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

P•••••• A••••••• G••••

Former SEC-registered adviserRedmond, WashingtonCRD 111073SEC 801-58201IAPD
Legal name B••• F•••••••• A•••••••• I•••
Latest filing Apr 1, 2014
First filing on the tape Jan 31, 2012 · 4 filings
RAUM
$193M
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
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$193M as of Apr 1, 2014
Jan 31, 2012$127M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Apr 1, 2014
Jan 31, 20120 then
Employees (5.A)5 as of Apr 1, 2014
May 7, 20136 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Apr 1, 2014; every figure names its basis
RAUM per advisor
$96.5MderivedRAUM 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
$539,106derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
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
358reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••• D••••••• R••• · Chief Compliance Officercontrol
    since 03/2014 · owns 50% to 75%
  • B•••• S•• C••••••••• · Chief Executive Officercontrol
    since 03/2014 · owns 50% to 75%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 100 to 358
    May 7, 2013 to Apr 1, 2014
  • Advisory employees · 3 to 2
    May 7, 2013 to Apr 1, 2014
  • Advisory activities · 2 to 4
    May 7, 2013 to Apr 1, 2014
  • Employees · 6 to 5
    May 7, 2013 to Apr 1, 2014
  • Financial planning clients · 26-50 to 51-100
    May 7, 2013 to Apr 1, 2014
  • State-registered IARs · 0 to 2
    May 7, 2013 to Apr 1, 2014
  • Discretionary RAUM · $160M to $189M
    May 7, 2013 to Apr 1, 2014
  • Non-discretionary RAUM · $8.0M to $4.0M
    May 7, 2013 to Apr 1, 2014
  • RAUM · $168M to $193M
    May 7, 2013 to Apr 1, 2014
  • Related adviser · false to true
    May 7, 2013 to Apr 1, 2014
  • Accounts · 95 to 100
    Dec 19, 2012 to May 7, 2013
  • Discretionary RAUM · $43.0M to $160M
    Dec 19, 2012 to May 7, 2013
  • Non-discretionary RAUM · $118M to $8.0M
    Dec 19, 2012 to May 7, 2013
  • RAUM · $161M to $168M
    Dec 19, 2012 to May 7, 2013
  • Advisory employees · unset to 3.0
    Jan 31, 2012 to Dec 19, 2012
  • Employees · unset to 6.0
    Jan 31, 2012 to Dec 19, 2012
  • Discretionary RAUM · $49.0M to $43.0M
    Jan 31, 2012 to Dec 19, 2012
  • Non-discretionary RAUM · $78.0M to $118M
    Jan 31, 2012 to Dec 19, 2012
  • RAUM · $127M to $161M
    Jan 31, 2012 to Dec 19, 2012
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