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•••••••• H•••••••• I••••••••• M••••••••• I•••

Former SEC-registered adviserMilwaukee, WisconsinCRD 132307SEC 801-64161IAPD
Legal name B•••••• F•••••••• S•••••••• I•••
Latest filing Feb 4, 2022
First filing on the tape Jan 26, 2012 · 18 filings
RAUM
$204M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$204M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 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$204M as of Feb 4, 2022
Jan 26, 2012$156M then
HNW client RAUM$36.1M as of Feb 4, 2022
Mar 16, 2018$27.1M then
State-registered IARs (5.B.3)2 as of Feb 4, 2022
Jan 25, 20133 then
Employees (5.A)2 as of Feb 4, 2022
Jan 25, 20134 then
Private funds: no history
RAUM +10% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 4, 2022; every figure names its basis
RAUM per advisor
$102MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
35derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+10%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$20.3M, 11 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$168M82%
  • High-net-worth individuals$36.1M18%
Individual clients
55reported
HNW clients
15reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
129reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$20.3M for 11 clientsreported
Compensation
% of AUM, fixed, 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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••••••• N••••• D••••• · Ccocontrol
      since 06/2004 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list C•••••••• H•••••••• I••••••••• M••••••••• I••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 127 to 129
      Feb 25, 2021 to Feb 4, 2022
    • HNW clients · 11 to 15
      Feb 25, 2021 to Feb 4, 2022
    • Individual clients · 59 to 55
      Feb 25, 2021 to Feb 4, 2022
    • Assets in custody · $18.0M to $20.3M
      Feb 25, 2021 to Feb 4, 2022
    • Legal name · BLOSSOM HOLDINGS, INC to BLOSSOM FINANCIAL SERVICES, INC.
      Feb 25, 2021 to Feb 4, 2022
    • Discretionary RAUM · $186M to $204M
      Feb 25, 2021 to Feb 4, 2022
    • HNW RAUM · $28.3M to $36.1M
      Feb 25, 2021 to Feb 4, 2022
    • Individual RAUM · $157M to $168M
      Feb 25, 2021 to Feb 4, 2022
    • RAUM · $186M to $204M
      Feb 25, 2021 to Feb 4, 2022
    • Accounts · 123 to 127
      Jun 30, 2020 to Feb 25, 2021
    • HNW clients · 13 to 11
      Jun 30, 2020 to Feb 25, 2021
    • Individual clients · 55 to 59
      Jun 30, 2020 to Feb 25, 2021
    • Assets in custody · $13.8M to $18.0M
      Jun 30, 2020 to Feb 25, 2021
    • Discretionary RAUM · $172M to $186M
      Jun 30, 2020 to Feb 25, 2021
    • HNW RAUM · $28.4M to $28.3M
      Jun 30, 2020 to Feb 25, 2021
    • Individual RAUM · $143M to $157M
      Jun 30, 2020 to Feb 25, 2021
    • RAUM · $172M to $186M
      Jun 30, 2020 to Feb 25, 2021
    • Legal name · C•••••••• H•••••••• I••••••••• M••••••••• I••• to BLOSSOM HOLDINGS, INC
      May 29, 2020 to Jun 30, 2020
    • Accounts · 117 to 123
      Feb 25, 2019 to Mar 3, 2020
    • HNW clients · 10 to 13
      Feb 25, 2019 to Mar 3, 2020
    • Individual clients · 51 to 55
      Feb 25, 2019 to Mar 3, 2020
    • Assets in custody · $18.5M to $13.8M
      Feb 25, 2019 to Mar 3, 2020
    • Discretionary RAUM · $145M to $172M
      Feb 25, 2019 to Mar 3, 2020
    • HNW RAUM · $21.6M to $28.4M
      Feb 25, 2019 to Mar 3, 2020
    • Individual RAUM · $123M to $143M
      Feb 25, 2019 to Mar 3, 2020
    • RAUM · $145M to $172M
      Feb 25, 2019 to Mar 3, 2020
    • Accounts · 119 to 117
      Mar 22, 2018 to Feb 25, 2019
    • HNW clients · 11 to 10
      Mar 22, 2018 to Feb 25, 2019
    • Individual clients · 49 to 51
      Mar 22, 2018 to Feb 25, 2019
    • Assets in custody · $22.3M to $18.5M
      Mar 22, 2018 to Feb 25, 2019
    • Discretionary RAUM · $233M to $145M
      Mar 22, 2018 to Feb 25, 2019
    • HNW RAUM · $27.1M to $21.6M
      Mar 22, 2018 to Feb 25, 2019
    • Individual RAUM · $180M to $123M
      Mar 22, 2018 to Feb 25, 2019
    • Pension RAUM · 25926942.0 to unset
      Mar 22, 2018 to Feb 25, 2019
    • RAUM · $233M to $145M
      Mar 22, 2018 to Feb 25, 2019
    • Assets in custody · unset to 22279756.0
      Mar 16, 2018 to Mar 22, 2018
    • Custody of client assets · false to true
      Mar 16, 2018 to Mar 22, 2018
    • Accounts · 124 to 119
      Jul 28, 2017 to Mar 16, 2018
    • BD registered reps · 2 to 0
      Jul 28, 2017 to Mar 16, 2018
    • HNW clients · unset to 11.0
      Jul 28, 2017 to Mar 16, 2018
    Signals
    4 dated events
    • A•• B••••••• M•••• left C•••••••• H•••••••• I••••••••• M••••••••• I••• for N•• C•••••• M••••••••• I••• (registered 2022-04-11)
      Apr 29, 2022 · Advisor changed firm · fact
    • N•••• D••••• C•••••••• left C•••••••• H•••••••• I••••••••• M••••••••• I••• for N•• C•••••• M••••••••• I••• (registered 2022-04-11)
      Apr 29, 2022 · Advisor changed firm · fact
    • 2 advisors left C•••••••• H•••••••• I••••••••• M••••••••• I••• (Milwaukee, WI) for N•• C•••••• M••••••••• I••• on the same day
      Apr 29, 2022 · Team lift-out · derived
    • Larue Roy H•••••••• (Retired) no longer on Schedule A of C•••••••• H•••••••• I••••••••• M••••••••• I••• (listed 2020-03-03, absent 2020-05-29)
      May 29, 2020 · Control person left · inference
    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