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

J•••• B•••••• B••••• • C••

Former SEC-registered adviserDenver, ColoradoCRD 109982SEC 801-46608IAPD
Legal name J•••• B•••••• B••••• • C••••••
Latest filing Mar 3, 2016
First filing on the tape Mar 23, 2012 · 6 filings
RAUM
$315M
reported, Item 5.F
Discretionary
98%
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
9
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$315M as of Mar 3, 2016
Mar 23, 2012$233M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 3, 2016
Mar 23, 20120 then
Employees (5.A)9 as of Mar 3, 2016
Apr 1, 20139 then
Private funds1 as of Mar 20, 2014
Mar 23, 20121 then
RAUM -6.4% over the last fiscal year+4.1% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 3, 2016; every figure names its basis
RAUM per advisor
$78.9MderivedRAUM 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
$549,498derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-6.4%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 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)
  • compensates non-employees for client referrals (8.G.2)
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
574reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      J•• R••••• F••• 2•••no longer reportedReal Estate Fund$2.1M18Mar 23, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• I••• D•••••• · Ceocontrol
        since 04/1994 · owns 25% to 50%
      • B•••••• M••••••• L••• · Chief Investment Officercontrol
        since 08/1994 · owns 25% to 50%
      • J••••• C••••• S•••••• · Presidentcontrol
        since 04/1994 · owns 25% to 50%
      • H••••••• L••••• J• · Cco
        since 10/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      • J•••• B•••••• B••••• T•• S•••••••
        insurancen
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 530 to 574
        Feb 4, 2015 to Mar 3, 2016
      • Employees · 10 to 9
        Feb 4, 2015 to Mar 3, 2016
      • State-registered IARs · 3 to 4
        Feb 4, 2015 to Mar 3, 2016
      • Discretionary RAUM · $330M to $309M
        Feb 4, 2015 to Mar 3, 2016
      • Non-discretionary RAUM · $6.7M to $6.6M
        Feb 4, 2015 to Mar 3, 2016
      • RAUM · $337M to $315M
        Feb 4, 2015 to Mar 3, 2016
      • Accounts · 580 to 530
        Mar 20, 2014 to Jan 23, 2015
      • Assets in custody · 2147895.0 to unset
        Mar 20, 2014 to Jan 23, 2015
      • Custody of client assets · true to false
        Mar 20, 2014 to Jan 23, 2015
      • Private funds · 1 to unset
        Mar 20, 2014 to Jan 23, 2015
      • Discretionary RAUM · $304M to $330M
        Mar 20, 2014 to Jan 23, 2015
      • Non-discretionary RAUM · $3.5M to $6.7M
        Mar 20, 2014 to Jan 23, 2015
      • RAUM · $307M to $337M
        Mar 20, 2014 to Jan 23, 2015
      • Accounts · 537 to 580
        Apr 1, 2013 to Mar 20, 2014
      • Advisory employees · 5 to 7
        Apr 1, 2013 to Mar 20, 2014
      • Assets in custody · $3.0M to $2.1M
        Apr 1, 2013 to Mar 20, 2014
      • Custody of client assets · false to true
        Apr 1, 2013 to Mar 20, 2014
      • Employees · 9 to 10
        Apr 1, 2013 to Mar 20, 2014
      • Discretionary RAUM · $270M to $304M
        Apr 1, 2013 to Mar 20, 2014
      • Non-discretionary RAUM · $9.5M to $3.5M
        Apr 1, 2013 to Mar 20, 2014
      • RAUM · $280M to $307M
        Apr 1, 2013 to Mar 20, 2014
      • Accounts · 458 to 537
        Mar 23, 2012 to Apr 1, 2013
      • Advisory employees · unset to 5.0
        Mar 23, 2012 to Apr 1, 2013
      • Assets in custody · unset to 3000000.0
        Mar 23, 2012 to Apr 1, 2013
      • Employees · unset to 9.0
        Mar 23, 2012 to Apr 1, 2013
      • State-registered IARs · 0 to 3
        Mar 23, 2012 to Apr 1, 2013
      • Discretionary RAUM · $225M to $270M
        Mar 23, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $8.0M to $9.5M
        Mar 23, 2012 to Apr 1, 2013
      • RAUM · $233M to $280M
        Mar 23, 2012 to Apr 1, 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
      Across the graphs

      J•••• B•••••• B••••• • C•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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