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•• S•• A•••• M••••••••• L••

Former SEC-registered adviserSan Ramon, CaliforniaCRD 124813SEC 801-61915IAPD
Latest filing Oct 23, 2020
First filing on the tape Feb 24, 2012 · 15 filings
RAUM
$139M
reported, Item 5.F
Discretionary
0.7%
of RAUM
Private clients
0.0%
$0 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$139M as of Feb 25, 2020
Feb 24, 2012$36.4M then
HNW client RAUM$0 as of Feb 25, 2020
Mar 14, 2018$2.5M then
State-registered IARs (5.B.3)1 as of Feb 25, 2020
Feb 24, 20120 then
Employees (5.A)1 as of Feb 25, 2020
Feb 19, 20131 then
Private funds: no history
RAUM +40% over the last fiscal year+23% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Oct 23, 2020; every figure names its basis
RAUM per advisor
$139MderivedRAUM 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
$46.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.7%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+40%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, hourlyreportedItem 5.E
Advisory activities
financial planning, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$139M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S•••••• D••••• W•••••• · President/Chief Compliance Officercontrol
    since 01/2003 · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list B•• S•• A•••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • HNW clients · 0.0 to unset
    Feb 14, 2019 to Feb 25, 2020
  • Pension plan clients · 3.0 to unset
    Feb 14, 2019 to Feb 25, 2020
  • Discretionary RAUM · $936,000 to $940,800
    Feb 14, 2019 to Feb 25, 2020
  • Non-discretionary RAUM · $98.4M to $138M
    Feb 14, 2019 to Feb 25, 2020
  • Pension RAUM · $99.4M to $139M
    Feb 14, 2019 to Feb 25, 2020
  • RAUM · $99.4M to $139M
    Feb 14, 2019 to Feb 25, 2020
  • Accounts · 5 to 3
    Mar 14, 2018 to Feb 14, 2019
  • HNW clients · unset to 0.0
    Mar 14, 2018 to Feb 14, 2019
  • Pension plan clients · unset to 3.0
    Mar 14, 2018 to Feb 14, 2019
  • Discretionary RAUM · $5.6M to $936,000
    Mar 14, 2018 to Feb 14, 2019
  • HNW RAUM · $2.5M to $0
    Mar 14, 2018 to Feb 14, 2019
  • Non-discretionary RAUM · $91.8M to $98.4M
    Mar 14, 2018 to Feb 14, 2019
  • Pension RAUM · $95.0M to $99.4M
    Mar 14, 2018 to Feb 14, 2019
  • RAUM · $97.5M to $99.4M
    Mar 14, 2018 to Feb 14, 2019
  • Financial planning clients · 1-10 to 0
    Feb 24, 2017 to Mar 14, 2018
  • Other offices · unset to 0.0
    Feb 24, 2017 to Mar 14, 2018
  • Discretionary RAUM · $3.2M to $5.6M
    Feb 24, 2017 to Mar 14, 2018
  • HNW RAUM · unset to 2494555.0
    Feb 24, 2017 to Mar 14, 2018
  • Non-discretionary RAUM · $71.1M to $91.8M
    Feb 24, 2017 to Mar 14, 2018
  • Pension RAUM · unset to 94961617.0
    Feb 24, 2017 to Mar 14, 2018
  • RAUM · $74.3M to $97.5M
    Feb 24, 2017 to Mar 14, 2018
  • Discretionary RAUM · $2.2M to $3.2M
    Mar 2, 2016 to Feb 24, 2017
  • Non-discretionary RAUM · $59.1M to $71.1M
    Mar 2, 2016 to Feb 24, 2017
  • RAUM · $61.3M to $74.3M
    Mar 2, 2016 to Feb 24, 2017
  • Accounts · 6 to 5
    Mar 26, 2015 to Mar 2, 2016
  • Discretionary RAUM · $7.0M to $2.2M
    Mar 26, 2015 to Mar 2, 2016
  • Non-discretionary RAUM · $48.1M to $59.1M
    Mar 26, 2015 to Mar 2, 2016
  • RAUM · $55.2M to $61.3M
    Mar 26, 2015 to Mar 2, 2016
  • Accounts · 7 to 6
    Feb 11, 2014 to Mar 11, 2015
  • Discretionary RAUM · $6.7M to $7.0M
    Feb 11, 2014 to Mar 11, 2015
  • Non-discretionary RAUM · $44.0M to $48.1M
    Feb 11, 2014 to Mar 11, 2015
  • RAUM · $50.6M to $55.2M
    Feb 11, 2014 to Mar 11, 2015
  • Discretionary RAUM · $2.7M to $6.7M
    Nov 26, 2013 to Feb 11, 2014
  • Non-discretionary RAUM · $37.1M to $44.0M
    Nov 26, 2013 to Feb 11, 2014
  • RAUM · $39.8M to $50.6M
    Nov 26, 2013 to Feb 11, 2014
  • Accounts · 6 to 7
    Feb 24, 2012 to Feb 19, 2013
  • Advisory employees · unset to 1.0
    Feb 24, 2012 to Feb 19, 2013
  • Employees · unset to 1.0
    Feb 24, 2012 to Feb 19, 2013
  • State-registered IARs · 0 to 1
    Feb 24, 2012 to Feb 19, 2013
  • Discretionary RAUM · $4.9M to $2.7M
    Feb 24, 2012 to Feb 19, 2013
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