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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SEC-registered adviser
B•••• C•••••• M••••••••• I•••
Latest filing May 27, 2026
First filing on the tape Nov 18, 2011 · 42 filings
SEC status approved since Oct 1, 1998
RAUM
$857M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$856M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$214M
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$857M as of May 27, 2026
Mar 29, 2012$177M then
HNW client RAUM$834M as of May 27, 2026
Mar 29, 2018$361M then
State-registered IARs (5.B.3)4 as of May 27, 2026
Mar 29, 20120 then
Employees (5.A)7 as of May 27, 2026
Mar 26, 20135 then
Private funds1 as of Mar 21, 2023
Mar 29, 20121 then
RAUM +23% over the last fiscal year+18% a year over threeIARs 3 to 4
Practice profile
derived from the filing of May 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $214MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $948,651derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $278M, 81 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$834M97%
- Individuals$21.5M2.5%
- Pension and profit-sharing plans$696,3670.1%
- Individual clients
- 67reported
- HNW clients
- 175reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 903reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $278M for 81 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• B••• R••••••••• | Berkeley, Ca | Jun 29, 2011 | 15 y | 0 |
| A•• S••••••• T••••••Certified Financial Planner | Berkeley, Ca | Mar 24, 2021 | 29 y | 0 |
| J•••••• V•••••••• S•• C••••• | Berkeley, Ca | Mar 24, 2021 | 22 y | 0 |
| S••••• P•••• | Berkeley, Ca | Nov 22, 2025 | 11 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••••••• C•••••• P••••••• L•• | Other Private Fund | $4.5M | 8 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••• B•••• · Chairmancontrolsince 07/2019 · owns 25% to 50%
- R••••••••• P••••• B••• · President And Chief Investment Officercontrolsince 10/2015 · owns 25% to 50%
- S•• C•••••• J••••••• V•••••••• · Chief Executive Officer And Chief Compliance Officercontrolsince 06/2009 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Berkeley, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Orinda, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 871 to 903Mar 31, 2025 to Mar 26, 2026
- HNW clients · 159 to 175Mar 31, 2025 to Mar 26, 2026
- Individual clients · 75 to 67Mar 31, 2025 to Mar 26, 2026
- Assets in custody · $224M to $278MMar 31, 2025 to Mar 26, 2026
- Employees · 6 to 7Mar 31, 2025 to Mar 26, 2026
- State-registered IARs · 3 to 4Mar 31, 2025 to Mar 26, 2026
- Discretionary RAUM · $696M to $857MMar 31, 2025 to Mar 26, 2026
- HNW RAUM · $665M to $834MMar 31, 2025 to Mar 26, 2026
- Individual RAUM · $30.8M to $21.5MMar 31, 2025 to Mar 26, 2026
- Pension RAUM · $249,057 to $696,367Mar 31, 2025 to Mar 26, 2026
- RAUM · $696M to $857MMar 31, 2025 to Mar 26, 2026
- Accounts · 860 to 871Mar 27, 2024 to Mar 31, 2025
- Advisory employees · 3 to 2Mar 27, 2024 to Mar 31, 2025
- HNW clients · 161 to 159Mar 27, 2024 to Mar 31, 2025
- Individual clients · 71 to 75Mar 27, 2024 to Mar 31, 2025
- Assets in custody · $201M to $224MMar 27, 2024 to Mar 31, 2025
- Financial planning clients · 26-50 to 26-50Mar 27, 2024 to Mar 31, 2025
- State-registered IARs · 4 to 3Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $640M to $696MMar 27, 2024 to Mar 31, 2025
- HNW RAUM · $616M to $665MMar 27, 2024 to Mar 31, 2025
- Individual RAUM · $23.5M to $30.8MMar 27, 2024 to Mar 31, 2025
- Pension RAUM · unset to 249057.0Mar 27, 2024 to Mar 31, 2025
- RAUM · $640M to $696MMar 27, 2024 to Mar 31, 2025
- Accounts · 836 to 860Mar 22, 2023 to Mar 26, 2024
- Advisory employees · 2 to 3Mar 22, 2023 to Mar 26, 2024
- HNW clients · 140 to 161Mar 22, 2023 to Mar 26, 2024
- Individual clients · 76 to 71Mar 22, 2023 to Mar 26, 2024
- Pooled vehicle clients · 1.0 to unsetMar 22, 2023 to Mar 26, 2024
- Assets in custody · $155M to $201MMar 22, 2023 to Mar 26, 2024
- Financial planning clients · 11-25 to 26-50Mar 22, 2023 to Mar 26, 2024
- Private funds · 1 to unsetMar 22, 2023 to Mar 26, 2024
- Discretionary RAUM · $526M to $640MMar 22, 2023 to Mar 26, 2024
- HNW RAUM · $494M to $616MMar 22, 2023 to Mar 26, 2024
- Individual RAUM · $27.6M to $23.5MMar 22, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · 4539906.0 to unsetMar 22, 2023 to Mar 26, 2024
- RAUM · $526M to $640MMar 22, 2023 to Mar 26, 2024
- Accounts · 812 to 836Nov 2, 2022 to Mar 21, 2023
- Advisory employees · 4 to 2Nov 2, 2022 to Mar 21, 2023
- HNW clients · 144 to 140Nov 2, 2022 to Mar 21, 2023
- Individual clients · 68 to 76Nov 2, 2022 to Mar 21, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- B•••• C•••••• M••••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- i•••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 510-549-3534reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 510-644-3410reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/blume-capital-management-increportedpublic record, Form ADV, Sep 19, 2026
- Website
- B••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 510-549-3534reportedpublic record, Form ADV, May 27, 2026
- Team page
- b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $214Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026