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

C•••••• A••••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 130459SEC 801-62936IAPD
Latest filing Jun 11, 2021
First filing on the tape Mar 30, 2012 · 20 filings
RAUM
$34B
reported, Item 5.F
Discretionary
100%
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
97
27 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$34B as of Mar 25, 2021
Mar 30, 2012$12B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2021
Mar 18, 20130 then
Employees (5.A)97 as of Mar 25, 2021
Mar 18, 201330 then
Private funds: no history
RAUM +159% over the last fiscal year+28% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Jun 11, 2021; 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
unknownderivedHNW RAUM over HNW clients
Average account
$633MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.5%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
+159%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
otherreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Banks and thrifts$8.6B98%
  • State and municipal entities$183M2.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
54reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• R••••• D•••• · Presidentcontrol
        since 09/2020 · owns less than 5%
      • L•••••• K•••• T••••• · Chief Financial Officercontrol
        since 09/2019 · owns less than 5%
      • P•••••• R•••••• E••••• · Chief Compliance Officercontrol
        since 07/2020 · owns less than 5%
      Entity owners
      • O•••••• B••• H•••••••• L•• · Managing Member
        direct · owns 75% or more
      • B•••• K••••• F•••••••• S•••••••• I••• · Managing Member
        indirect · owns 75% or more of B•••• K••••• F•••••••• S•••••••• L••
      • B•••• K••••• F•••••••• S•••••••• L•• · Managing Member
        indirect · owns 75% or more of B•••• K••••• I•••••••• L••
      • B•••• K••••• I•••••••• L•• · Managing Member
        indirect · owns 75% or more of B•••• K••••• T••••••••• L••
      • B•••• K••••• T••••••••• L•• · Managing Member
        indirect · owns 50% to 75% of O•••••• B••• H•••••• L••
      • B•••• K•••••• I••• · Owner
        indirect · owns 75% or more of B•••• K••••• F•••••••• S•••••••• I••• · public reporting company
      • O• A••••••• C•••• · Managing Member
        indirect · owns 50% to 75% of O•••••• B••• H•••••••• L••
      • O• A••••••••• L•• · Owner
        indirect · owns 75% or more of O• A••••••• C••••
      • O• A••••••••• L•• · Managing Member
        indirect · owns 25% to 50% of O•••••• B••• H•••••••• L••
      • O•••••• B••• H•••••• L•• · Managing Member
        indirect · owns 75% or more of O• A••••••••• L••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Chevy Chase, MD17 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 26 to 27
        Feb 12, 2021 to Mar 25, 2021
      • Employees · 100 to 97
        Feb 12, 2021 to Mar 25, 2021
      • Discretionary RAUM · $13B to $34B
        Feb 12, 2021 to Mar 25, 2021
      • RAUM · $13B to $34B
        Feb 12, 2021 to Mar 25, 2021
      • Other offices · 2 to 1
        Jul 23, 2020 to Oct 6, 2020
      • Accounts · 67 to 54
        Oct 31, 2019 to Mar 25, 2020
      • Advisory employees · 20 to 26
        Oct 31, 2019 to Mar 25, 2020
      • Employees · 76 to 100
        Oct 31, 2019 to Mar 25, 2020
      • Discretionary RAUM · $12B to $13B
        Oct 31, 2019 to Mar 25, 2020
      • RAUM · $12B to $13B
        Oct 31, 2019 to Mar 25, 2020
      • Accounts · 69 to 67
        Mar 23, 2018 to Mar 11, 2019
      • Discretionary RAUM · $16B to $12B
        Mar 23, 2018 to Mar 11, 2019
      • RAUM · $16B to $12B
        Mar 23, 2018 to Mar 11, 2019
      • Accounts · 64 to 69
