns 10% to 25%
    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 · 139 to 130
      Mar 12, 2018 to Feb 8, 2019
    • Corporate clients · 6 to 7
      Mar 12, 2018 to Feb 8, 2019
    • HNW clients · 31 to 29
      Mar 12, 2018 to Feb 8, 2019
    • Individual clients · 102 to 94
      Mar 12, 2018 to Feb 8, 2019
    • Discretionary RAUM · $134M to $117M
      Mar 12, 2018 to Feb 8, 2019
    • HNW RAUM · $75.1M to $71.8M
      Mar 12, 2018 to Feb 8, 2019
    • Individual RAUM · $51.2M to $36.9M
      Mar 12, 2018 to Feb 8, 2019
    • Non-discretionary RAUM · $1.6M to $1.4M
      Mar 12, 2018 to Feb 8, 2019
    • RAUM · $136M to $118M
      Mar 12, 2018 to Feb 8, 2019
    • Accounts · 146 to 139
      Mar 27, 2017 to Mar 12, 2018
    • Charity clients · unset to 0.0
      Mar 27, 2017 to Mar 12, 2018
    • Corporate clients · unset to 6.0
      Mar 27, 2017 to Mar 12, 2018
    • HNW clients · unset to 31.0
      Mar 27, 2017 to Mar 12, 2018
    • Individual clients · unset to 102.0
      Mar 27, 2017 to Mar 12, 2018
    • Pension plan clients · unset to 0.0
      Mar 27, 2017 to Mar 12, 2018
    • Pooled vehicle clients · unset to 0.0
      Mar 27, 2017 to Mar 12, 2018
    • Assets in custody · $0 to $3.2M
      Mar 27, 2017 to Mar 12, 2018
    • Custody of client assets · false to true
      Mar 27, 2017 to Mar 12, 2018
    • State-registered IARs · 4 to 3
      Mar 27, 2017 to Mar 12, 2018
    • Other offices · unset to 0.0
      Mar 27, 2017 to Mar 12, 2018
    • Discretionary RAUM · $139M to $134M
      Mar 27, 2017 to Mar 12, 2018
    • HNW RAUM · unset to 75105101.0
      Mar 27, 2017 to Mar 12, 2018
    • Individual RAUM · unset to 51223343.0
      Mar 27, 2017 to Mar 12, 2018
    • Non-discretionary RAUM · $1.4M to $1.6M
      Mar 27, 2017 to Mar 12, 2018
    • Pension RAUM · unset to 0.0
      Mar 27, 2017 to Mar 12, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Mar 27, 2017 to Mar 12, 2018
    • RAUM · $141M to $136M
      Mar 27, 2017 to Mar 12, 2018
    • Accounts · 150 to 146
      Jun 19, 2012 to Mar 27, 2017
    • Advisory employees · unset to 3.0
      Jun 19, 2012 to Mar 27, 2017
    • Custody of client assets · true to false
      Jun 19, 2012 to Mar 27, 2017
    • Employees · unset to 4.0
      Jun 19, 2012 to Mar 27, 2017
    • State-registered IARs · 0 to 4
      Jun 19, 2012 to Mar 27, 2017
    • Discretionary RAUM · $79.0M to $139M
      Jun 19, 2012 to Mar 27, 2017
    • Non-discretionary RAUM · $0 to $1.4M
      Jun 19, 2012 to Mar 27, 2017
    • RAUM · $79.0M to $141M
      Jun 19, 2012 to Mar 27, 2017
    • Business name · B•••••••• C•••••• M••••••••• I••• to B•••••••• C•••••• M••••••••• I•••
      May 16, 2012 to Jun 5, 2012
    • Assets in custody · unset to 0.0
      May 16, 2012 to Jun 5, 2012
    • Custody of client assets · false to true
      May 16, 2012 to Jun 5, 2012
    • Legal name · B•••••••• C•••••• M••••••••• I••• to B•••••••• C•••••• M••••••••• I•••
      May 16, 2012 to Jun 5, 2012
    • Assets in custody · 985773.0 to unset
      Mar 21, 2012 to Mar 23, 2012
    Signals
    1 dated events
    • B•••••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
      Mar 27, 2017 · 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