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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Latest filing Feb 23, 2026
First filing on the tape Nov 29, 2011 · 19 filings
SEC status approved since May 4, 1989
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.1B
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
19 filings and snapshots on the tape
RAUM$1.1B as of Feb 23, 2026
Nov 29, 2011$228M then
HNW client RAUM$0 as of Feb 23, 2026
Dec 1, 2020$0 then
State-registered IARs (5.B.3)1 as of Feb 23, 2026
Nov 29, 20110 then
Employees (5.A)1 as of Feb 23, 2026
Nov 27, 20121 then
Private funds: no history
RAUM +6.9% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.1BderivedRAUM 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
- $373MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 96%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
- +6.9%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, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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
- 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
- Pension and profit-sharing plans$1.1B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.96 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•• P••• B•••••• | San Francisco, Ca | Mar 2, 2021 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• J••• P••• · Presidentcontrolsince 09/2024 · owns 75% or more
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
- Discretionary RAUM · $1.0B to $1.1BMar 20, 2025 to Feb 23, 2026
- Pension RAUM · $1.0B to $1.1BMar 20, 2025 to Feb 23, 2026
- RAUM · $1.0B to $1.1BMar 20, 2025 to Feb 23, 2026
- Financial planning clients · unset to Jan 9, 2025 to Mar 20, 2025
- Discretionary RAUM · $968M to $1.0BJan 9, 2025 to Mar 20, 2025
- Pension RAUM · $929M to $1.0BJan 9, 2025 to Mar 20, 2025
- RAUM · $968M to $1.0BJan 9, 2025 to Mar 20, 2025
- HQ city · unset to Oct 11, 2024 to Jan 9, 2025
- HQ state · unset to Oct 11, 2024 to Jan 9, 2025
- Advisory employees · 2 to 1Dec 22, 2023 to Oct 11, 2024
- Employees · 3 to 1Dec 22, 2023 to Oct 11, 2024
- State-registered IARs · 0 to 1Dec 22, 2023 to Oct 11, 2024
- Discretionary RAUM · $804M to $968MDec 22, 2023 to Oct 11, 2024
- Pension RAUM · $770M to $929MDec 22, 2023 to Oct 11, 2024
- RAUM · $804M to $968MDec 22, 2023 to Oct 11, 2024
- Discretionary RAUM · $734M to $804MDec 14, 2022 to Dec 22, 2023
- Pension RAUM · $703M to $770MDec 14, 2022 to Dec 22, 2023
- RAUM · $734M to $804MDec 14, 2022 to Dec 22, 2023
- Discretionary RAUM · $895M to $734MDec 10, 2021 to Dec 14, 2022
- Pension RAUM · $862M to $703MDec 10, 2021 to Dec 14, 2022
- RAUM · $895M to $734MDec 10, 2021 to Dec 14, 2022
- Advisory employees · 1 to 2Dec 1, 2020 to Dec 10, 2021
- Discretionary RAUM · $686M to $895MDec 1, 2020 to Dec 10, 2021
- Pension RAUM · $658M to $862MDec 1, 2020 to Dec 10, 2021
- RAUM · $686M to $895MDec 1, 2020 to Dec 10, 2021
- Charity clients · unset to 0.0Mar 18, 2020 to Dec 1, 2020
- Corporate clients · unset to 0.0Mar 18, 2020 to Dec 1, 2020
- HNW clients · unset to 0.0Mar 18, 2020 to Dec 1, 2020
- Individual clients · unset to 0.0Mar 18, 2020 to Dec 1, 2020
- Pooled vehicle clients · unset to 0.0Mar 18, 2020 to Dec 1, 2020
- Employees · 2 to 3Mar 18, 2020 to Dec 1, 2020
- Discretionary RAUM · $628M to $686MMar 18, 2020 to Dec 1, 2020
- HNW RAUM · unset to 0.0Mar 18, 2020 to Dec 1, 2020
- Individual RAUM · unset to 0.0Mar 18, 2020 to Dec 1, 2020
- Pension RAUM · $599M to $658MMar 18, 2020 to Dec 1, 2020
- Pooled vehicle RAUM · unset to 0.0Mar 18, 2020 to Dec 1, 2020
- RAUM · $628M to $686MMar 18, 2020 to Dec 1, 2020
- Discretionary RAUM · $577M to $628MNov 28, 2018 to Jan 9, 2020
- Pension RAUM · $553M to $599MNov 28, 2018 to Jan 9, 2020
- RAUM · $577M to $628MNov 28, 2018 to Jan 9, 2020
Signals
4 dated events
- P••• Jon B•••••• (President) appeared on Schedule A of N•• C•••••• P•••••••Oct 11, 2024 · Control person joined · fact
- David Steven Callow (President) no longer on Schedule A of N•• C•••••• P••••••• (listed 2023-12-22, absent 2024-10-11)Oct 11, 2024 · Control person left · inference
- N•• C•••••• P••••••• reported RAUM $894.9M, up 30% from $686.2M (2020-12-01 to 2021-12-10)Dec 10, 2021 · RAUM change · derived
- N•• C•••••• P••••••• reported RAUM $577.3M, up 41% from $408.8M (2016-12-21 to 2018-11-28)Nov 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 914-715-3427reportedpublic record, Form ADV, Feb 23, 2026
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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.1Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026