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•••••• M••••••••• I•••

Former SEC-registered adviserAustin, TexasCRD 114428SEC 801-63780websiteIAPD
Latest filing Jun 3, 2025
First filing on the tape Apr 3, 2012 · 35 filings
SEC status approved since Jan 3, 2005
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$550,732 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$1.3B as of Jun 3, 2025
Apr 3, 2012$455M then
HNW client RAUM$550,732 as of Jun 3, 2025
Mar 30, 2018$50.0M then
State-registered IARs (5.B.3)5 as of Jun 3, 2025
Apr 3, 20120 then
Employees (5.A)9 as of Jun 3, 2025
Mar 19, 201310 then
Private funds1 as of Mar 28, 2024
Mar 30, 20161 then
RAUM -54% over the last fiscal year-37% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jun 3, 2025; every figure names its basis
RAUM per advisor
$252MderivedRAUM 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
$52.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-54%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$971M77%
  • Pension and profit-sharing plans$174M14%
  • Charitable organizations$116M9.2%
  • High-net-worth individuals$550,7320.0%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
6reported
Charitable clients
12reported
Accounts
24reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
    Private funds
    2 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    B•• B•••• M•••••••• C•• M••••• F•••• L•Hedge Fund$1.0B1,711Mar 30, 2016
    P••••••• Q•••• P•• • B•••• U• E••••• F•••no longer reportedHedge Fund$618M35Jan 3, 2017
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• B••••• T•••••• · Portfolio Managercontrol
      since 06/2000 · owns 50% to 75%
    • B•••••••• J••••• S••• · Chief Compliance Officercontrol
      since 03/2002 · owns 10% to 25%
    • C••••• J••••• J•••••• · Presidentcontrol
      since 01/2019 · owns 10% to 25%
    • D••••••• J•••• N••••• · Portfolio Manager
      since 01/2019 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    Advisers that list B•••• C•••••• M••••••••• I••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Financial planning clients · unset to
      Mar 27, 2025 to Jun 3, 2025
    • Accounts · 27 to 24
      Nov 13, 2024 to Mar 27, 2025
    • Advisory employees · 7 to 6
      Nov 13, 2024 to Mar 27, 2025
    • HNW clients · 5.0 to unset
      Nov 13, 2024 to Mar 27, 2025
    • Employees · 10 to 9
      Nov 13, 2024 to Mar 27, 2025
    • Discretionary RAUM · $1.2B to $1.3B
      Nov 13, 2024 to Mar 27, 2025
    • HNW RAUM · $6.3M to $550,732
      Nov 13, 2024 to Mar 27, 2025
    • Pension RAUM · $157M to $174M
      Nov 13, 2024 to Mar 27, 2025
    • Pooled vehicle RAUM · $900M to $971M
      Nov 13, 2024 to Mar 27, 2025
    • RAUM · $1.2B to $1.3B
      Nov 13, 2024 to Mar 27, 2025
    • Accounts · 37 to 27
      Apr 26, 2024 to Nov 13, 2024
    • Advisory employees · 9 to 8
      Apr 26, 2024 to Nov 13, 2024
    • Advisory activities · 4 to 3
      Apr 26, 2024 to Nov 13, 2024
    • Charity clients · 14 to 12
      Apr 26, 2024 to Nov 13, 2024
    • HNW clients · 9 to 5
      Apr 26, 2024 to Nov 13, 2024
    • Pension plan clients · 7 to 6
      Apr 26, 2024 to Nov 13, 2024
    • Pooled vehicle clients · 5 to 4
      Apr 26, 2024 to Nov 13, 2024
    • Employees · 13 to 11
      Apr 26, 2024 to Nov 13, 2024
    • Private funds · 1 to unset
      Apr 26, 2024 to Nov 13, 2024
    • Discretionary RAUM · $2.7B to $1.2B
      Apr 26, 2024 to Nov 13, 2024
    • HNW RAUM · $18.9M to $6.3M
      Apr 26, 2024 to Nov 13, 2024
    • Pension RAUM · $227M to $157M
      Apr 26, 2024 to Nov 13, 2024
    • Pooled vehicle RAUM · $2.0B to $900M
      Apr 26, 2024 to Nov 13, 2024
    • RAUM · $2.7B to $1.2B
      Apr 26, 2024 to Nov 13, 2024
    • Advisory employees · 8 to 7
      Nov 13, 2024 to Nov 13, 2024
    • Employees · 11 to 10
      Nov 13, 2024 to Nov 13, 2024
    • Accounts · 47 to 37
      Apr 26, 2023 to Mar 28, 2024
    • Advisory employees · 12 to 9
      Apr 26, 2023 to Mar 28, 2024
    • Charity clients · 17 to 14
      Apr 26, 2023 to Mar 28, 2024
    • HNW clients · 14 to 9
      Apr 26, 2023 to Mar 28, 2024
    • Pension plan clients · 9 to 7
      Apr 26, 2023 to Mar 28, 2024
    • Employees · 15 to 13
      Apr 26, 2023 to Mar 28, 2024
    • State-registered IARs · 6 to 5
      Apr 26, 2023 to Mar 28, 2024
    • Discretionary RAUM · $2.7B to $2.7B
      Apr 26, 2023 to Mar 28, 2024
    • HNW RAUM · $21.0M to $18.9M
      Apr 26, 2023 to Mar 28, 2024
    • Pension RAUM · $229M to $227M
      Apr 26, 2023 to Mar 28, 2024
    • Pooled vehicle RAUM · $2.0B to $2.0B
      Apr 26, 2023 to Mar 28, 2024
    • RAUM · $2.7B to $2.7B
      Apr 26, 2023 to Mar 28, 2024
    • Accounts · 52 to 47
      Oct 27, 2022 to Mar 31, 2023
    • Advisory employees · 13 to 12
      Oct 27, 2022 to Mar 31, 2023
    Signals
    6 dated events
    • B•••• C•••••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $1.3B)
      Feb 2, 2026 · Left the SEC roster · derived
    • B•••• C•••••• M••••••••• I••• reported RAUM $1.2B, down 57% from $2.7B (2024-04-26 to 2024-11-13)
      Nov 13, 2024 · RAUM change · derived
    • B•••• C•••••• M••••••••• I••• reported RAUM $2.7B, down 47% from $5.2B (2022-10-27 to 2023-03-31)
      Mar 31, 2023 · RAUM change · derived
    • B•••• C•••••• M••••••••• I••• reported RAUM $5.6B, up 49% from $3.7B (2021-01-30 to 2021-03-31)
      Mar 31, 2021 · RAUM change · derived
    • B•••• C•••••• M••••••••• I••• reported RAUM $3.4B, up 36% from $2.5B (2018-05-07 to 2019-03-29)
      Mar 29, 2019 · RAUM change · derived
    • B•••• C•••••• M••••••••• I••• reported RAUM $2.5B, up 37% from $1.8B (2017-05-18 to 2018-03-30)
      Mar 30, 2018 · RAUM change · derived
    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