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.

Former SEC-registered adviser

Blx Group LLC

Former SEC-registered adviserLos Angeles, CaliforniaCRD 111923SEC 801-60588IAPD
Latest filing Jul 25, 2017
First filing on the tape Mar 28, 2012 · 17 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
40
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.2B as of Mar 4, 2016
Mar 28, 2012$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)15 as of Mar 27, 2017
Mar 28, 201324 then
Employees (5.A)40 as of Mar 27, 2017
Mar 28, 201355 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 21 to 9
Practice profile
derived from the filing of Jul 25, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.4derivedItem 5.A over advisors
Advisors per office
2.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-29%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
selection of other advisers, otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • controlled by a public reporting company (10.A)
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
n/areported
Financial planning clients
0reported
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
Left, latest
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
      • Hyungson Eric Chu · Managing Director/Advisory Repcontrol
        since 09/2000 · owns less than 5%
      • Gordon William Robertson · Chief Compliance Officercontrol
        since 03/2010 · owns less than 5%
      • Fuller Sandra Stallings · Managing Director/Advisory Repcontrol
        since 09/2000 · owns less than 5%
      • Craig Anthony Underwood · Ceo/Designated Principalcontrol
        since 09/2000 · owns less than 5%
      Entity owners
      • Orrick, Herrington And Sutcliffe, Llp · Sole Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • Orrick, Herrington And Sutcliffe, Llp
        y
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      • ,
      What changed
      consecutive filings, newest first
      • Advisory activities · 1 to 2
        Jul 24, 2017 to Jul 25, 2017
      • Advisory employees · 15 to 9
        May 5, 2017 to Jun 9, 2017
      • State-registered IARs · 15 to 9
        May 5, 2017 to Jun 9, 2017
      • Accounts · 120.0 to unset
        Jul 25, 2016 to Mar 27, 2017
      • Advisory employees · 18 to 15
        Jul 25, 2016 to Mar 27, 2017
      • Advisory activities · 2 to 1
        Jul 25, 2016 to Mar 27, 2017
      • Employees · 42 to 40
        Jul 25, 2016 to Mar 27, 2017
      • State-registered IARs · 18 to 15
        Jul 25, 2016 to Mar 27, 2017
      • Discretionary RAUM · 683810871.0 to unset
        Jul 25, 2016 to Mar 27, 2017
      • Non-discretionary RAUM · 514973380.0 to unset
        Jul 25, 2016 to Mar 27, 2017
      • RAUM · 1198784251.0 to unset
        Jul 25, 2016 to Mar 27, 2017
      • Advisory employees · 21 to 18
        Mar 4, 2016 to Apr 29, 2016
      • State-registered IARs · 21 to 18
        Mar 4, 2016 to Apr 29, 2016
      • Accounts · 172 to 120
        Mar 27, 2015 to Mar 4, 2016
      • Advisory employees · 20 to 21
        Mar 27, 2015 to Mar 4, 2016
      • BD registered reps · 6 to 0
        Mar 27, 2015 to Mar 4, 2016
      • Employees · 46 to 42
        Mar 27, 2015 to Mar 4, 2016
      • State-registered IARs · 20 to 21
        Mar 27, 2015 to Mar 4, 2016
      • Discretionary RAUM · $696M to $684M
        Mar 27, 2015 to Mar 4, 2016
      • Non-discretionary RAUM · $343M to $515M
        Mar 27, 2015 to Mar 4, 2016
      • RAUM · $1.0B to $1.2B
        Mar 27, 2015 to Mar 4, 2016
      • Related broker-dealer · true to false
        Mar 27, 2015 to Mar 4, 2016
      • Accounts · 196 to 172
        Jun 11, 2014 to Mar 27, 2015
      • Advisory employees · 23 to 20
        Jun 11, 2014 to Mar 27, 2015
      • BD registered reps · 7 to 6
        Jun 11, 2014 to Mar 27, 2015
      • Employees · 51 to 46
        Jun 11, 2014 to Mar 27, 2015
      • State-registered IARs · 23 to 20
        Jun 11, 2014 to Mar 27, 2015
      • Discretionary RAUM · $695M to $696M
        Jun 11, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $419M to $343M
        Jun 11, 2014 to Mar 27, 2015
      • RAUM · $1.1B to $1.0B
        Jun 11, 2014 to Mar 27, 2015
      • Accounts · 24 to 196
        Dec 24, 2013 to Mar 28, 2014
      • Advisory employees · 24 to 23
        Dec 24, 2013 to Mar 28, 2014
      • Assets in custody · unset to 0.0
        Dec 24, 2013 to Mar 28, 2014
      • Employees · 55 to 51
        Dec 24, 2013 to Mar 28, 2014
      • State-registered IARs · 24 to 23
        Dec 24, 2013 to Mar 28, 2014
      • Discretionary RAUM · $708M to $695M
        Dec 24, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $416M to $419M
        Dec 24, 2013 to Mar 28, 2014
      • RAUM · $1.1B to $1.1B
        Dec 24, 2013 to Mar 28, 2014
      • Accounts · 20 to 24
        Mar 28, 2012 to Mar 28, 2013
      • Advisory employees · unset to 24.0
        Mar 28, 2012 to Mar 28, 2013
      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