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••••
Legal name B••••••• O••••• • S••••••••• L••
Latest filing Mar 29, 2021
First filing on the tape Mar 29, 2012 · 26 filings
RAUM
$5.0B
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
84%
$4.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
40
27 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$5.0B as of Mar 29, 2021
Mar 29, 2012$2.1B then
HNW client RAUM$4.2B as of Mar 29, 2021
Mar 29, 2018$3.4B then
State-registered IARs (5.B.3)27 as of Mar 29, 2021
Mar 28, 201320 then
Employees (5.A)40 as of Mar 29, 2021
Mar 28, 201333 then
Private funds: no history
RAUM +8.6% over the last fiscal year+5.4% a year over threeIARs 30 to 27
Practice profile
derived from the filing of Mar 29, 2021; every figure names its basis
- RAUM per advisor
- $186MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.5MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 13.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $1.6B, 532 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$4.2B83%
- Pension and profit-sharing plans$559M11%
- Charitable organizations$247M4.9%
- Individuals$54.8M1.1%
- Individual clients
- 113reported
- HNW clients
- 762reported
- Pension plan clients
- 4reported
- Charitable clients
- 20reported
- Accounts
- 3,604reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.6B for 532 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
- C•••••• S•• B••••••••• to C••••• P••••••• L••Nov 15, 2021 · RIA to RIA
- S•••••• S•••• S••••••• to C••••• P••••••• L••Nov 1, 2021 · RIA to RIA
- S••• P•••• A•••••• to C••••• P••••••• L••Nov 1, 2021 · RIA to RIA
- M•••• A••••• V••••••••• to C••••• P••••••• L••Nov 1, 2021 · RIA to RIA
- R•••••• R••• M•••••• to C••••• P••••••• L••Nov 1, 2021 · RIA to RIA
- M••••• Y•• S•••••• to C••••• P••••••• L••Nov 1, 2021 · RIA to RIA
- R•••••• E••• L••• to C••••• P••••••• L••Nov 1, 2021 · RIA to RIA
- J••••••• L••• E•••••• to C••••• P••••••• L••Nov 1, 2021 · RIA to RIA
- M••••••• E••••••• S••• to C••••• P••••••• L••Nov 1, 2021 · RIA to RIA
- A•••• P••• W••••• to C••••• P••••••• L••Nov 1, 2021 · RIA to RIA
- K•••• D••••• D••••• to C••••• P••••••• L••Nov 1, 2021 · RIA to RIA
- E••• C• C•••• to C••••• P••••••• L••Nov 1, 2021 · RIA to RIA
- J••• R• D•••••• to C••••• P••••••• L••Nov 1, 2021 · RIA to RIA
- E•••• T••••••••• to C••••• P••••••• L••Nov 1, 2021 · RIA to RIA
- P•••• M••• Y••• to C••••• P••••••• L••Nov 1, 2021 · RIA to RIA
Joined, latest
- L•••• S••• from R•• C•••••• M••••••• L••May 28, 2021 · Affiliated broker-dealer or bank to independent RIA
- E••• C• C•••• from Z•••• C•••••• A•••••••• I•••Apr 30, 2021 · Other
- J•• L•• from U•• F•••••••• S••••••• I•••Apr 29, 2021 · Wirehouse to independent RIA
- E•••• T••••••••• from B•••••• • J••••••••• L••Oct 28, 2019 · RIA to RIA
- A••• M•••••• from P••••••• C•••••• A••••••• C•••••••••Aug 6, 2019 · Other
- G•••••• A••• G•••••• from E•••••• F•••••••• E••••••Dec 24, 2018 · RIA to RIA
- S•••• D• T•••••••• from E• W••••• A•••••••Sep 5, 2018 · Other
- R•••••• E••• L••• from R•••••••• S••••••• A•••••••Sep 1, 2017 · Other
- S•••••• S•••• B•••• from B••••••••• S•••••••• W•••••• L••May 4, 2017 · Other
- T•••••• J••••• R••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 1, 2017 · Other
- R••••• J•• C•••• T••• from U••• F•••••••• P••••••• S•••••••Dec 7, 2016 · Other
- T•• Y•• K•• O•• from S•• F•••••••• S••••• I••••••••• G••••Oct 28, 2016 · Other
- S••••• M•••••• P•••••••• from L••Sep 14, 2015 · Other
- J••••••••• L•••• C••••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jul 29, 2014 · Other
