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••• W••••• M••••••••• I•••
Latest filing Oct 11, 2018
First filing on the tape Dec 5, 2011 · 12 filings
RAUM
$185M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$178M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$185M as of Mar 19, 2018
Dec 5, 2011$76.4M then
HNW client RAUM: $151M
State-registered IARs (5.B.3)2 as of Mar 19, 2018
Dec 5, 20110 then
Employees (5.A)3 as of Mar 19, 2018
Feb 17, 20154 then
Private funds: no history
RAUM +23% over the last fiscal year+14% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Oct 11, 2018; every figure names its basis
- RAUM per advisor
- $92.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$151M82%
- Individuals$26.5M14%
- Pension and profit-sharing plans$7.7M4.1%
- Individual clients
- 64reported
- HNW clients
- 81reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 153reported
- 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
Left, latest
- J••• A••• L•••• to M••••• G••••• A••••••• I•••Mar 28, 2019 · RIA to RIA
- M••• W• H••••• to A•••••• S•••••••• W•••••• I•••Mar 19, 2018 · RIA to RIA
- A••••• D•••• G••• to U••• F•••••••• P••••••• S•••••••Mar 26, 2008 · Other
Joined, latest
- A••••• D•••• G••• from B••• O• A•••••• I••••••••• S•••••••• I•••Nov 29, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• C••••• A••••• · President, Ccocontrolsince 01/2012 · owns 75% or more
- L••••• J•••• A••• · Chief Investment Officercontrolsince 01/2012 · 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
- Accounts · 148 to 153Mar 29, 2017 to Mar 19, 2018
- Advisory employees · 3 to 2Mar 29, 2017 to Mar 19, 2018
- HNW clients · unset to 81.0Mar 29, 2017 to Mar 19, 2018
- Individual clients · unset to 64.0Mar 29, 2017 to Mar 19, 2018
- Pension plan clients · unset to 8.0Mar 29, 2017 to Mar 19, 2018
- Employees · 4 to 3Mar 29, 2017 to Mar 19, 2018
- State-registered IARs · 3 to 2Mar 29, 2017 to Mar 19, 2018
- Other offices · unset to 0.0Mar 29, 2017 to Mar 19, 2018
- Discretionary RAUM · $144M to $178MMar 29, 2017 to Mar 19, 2018
- HNW RAUM · unset to 151175000.0Mar 29, 2017 to Mar 19, 2018
- Individual RAUM · unset to 26500000.0Mar 29, 2017 to Mar 19, 2018
- Non-discretionary RAUM · $7.1M to $7.7MMar 29, 2017 to Mar 19, 2018
- Pension RAUM · unset to 7690000.0Mar 29, 2017 to Mar 19, 2018
- RAUM · $151M to $185MMar 29, 2017 to Mar 19, 2018
- Accounts · 134 to 148Mar 16, 2016 to Mar 29, 2017
- Discretionary RAUM · $128M to $144MMar 16, 2016 to Mar 29, 2017
- Non-discretionary RAUM · $6.1M to $7.1MMar 16, 2016 to Mar 29, 2017
- RAUM · $134M to $151MMar 16, 2016 to Mar 29, 2017
- Accounts · 126 to 134Feb 17, 2015 to Mar 16, 2016
- Discretionary RAUM · $120M to $128MFeb 17, 2015 to Mar 16, 2016
- Non-discretionary RAUM · $6.6M to $6.1MFeb 17, 2015 to Mar 16, 2016
- RAUM · $126M to $134MFeb 17, 2015 to Mar 16, 2016
- Accounts · 114 to 126Feb 24, 2014 to Feb 17, 2015
- Advisory employees · 2 to 3Feb 24, 2014 to Feb 17, 2015
- State-registered IARs · 2 to 3Feb 24, 2014 to Feb 17, 2015
- Discretionary RAUM · $106M to $120MFeb 24, 2014 to Feb 17, 2015
- Non-discretionary RAUM · $5.7M to $6.6MFeb 24, 2014 to Feb 17, 2015
- RAUM · $111M to $126MFeb 24, 2014 to Feb 17, 2015
- Accounts · 102 to 114Jun 7, 2012 to Feb 24, 2014
- Advisory employees · unset to 2.0Jun 7, 2012 to Feb 24, 2014
- Employees · unset to 4.0Jun 7, 2012 to Feb 24, 2014
- Financial planning clients · 26-50 to 51-100Jun 7, 2012 to Feb 24, 2014
- State-registered IARs · 0 to 2Jun 7, 2012 to Feb 24, 2014
- Discretionary RAUM · $74.0M to $106MJun 7, 2012 to Feb 24, 2014
- Non-discretionary RAUM · $2.4M to $5.7MJun 7, 2012 to Feb 24, 2014
- RAUM · $76.4M to $111MJun 7, 2012 to Feb 24, 2014
- Business name · B••• F•••••••• P••••••• to B••• W••••• M••••••••• I•••Dec 5, 2011 to Dec 12, 2011
- Legal name · B••• F•••••••• P••••••• CO. to B••• W••••• M••••••••• I•••Dec 5, 2011 to Dec 12, 2011
Signals
1 dated events
- B••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Feb 24, 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