        Mar 28, 2017 to Mar 21, 2018
      • Advisory employees · 25 to 20
        Mar 28, 2017 to Mar 21, 2018
      • Employees · 74 to 76
        Mar 28, 2017 to Mar 21, 2018
      • Other offices · unset to 2.0
        Mar 28, 2017 to Mar 21, 2018
      • Discretionary RAUM · $17B to $16B
        Mar 28, 2017 to Mar 21, 2018
      • RAUM · $17B to $16B
        Mar 28, 2017 to Mar 21, 2018
      • Accounts · 59 to 64
        Mar 18, 2016 to Mar 28, 2017
      • Employees · 47 to 74
        Mar 18, 2016 to Mar 28, 2017
      • Discretionary RAUM · $15B to $17B
        Mar 18, 2016 to Mar 28, 2017
      • RAUM · $15B to $17B
        Mar 18, 2016 to Mar 28, 2017
      • Accounts · 71 to 59
        Mar 14, 2015 to Mar 18, 2016
      • Advisory employees · 24 to 25
        Mar 14, 2015 to Mar 18, 2016
      • Employees · 41 to 47
        Mar 14, 2015 to Mar 18, 2016
      • Discretionary RAUM · $11B to $15B
        Mar 14, 2015 to Mar 18, 2016
      • RAUM · $11B to $15B
        Mar 14, 2015 to Mar 18, 2016
      • Accounts · 67 to 71
        Mar 14, 2014 to Mar 14, 2015
      • Advisory employees · 20 to 24
        Mar 14, 2014 to Mar 14, 2015
      • Employees · 33 to 41
        Mar 14, 2014 to Mar 14, 2015
      • Discretionary RAUM · $9.4B to $11B
        Mar 14, 2014 to Mar 14, 2015
      • RAUM · $9.4B to $11B
        Mar 14, 2014 to Mar 14, 2015
      • Accounts · 59 to 67
        Jan 22, 2014 to Mar 14, 2014
      • Advisory employees · 18 to 20
        Jan 22, 2014 to Mar 14, 2014
      • Employees · 30 to 33
        Jan 22, 2014 to Mar 14, 2014
      • Discretionary RAUM · $18B to $9.4B
        Jan 22, 2014 to Mar 14, 2014
      • RAUM · $18B to $9.4B
        Jan 22, 2014 to Mar 14, 2014
      • Accounts · 51 to 59
        Apr 17, 2012 to Mar 18, 2013
      • Advisory employees · unset to 18.0
        Apr 17, 2012 to Mar 18, 2013
      Signals
      10 dated events
      • C•••••• A••••••••• L•• reported RAUM $34.2B, up 159% from $13.2B (2021-02-12 to 2021-03-25)
        Mar 25, 2021 · RAUM change · derived
      • Scott Richard Gagliano (President) no longer on Schedule A of C•••••• A••••••••• L•• (listed 2020-07-23, absent 2020-10-06)
        Oct 6, 2020 · Control person left · inference
      • Eugene Robert Pinder (Chief Compliance Officer) appeared on Schedule A of C•••••• A••••••••• L••
        Jul 23, 2020 · Control person joined · fact
      • Scott Richard Gagliano (President) appeared on Schedule A of C•••••• A••••••••• L••
        Oct 31, 2019 · Control person joined · fact
      • Barry Glen Brown (Managing Partner) no longer on Schedule A of C•••••• A••••••••• L•• (listed 2019-03-11, absent 2019-10-31)
        Oct 31, 2019 · Control person left · inference
      • Konrad Marc Felisky (Managing Partner) no longer on Schedule A of C•••••• A••••••••• L•• (listed 2019-03-11, absent 2019-10-31)
        Oct 31, 2019 · Control person left · inference
      • Sern Clementson (Managing Partner) no longer on Schedule A of C•••••• A••••••••• L•• (listed 2019-03-11, absent 2019-10-31)
        Oct 31, 2019 · Control person left · inference
      • Karl Francis Slacik (Chief Financial Officer & Chief Compliance Officer) no longer on Schedule A of C•••••• A••••••••• L•• (listed 2019-03-11, absent 2019-10-31)
        Oct 31, 2019 · Control person left · inference
      • Thomas Kirk Larsen (Chief Financial Officer) appeared on Schedule A of C•••••• A••••••••• L••
        Oct 31, 2019 · Control person joined · fact
      • C•••••• A••••••••• L•• reported RAUM $11.7B, down 29% from $16.4B (2018-03-23 to 2019-03-11)
        Mar 11, 2019 · 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.
      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