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
F•••••••• M••••••••• S•••••••
Legal name B••••• B•••••••• A•
Latest filing Feb 22, 2024
First filing on the tape Mar 16, 2012 · 19 filings
RAUM
$280M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$280M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$280M as of Feb 22, 2024
Mar 16, 2012$92.3M then
HNW client RAUM$274M as of Feb 22, 2024
Feb 15, 2018$151M then
State-registered IARs (5.B.3)0 as of Feb 22, 2024
Mar 16, 20120 then
Employees (5.A)1 as of Feb 22, 2024
Mar 14, 20131 then
Private funds: no history
RAUM +18% over the last fiscal year+8.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 22, 2024; 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
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $878,625derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$274M98%
- Individuals$6.0M2.2%
- Individual clients
- 26reported
- HNW clients
- 65reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 319reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• B•••••••• A• · Sole Proprietor, Chief Compliance Officercontrolsince 03/1990 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Deerfield Beach, FL1 employees
What changed
consecutive filings, newest first
- HNW clients · 70 to 65Aug 4, 2023 to Feb 22, 2024
- Individual clients · 25 to 26Aug 4, 2023 to Feb 22, 2024
- Discretionary RAUM · $237M to $280MAug 4, 2023 to Feb 22, 2024
- HNW RAUM · $232M to $274MAug 4, 2023 to Feb 22, 2024
- Individual RAUM · $6.2M to $6.0MAug 4, 2023 to Feb 22, 2024
- Non-discretionary RAUM · $709,085 to $692,236Aug 4, 2023 to Feb 22, 2024
- RAUM · $238M to $280MAug 4, 2023 to Feb 22, 2024
- HQ city · DALLAS to unsetMar 22, 2023 to Aug 4, 2023
- HQ state · TX to unsetMar 22, 2023 to Aug 4, 2023
- Accounts · 368 to 319Mar 7, 2022 to Mar 22, 2023
- Discretionary RAUM · $273M to $237MMar 7, 2022 to Mar 22, 2023
- HNW RAUM · $270M to $232MMar 7, 2022 to Mar 22, 2023
- Individual RAUM · $7.5M to $6.2MMar 7, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $4.5M to $709,085Mar 7, 2022 to Mar 22, 2023
- RAUM · $277M to $238MMar 7, 2022 to Mar 22, 2023
- Accounts · 363 to 368Mar 17, 2021 to Mar 7, 2022
- Individual clients · 31 to 25Mar 17, 2021 to Mar 7, 2022
- Discretionary RAUM · $218M to $273MMar 17, 2021 to Mar 7, 2022
- HNW RAUM · $215M to $270MMar 17, 2021 to Mar 7, 2022
- Individual RAUM · $6.7M to $7.5MMar 17, 2021 to Mar 7, 2022
- Non-discretionary RAUM · $3.5M to $4.5MMar 17, 2021 to Mar 7, 2022
- RAUM · $221M to $277MMar 17, 2021 to Mar 7, 2022
- Accounts · 318 to 363Jun 12, 2020 to Mar 17, 2021
- HNW clients · 62 to 70Jun 12, 2020 to Mar 17, 2021
- Individual clients · 33 to 31Jun 12, 2020 to Mar 17, 2021
- Pension plan clients · unset to 0.0Jun 12, 2020 to Mar 17, 2021
- Discretionary RAUM · $188M to $218MJun 12, 2020 to Mar 17, 2021
- HNW RAUM · $185M to $215MJun 12, 2020 to Mar 17, 2021
- Individual RAUM · $6.6M to $6.7MJun 12, 2020 to Mar 17, 2021
- Non-discretionary RAUM · $3.5M to $3.5MJun 12, 2020 to Mar 17, 2021
- RAUM · $192M to $221MJun 12, 2020 to Mar 17, 2021
- Accounts · 307 to 318Mar 26, 2019 to Mar 11, 2020
- Corporate clients · 0.0 to unsetMar 26, 2019 to Mar 11, 2020
- HNW clients · 59 to 62Mar 26, 2019 to Mar 11, 2020
- Individual clients · 34 to 33Mar 26, 2019 to Mar 11, 2020
- Discretionary RAUM · $153M to $188MMar 26, 2019 to Mar 11, 2020
- HNW RAUM · $150M to $185MMar 26, 2019 to Mar 11, 2020
- Individual RAUM · $6.1M to $6.6MMar 26, 2019 to Mar 11, 2020
- Non-discretionary RAUM · $3.1M to $3.5MMar 26, 2019 to Mar 11, 2020
- RAUM · $156M to $192MMar 26, 2019 to Mar 11, 2020
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