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•••••• C•••••••••

Former SEC-registered adviserNewport Beach, CaliforniaCRD 111064SEC 801-80054IAPD
Latest filing Apr 2, 2020
First filing on the tape Apr 9, 2012 · 22 filings
RAUM
$126M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$97.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$126M as of Apr 2, 2020
Apr 10, 2015$102M then
HNW client RAUM$63.4M as of Apr 2, 2020
Apr 2, 2018$85.3M then
State-registered IARs (5.B.3)3 as of Apr 2, 2020
Apr 10, 20152 then
Employees (5.A)4 as of Apr 2, 2020
Apr 10, 20154 then
Private funds: no history
RAUM -1.3% over the last fiscal year+2.0% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Apr 2, 2020; every figure names its basis
RAUM per advisor
$42.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
42derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$650,815derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
21%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
-1.3%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.3%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • High-net-worth individuals$63.4M50%
  • Individuals$34.0M27%
  • Pension and profit-sharing plans$26.3M21%
  • Corporations and businesses$2.0M1.6%
  • Charitable organizations$563,2120.4%
Individual clients
72reported
HNW clients
54reported
Pension plan clients
60reported
Charitable clients
1reported
Accounts
194reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• K•••• E• · President & Directorcontrol
        since 12/2013 · owns 75% or more
      • V••••• J•••••• · Directorcontrol
        since 05/1983 · owns 10% to 25%
      • S••••••• T••••• L• · Director Of Operations
        since 05/1997 · owns less than 5%
      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
      • State-registered IARs · 2 to 3
        Mar 28, 2019 to Apr 2, 2020
      • Accounts · 374 to 194
        Mar 28, 2019 to Apr 2, 2020
      • Corporate clients · 6 to 7
        Mar 28, 2019 to Apr 2, 2020
      • HNW clients · 51 to 54
        Mar 28, 2019 to Apr 2, 2020
      • Individual clients · 78 to 72
        Mar 28, 2019 to Apr 2, 2020
      • Pension plan clients · 53 to 60
        Mar 28, 2019 to Apr 2, 2020
      • Financial planning clients · 1-10 to 11-25
        Mar 28, 2019 to Apr 2, 2020
      • Discretionary RAUM · $128M to $126M
        Mar 28, 2019 to Apr 2, 2020
      • HNW RAUM · $64.8M to $63.4M
        Mar 28, 2019 to Apr 2, 2020
      • Individual RAUM · $34.8M to $34.0M
        Mar 28, 2019 to Apr 2, 2020
      • Pension RAUM · $25.8M to $26.3M
        Mar 28, 2019 to Apr 2, 2020
      • RAUM · $128M to $126M
        Mar 28, 2019 to Apr 2, 2020
      • Accounts · 439 to 374
        Apr 2, 2018 to Mar 28, 2019
      • Advisory activities · 1 to 2
        Apr 2, 2018 to Mar 28, 2019
      • HNW clients · 60 to 51
        Apr 2, 2018 to Mar 28, 2019
      • Individual clients · 82 to 78
        Apr 2, 2018 to Mar 28, 2019
      • Pension plan clients · 39 to 53
        Apr 2, 2018 to Mar 28, 2019
      • Financial planning clients · unset to 1-10
        Apr 2, 2018 to Mar 28, 2019
      • Discretionary RAUM · $130M to $128M
        Apr 2, 2018 to Mar 28, 2019
      • HNW RAUM · $85.3M to $64.8M
        Apr 2, 2018 to Mar 28, 2019
      • Individual RAUM · $23.2M to $34.8M
        Apr 2, 2018 to Mar 28, 2019
      • Pension RAUM · $19.2M to $25.8M
        Apr 2, 2018 to Mar 28, 2019
      • RAUM · $130M to $128M
        Apr 2, 2018 to Mar 28, 2019
      • Accounts · 150 to 439
        Jul 14, 2017 to Apr 2, 2018
      • Advisory activities · 2 to 1
        Jul 14, 2017 to Apr 2, 2018
      • Charity clients · unset to 1.0
        Jul 14, 2017 to Apr 2, 2018
      • Corporate clients · unset to 6.0
        Jul 14, 2017 to Apr 2, 2018
      • HNW clients · unset to 60.0
        Jul 14, 2017 to Apr 2, 2018
      • Individual clients · unset to 82.0
        Jul 14, 2017 to Apr 2, 2018
      • Pension plan clients · unset to 39.0
        Jul 14, 2017 to Apr 2, 2018
      • Pooled vehicle clients · unset to 0.0
        Jul 14, 2017 to Apr 2, 2018
      • Employees · 5 to 4
        Jul 14, 2017 to Apr 2, 2018
      • Other offices · unset to 0.0
        Jul 14, 2017 to Apr 2, 2018
      • Discretionary RAUM · $119M to $130M
        Jul 14, 2017 to Apr 2, 2018
      • HNW RAUM · unset to 85262201.0
        Jul 14, 2017 to Apr 2, 2018
      • Individual RAUM · unset to 23229240.0
        Jul 14, 2017 to Apr 2, 2018
      • Pension RAUM · unset to 19219384.0
        Jul 14, 2017 to Apr 2, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Jul 14, 2017 to Apr 2, 2018
      • RAUM · $119M to $130M
        Jul 14, 2017 to Apr 2, 2018
      • Accounts · 160 to 150
        Mar 21, 2017 to Jul 14, 2017
      Signals
      1 dated events
      • B•••••• C•••••• C••••••••• filed its initial SEC registration (Form ADV)
        Jun 30, 2014 · 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