- A•••• C•••••••• N•• from S•••• B•••••• A•••• M••••••••• L••Feb 21, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 21 left for C••••• P••••••• L••Nov 1, 2021 · San F••••••••, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• C••••• L••••• · Manager/Chief Compliance Officercontrolsince 05/2003 · owns 5% to 10%
- B••••••••• C••••••• S•• · Membercontrolsince 12/2018 · owns 5% to 10%
- C•••••••• D••••• J••• · Membercontrolsince 01/2001 · owns 5% to 10%
- D•••••• K••••• D••••• · Managercontrolsince 07/2008 · owns 5% to 10%
- E••••••• J•••••••• L••• · Managercontrolsince 12/2018 · owns 5% to 10%
- G•••••••• R••••••• T••••• · Managercontrolsince 12/2018 · owns less than 5%
- L••••••••• J••••••• D•••••••• · Membercontrolsince 12/2018 · owns 5% to 10%
- V••••••••• M••••• A••••• · Membercontrolsince 12/2018 · owns 5% to 10%
- W•••••• A••••• P••• · Managercontrolsince 12/2018 · owns 5% to 10%
Entity owners
- B••••• H••••••• •••••••• L•• · Shareholderindirect · owns 75% or more of W• I••••••••• H••••••• L••
- K••• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of K••• I••••••••• U•• L••
- K••• I••••••••• M••••••••• L•• · Memberindirect · owns 75% or more of K••• I••••••••• H•••••••• L••
- W•••• M•••••••• I•••••••• G••••• L••• · Shareholderindirect · owns 75% or more of B••••• H••••••• •••••••• L•• · public reporting company
- W• I••••••••• H••••••• L•• · Shareholderindirect · owns 75% or more of W• R••••• L••
- W• R••••• L•• · Shareholderindirect · owns 75% or more of K••• I••••••••• M••••••••• L••
- K••• I••••••••• U•• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- Redwood City, CA7 employees
What changed
consecutive filings, newest first
- Accounts · 3,471 to 3,604Jan 2, 2021 to Mar 29, 2021
- Advisory employees · 30 to 27Jan 2, 2021 to Mar 29, 2021
- Charity clients · 28 to 20Jan 2, 2021 to Mar 29, 2021
- HNW clients · 733 to 762Jan 2, 2021 to Mar 29, 2021
- Individual clients · 151 to 113Jan 2, 2021 to Mar 29, 2021
- Assets in custody · $2.3B to $1.6BJan 2, 2021 to Mar 29, 2021
- Employees · 44 to 40Jan 2, 2021 to Mar 29, 2021
- State-registered IARs · 30 to 27Jan 2, 2021 to Mar 29, 2021
- Discretionary RAUM · $3.9B to $4.3BJan 2, 2021 to Mar 29, 2021
- HNW RAUM · $3.8B to $4.2BJan 2, 2021 to Mar 29, 2021
- Individual RAUM · $75.8M to $54.8MJan 2, 2021 to Mar 29, 2021
- Non-discretionary RAUM · $712M to $749MJan 2, 2021 to Mar 29, 2021
- Pension RAUM · $474M to $559MJan 2, 2021 to Mar 29, 2021
- RAUM · $4.6B to $5.0BJan 2, 2021 to Mar 29, 2021
- Accounts · 3,424 to 3,471Apr 10, 2019 to Mar 29, 2020
- Advisory employees · 27 to 30Apr 10, 2019 to Mar 29, 2020
- Charity clients · 32 to 28Apr 10, 2019 to Mar 29, 2020
- HNW clients · 708 to 733Apr 10, 2019 to Mar 29, 2020
- Individual clients · 167 to 151Apr 10, 2019 to Mar 29, 2020
- Pension plan clients · 5 to 4Apr 10, 2019 to Mar 29, 2020
- Assets in custody · $1.9B to $2.3BApr 10, 2019 to Mar 29, 2020
- Employees · 41 to 44Apr 10, 2019 to Mar 29, 2020
- State-registered IARs · 27 to 30Apr 10, 2019 to Mar 29, 2020
- Discretionary RAUM · $3.5B to $3.9BApr 10, 2019 to Mar 29, 2020
- HNW RAUM · $3.2B to $3.8BApr 10, 2019 to Mar 29, 2020
- Individual RAUM · $85.0M to $75.8MApr 10, 2019 to Mar 29, 2020
- Non-discretionary RAUM · $576M to $712MApr 10, 2019 to Mar 29, 2020
- Pension RAUM · $369M to $474MApr 10, 2019 to Mar 29, 2020
- RAUM · $4.1B to $4.6BApr 10, 2019 to Mar 29, 2020
- Accounts · 3,313 to 3,424Jan 4, 2019 to Mar 28, 2019
- Advisory employees · 26 to 27Jan 4, 2019 to Mar 28, 2019
- Charity clients · 34 to 32Jan 4, 2019 to Mar 28, 2019
- HNW clients · 712 to 708Jan 4, 2019 to Mar 28, 2019
- Individual clients · 145 to 167Jan 4, 2019 to Mar 28, 2019
- Assets in custody · $1.9B to $1.9BJan 4, 2019 to Mar 28, 2019
- State-registered IARs · 28 to 27Jan 4, 2019 to Mar 28, 2019
