DFX Intelligence
RIA Intelligence
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SEC-registered adviser
B•• A••••••• L••
Latest filing Mar 29, 2026
First filing on the tape Mar 22, 2012 · 18 filings
SEC status approved since May 2, 2002
RAUM
$656M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$611M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$219M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$656M as of Mar 29, 2026
Mar 22, 2012$235M then
HNW client RAUM$611M as of Mar 29, 2026
Mar 20, 2018$315M then
State-registered IARs (5.B.3)3 as of Mar 29, 2026
Mar 22, 20120 then
Employees (5.A)3 as of Mar 29, 2026
Mar 15, 20133 then
Private funds: no history
RAUM +25% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 29, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $20.4MderivedHNW RAUM over HNW clients
- Average account
- $9.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $624M, 19 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$611M93%
- Charitable organizations$42.4M6.5%
- Pension and profit-sharing plans$2.7M0.4%
- Individual clients
- n/areported
- HNW clients
- 30reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 71reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $624M for 19 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• M•••••••• | Los Angeles, Ca | Mar 8, 2000 | 40 y | 0 |
| W•••••• C•••••• B••••• | Los Angeles, Ca | Mar 8, 2000 | 60 y | 0 |
| D•••• J••• B••••••••• | Los Angeles, Ca | Mar 8, 2000 | 39 y | 0 |
| S••••• M•••••• N••••••• | Los Angeles, Ca | Sep 17, 2026 | 18 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• W••••••• C•••••• · Managing Membercontrolsince 03/1999 · owns 50% to 75%
- B••••••••• D••••• J••• · Membersince 03/1999 · owns 10% to 25%
- M••••••••• S•••••• · Member/Chief Compliance Officersince 03/1999 · owns 10% to 25%
Related persons
Schedule D 7.A
- F•••••••• B••••• • C•••••• A••••••••• C•••••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 29, 2026RAUM per account of $9,235,954 against a peer median of $610,947 (1443 comparable advisers, 99.0th percentile, 5.8 robust deviations)peers: independent wealth managers, $500M to $1B (1,443) · 99% percentile
- unusually large average HNW clientStatic outlier · filing Mar 29, 2026HNW RAUM per HNW client of $20,355,586 against a peer median of $3,134,900 (1404 comparable advisers, 100.0th percentile, 11.3 robust deviations)peers: independent wealth managers, $500M to $1B (1,404) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 64 to 71Mar 31, 2025 to Mar 29, 2026
- Assets in custody · $484M to $624MMar 31, 2025 to Mar 29, 2026
- Discretionary RAUM · $523M to $656MMar 31, 2025 to Mar 29, 2026
- HNW RAUM · $503M to $611MMar 31, 2025 to Mar 29, 2026
- Pension RAUM · $2.1M to $2.7MMar 31, 2025 to Mar 29, 2026
- RAUM · $523M to $656MMar 31, 2025 to Mar 29, 2026
- Accounts · 62 to 64Feb 15, 2024 to Mar 31, 2025
- Charity clients · unset to 2.0Feb 15, 2024 to Mar 31, 2025
- HNW clients · 27 to 30Feb 15, 2024 to Mar 31, 2025
- Individual clients · 5.0 to unsetFeb 15, 2024 to Mar 31, 2025
- Pension plan clients · unset to 2.0Feb 15, 2024 to Mar 31, 2025
- Assets in custody · $0 to $484MFeb 15, 2024 to Mar 31, 2025
- Financial planning clients · unset to Feb 15, 2024 to Mar 31, 2025
- Discretionary RAUM · $457M to $523MFeb 15, 2024 to Mar 31, 2025
- HNW RAUM · $436M to $503MFeb 15, 2024 to Mar 31, 2025
- Individual RAUM · 1686229.0 to unsetFeb 15, 2024 to Mar 31, 2025
- Pension RAUM · $1.7M to $2.1MFeb 15, 2024 to Mar 31, 2025
- RAUM · $457M to $523MFeb 15, 2024 to Mar 31, 2025
- Accounts · 60 to 62Mar 3, 2023 to Feb 15, 2024
- HNW clients · 26 to 27Mar 3, 2023 to Feb 15, 2024
- Individual clients · 6 to 5Mar 3, 2023 to Feb 15, 2024
- Discretionary RAUM · $403M to $457MMar 3, 2023 to Feb 15, 2024
- HNW RAUM · $382M to $436MMar 3, 2023 to Feb 15, 2024
- Individual RAUM · $2.6M to $1.7MMar 3, 2023 to Feb 15, 2024
- Pension RAUM · $1.3M to $1.7MMar 3, 2023 to Feb 15, 2024
- RAUM · $403M to $457MMar 3, 2023 to Feb 15, 2024
- Accounts · 59 to 60Apr 13, 2022 to Mar 3, 2023
- HNW clients · 25 to 26Apr 13, 2022 to Mar 3, 2023
- Discretionary RAUM · $420M to $403MApr 13, 2022 to Mar 3, 2023
- HNW RAUM · $393M to $382MApr 13, 2022 to Mar 3, 2023
- Individual RAUM · $3.1M to $2.6MApr 13, 2022 to Mar 3, 2023
- Pension RAUM · $1.2M to $1.3MApr 13, 2022 to Mar 3, 2023
- RAUM · $420M to $403MApr 13, 2022 to Mar 3, 2023
- Accounts · 56 to 59Mar 18, 2021 to Mar 22, 2022
- Discretionary RAUM · $388M to $420MMar 18, 2021 to Mar 22, 2022
- HNW RAUM · $364M to $393MMar 18, 2021 to Mar 22, 2022
- Individual RAUM · $2.8M to $3.1MMar 18, 2021 to Mar 22, 2022
- Pension RAUM · $443,508 to $1.2MMar 18, 2021 to Mar 22, 2022
- RAUM · $388M to $420MMar 18, 2021 to Mar 22, 2022
- Accounts · 33 to 56Jun 24, 2020 to Mar 18, 2021
Signals
2 dated events
- S••••• M•••••• N••••••• registered as an investment adviser representative at B•• A••••••• L••Sep 17, 2026 · Advisor registered · fact
- B•• A••••••• L•• reported RAUM $655.8M, up 25% from $523.1M (2025-03-31 to 2026-03-29)Mar 29, 2026 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 310-734-1234reportedpublic record, Form ADV, Mar 29, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $219Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026