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.

Former SEC-registered adviser

Spi Strategies, LLC

Former SEC-registered adviserOakland, CaliforniaCRD 130295SEC 801-112085IAPD
Latest filing Apr 6, 2020
First filing on the tape Aug 24, 2017 · 10 filings
RAUM
$2.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$2.9M as of Mar 10, 2020
Mar 27, 2018$115M then
HNW client RAUM$1.4M as of Mar 10, 2020
Mar 27, 2018$1.3M then
State-registered IARs (5.B.3)4 as of Mar 10, 2020
Mar 27, 20183 then
Employees (5.A)5 as of Mar 10, 2020
Mar 27, 20185 then
Private funds: no history
RAUM -97% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Apr 6, 2020; every figure names its basis
RAUM per advisor
$715,180derivedRAUM over IAPD advisors; not a book size
Clients per advisor
2derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$408,674derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-97%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+17%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • Individuals$1.5M53%
  • High-net-worth individuals$1.4M47%
Individual clients
6reported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
0reported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • N Carlton Martin · Class A Managing Member / Chairmancontrol
    since 02/2016 · owns 25% to 50%
  • Steven Singleton · Class A Managing Member / Chief Investment Officercontrol
    since 02/2016 · owns 10% to 25%
  • Van Eric Standifer · Elected Manager / President/Chief Compliance Officercontrol
    since 02/2016 · owns less than 5%
  • Edward Ronald Blaylock · Ownercontrol
    since 02/2007 · owns 75% or more of Blaylock & Company
  • Van Eric Standifer · Ownercontrol
    since 02/2007 · owns 75% or more of Robert Van Securities Inc
Entity owners
  • Blaylock Van, LLC · Class A Managing Member / Owner
    direct · owns 50% to 75%
  • Blaylock & Company · Member S - Class B
    indirect · owns 25% to 50% of Blaylock Van, LLC
  • Robert Van Securities Inc · Members - Class A
    indirect · owns 25% to 50% of Blaylock Van, LLC
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 3 to 4
    Feb 7, 2019 to Mar 10, 2020
  • HNW clients · 5 to 1
    Feb 7, 2019 to Mar 10, 2020
  • Individual clients · 1 to 6
    Feb 7, 2019 to Mar 10, 2020
  • Insurance-licensed employees · 2 to 4
    Feb 7, 2019 to Mar 10, 2020
  • State-registered IARs · 3 to 4
    Feb 7, 2019 to Mar 10, 2020
  • Discretionary RAUM · $105M to $2.9M
    Feb 7, 2019 to Mar 10, 2020
  • HNW RAUM · $1.3M to $1.4M
    Feb 7, 2019 to Mar 10, 2020
  • Individual RAUM · $75,825 to $1.5M
    Feb 7, 2019 to Mar 10, 2020
  • RAUM · $105M to $2.9M
    Feb 7, 2019 to Mar 10, 2020
  • Discretionary RAUM · $115M to $105M
    Oct 25, 2018 to Feb 7, 2019
  • HNW RAUM · $1.3M to $1.3M
    Oct 25, 2018 to Feb 7, 2019
  • Individual RAUM · $89,914 to $75,825
    Oct 25, 2018 to Feb 7, 2019
  • RAUM · $115M to $105M
    Oct 25, 2018 to Feb 7, 2019
  • Accounts · 10 to 7
    Oct 27, 2017 to Mar 27, 2018
  • Discretionary RAUM · $117M to $115M
    Oct 27, 2017 to Mar 27, 2018
  • HNW RAUM · $1.1M to $1.3M
    Oct 27, 2017 to Mar 27, 2018
  • Individual RAUM · $84,000 to $89,914
    Oct 27, 2017 to Mar 27, 2018
  • RAUM · $117M to $115M
    Oct 27, 2017 to Mar 27, 2018
  • Accounts · 12 to 10
    Aug 30, 2017 to Oct 27, 2017
  • HNW clients · unset to 5.0
    Aug 30, 2017 to Oct 27, 2017
  • Individual clients · unset to 1.0
    Aug 30, 2017 to Oct 27, 2017
  • Other offices · unset to 0.0
    Aug 30, 2017 to Oct 27, 2017
  • Discretionary RAUM · $109M to $117M
    Aug 30, 2017 to Oct 27, 2017
  • HNW RAUM · unset to 1116000.0
    Aug 30, 2017 to Oct 27, 2017
  • Individual RAUM · unset to 84000.0
    Aug 30, 2017 to Oct 27, 2017
  • RAUM · $109M to $117M
    Aug 30, 2017 to Oct 27, 2017
Signals
2 dated events
  • Spi Strategies, Llc reported RAUM $2.9M, down 97% from $105.0M (2019-02-07 to 2020-03-10)
    Mar 10, 2020 · RAUM change · derived
  • Spi Strategies, Llc filed its initial SEC registration (Form ADV)
    Aug 24, 2017 · 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.
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