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•••••• C••••
Legal name B•••••• C•••••• L••
Latest filing Mar 28, 2026
First filing on the tape May 24, 2013 · 16 filings
SEC status approved since Jun 4, 2013
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.0B
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.0B as of Mar 28, 2026
Mar 14, 2014$586M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 28, 2026
Mar 14, 20141 then
Employees (5.A)4 as of Mar 28, 2026
Mar 14, 20141 then
Private funds2 as of Mar 28, 2026
Mar 14, 20142 then
RAUM +12% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.0BderivedRAUM 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
- $522MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%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
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.0B, 2 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)
- 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
- Pooled investment vehicles$1.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.0B for 2 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• B•••••• | San Antonio, Tx | Apr 16, 2003 | 26 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• L••• F••• I•• L••• | Hedge Fund | $373M | 7 | Mar 14, 2014 |
| T•• L••• F•••• L••• | Hedge Fund | $371M | 51 | May 24, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• S••••• · Chairman & Ceo / Managing Membercontrolsince 10/2000 · owns 75% or more
- L••••• B•••• · Chief Compliance Officercontrolsince 07/2013 · 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
- Assets in custody · $935M to $1.0BMar 26, 2025 to Mar 28, 2026
- Discretionary RAUM · $935M to $1.0BMar 26, 2025 to Mar 28, 2026
- Pooled vehicle RAUM · $935M to $1.0BMar 26, 2025 to Mar 28, 2026
- RAUM · $935M to $1.0BMar 26, 2025 to Mar 28, 2026
- Assets in custody · $745M to $935MMar 28, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $745M to $935MMar 28, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $745M to $935MMar 28, 2024 to Mar 26, 2025
- RAUM · $745M to $935MMar 28, 2024 to Mar 26, 2025
- Assets in custody · $616M to $745MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $616M to $745MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $616M to $745MMar 31, 2023 to Mar 28, 2024
- RAUM · $616M to $745MMar 31, 2023 to Mar 28, 2024
- Assets in custody · $679M to $616MMar 30, 2022 to Mar 31, 2023
- Financial planning clients · 1-10 to 0Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $679M to $616MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $679M to $616MMar 30, 2022 to Mar 31, 2023
- RAUM · $679M to $616MMar 30, 2022 to Mar 31, 2023
- Assets in custody · $680M to $679MMar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $680M to $679MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $680M to $679MMar 31, 2021 to Mar 30, 2022
- RAUM · $680M to $679MMar 31, 2021 to Mar 30, 2022
- Assets in custody · $866M to $680MJun 2, 2020 to Mar 31, 2021
- State-registered IARs · 1 to 2Jun 2, 2020 to Mar 31, 2021
- Discretionary RAUM · $866M to $680MJun 2, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $866M to $680MJun 2, 2020 to Mar 31, 2021
- RAUM · $866M to $680MJun 2, 2020 to Mar 31, 2021
- Related adviser · false to trueJun 2, 2020 to Mar 31, 2021
- Assets in custody · unset to 865794190.0Mar 28, 2019 to Jun 2, 2020
- Custody of client assets · false to trueMar 28, 2019 to Jun 2, 2020
- Financial planning clients · unset to 1-10Mar 28, 2019 to Jun 2, 2020
- Discretionary RAUM · $1.0B to $866MMar 28, 2019 to Jun 2, 2020
- Pooled vehicle RAUM · $1.0B to $866MMar 28, 2019 to Jun 2, 2020
- RAUM · $1.0B to $866MMar 28, 2019 to Jun 2, 2020
- Other offices · 1 to 0Mar 30, 2018 to Mar 28, 2019
- Discretionary RAUM · $1.3B to $1.0BMar 30, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $1.3B to $1.0BMar 30, 2018 to Mar 28, 2019
- RAUM · $1.3B to $1.0BMar 30, 2018 to Mar 28, 2019
- Pooled vehicle clients · unset to 2.0Mar 31, 2017 to Mar 30, 2018
- Employees · 3 to 4Mar 31, 2017 to Mar 30, 2018
Signals
3 dated events
- B•••••• C•••••• C•••• reported RAUM $935.0M, up 26% from $744.7M (2024-03-28 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- B•••••• C•••••• C•••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 14, 2014 · Succession (Item 4) · fact
- B•••••• C•••••• C•••• filed its initial SEC registration (Form ADV)May 24, 2013 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 210-344-3400reportedpublic record, Form ADV, Mar 28, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.0Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026