- Discretionary RAUM · $3.7B to $3.5BJan 4, 2019 to Mar 28, 2019
- HNW RAUM · $3.4B to $3.2BJan 4, 2019 to Mar 28, 2019
- Individual RAUM · $72.8M to $85.0MJan 4, 2019 to Mar 28, 2019
- Non-discretionary RAUM · $576M to $576MJan 4, 2019 to Mar 28, 2019
Signals
26 dated events
- Scott Robert Jakacki (Director / Member / Co-Ceo / Chief Investment Officer) no longer on Schedule A of B•••• (listed 2021-01-02, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- Anthony Charles Ruffel (Director / Member / Co-Ceo / Executive Chairman) no longer on Schedule A of B•••• (listed 2021-01-02, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- Manning George Rountree (Director) no longer on Schedule A of B•••• (listed 2021-01-02, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- C••••• W••••• B••• (Director) no longer on Schedule A of B•••• (listed 2021-01-02, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- A••• Jonathan Cramer (Director) no longer on Schedule A of B•••• (listed 2021-01-02, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- Joey Sherman Lau (Director) no longer on Schedule A of B•••• (listed 2019-03-28, absent 2019-04-10)Apr 10, 2019 · Control person left · inference
- Keith Brian Laibow (Director) no longer on Schedule A of B•••• (listed 2019-03-28, absent 2019-04-10)Apr 10, 2019 · Control person left · inference
- Monique E•••• Stephens (Director) no longer on Schedule A of B•••• (listed 2019-03-28, absent 2019-04-10)Apr 10, 2019 · Control person left · inference
- M John Burns (Member) no longer on Schedule A of B•••• (listed 2019-01-04, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Lynn Jennifer Ellison (Manager) appeared on Schedule A of B••••Jan 4, 2019 · Control person joined · fact
- Paul Aaron Waxman (Manager) appeared on Schedule A of B••••Jan 4, 2019 · Control person joined · fact
- Devereaux Jeffrey Lancaster (Member) appeared on Schedule A of B••••Jan 4, 2019 · Control person joined · fact
- Sue Colleen Breit-Supran (Member) appeared on Schedule A of B••••Jan 4, 2019 · Control person joined · fact
- M John Burns (Member) appeared on Schedule A of B••••Jan 4, 2019 · Control person joined · fact
- Andrew Myles Vanderweele (Member) appeared on Schedule A of B••••Jan 4, 2019 · Control person joined · fact
- Scott Robert Jakacki (Director / Member / Co-Ceo / Chief Investment Officer) appeared on Schedule A of B••••Jan 4, 2019 · Control person joined · fact
- Anthony Charles Ruffel (Director / Member / Co-Ceo / Executive Chairman) appeared on Schedule A of B••••Jan 4, 2019 · Control person joined · fact
- Keith Brian Laibow (Director) appeared on Schedule A of B••••Jan 4, 2019 · Control person joined · fact
- George Clayton Deutsch (Manager) no longer on Schedule A of B•••• (listed 2018-03-29, absent 2019-01-04)Jan 4, 2019 · Control person left · inference
- J David Kaye (Manager) no longer on Schedule A of B•••• (listed 2018-03-29, absent 2019-01-04)Jan 4, 2019 · Control person left · inference
- Monique E•••• Stephens (Director) appeared on Schedule A of B••••Jan 4, 2019 · Control person joined · fact
- Joey Sherman Lau (Director) appeared on Schedule A of B••••Jan 4, 2019 · Control person joined · fact
- Manning George Rountree (Director) appeared on Schedule A of B••••Jan 4, 2019 · Control person joined · fact
- A••• Jonathan Cramer (Director) appeared on Schedule A of B••••Jan 4, 2019 · Control person joined · fact
- C••••• W••••• B••• (Director) appeared on Schedule A of B••••Jan 4, 2019 · Control person joined · fact
- T••••• Richard Golinski (Manager) appeared on Schedule A of B••••Jan 4, 2019 · Control person joined · 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