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Former SEC-registered adviser

B••••• I••••••••• M••••••••• C••••••• I•••

Former SEC-registered adviserCRD 132828SEC 801-107251IAPD
Latest filing Feb 1, 2026
First filing on the tape Dec 16, 2011 · 16 filings
SEC status approved since Feb 10, 2016
RAUM
$334M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$334M 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
16 filings and snapshots on the tape
RAUM$334M as of Feb 1, 2026
Jan 5, 2012$49.3M then
HNW client RAUM$332M as of Feb 1, 2026
Jan 5, 2018$154M then
State-registered IARs (5.B.3)1 as of Feb 1, 2026
Jan 5, 20120 then
Employees (5.A)1 as of Feb 1, 2026
Jan 9, 20171 then
Private funds: no history
RAUM +14% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 1, 2026; every figure names its basis
RAUM per advisor
$334MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
37derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$11.9MderivedHNW RAUM over HNW clients
Average account
$9.0MderivedRAUM 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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%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 assetsreportedItem 5.E
Advisory activities
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
  • High-net-worth individuals$332M99%
  • Individuals$2.1M0.6%
Individual clients
9reported
HNW clients
28reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
37reported
Financial planning clients
reported
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
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
      • B•••••• R•••••• D••••• · President And Chief Compliance Officercontrol
        since 08/2004 · owns 75% or more
      Related persons
      Schedule D 7.A
      • R••••• D• B••••• J•
        y
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 112 to 37
        Feb 7, 2025 to Feb 1, 2026
      • HNW clients · 27 to 28
        Feb 7, 2025 to Feb 1, 2026
      • Individual clients · 10 to 9
        Feb 7, 2025 to Feb 1, 2026
      • Discretionary RAUM · $293M to $334M
        Feb 7, 2025 to Feb 1, 2026
      • HNW RAUM · $290M to $332M
        Feb 7, 2025 to Feb 1, 2026
      • Individual RAUM · $2.6M to $2.1M
        Feb 7, 2025 to Feb 1, 2026
      • RAUM · $293M to $334M
        Feb 7, 2025 to Feb 1, 2026
      • Financial planning clients · unset to
        Jan 3, 2025 to Feb 7, 2025
      • Accounts · 110 to 112
        Jan 3, 2024 to Jan 3, 2025
      • Individual clients · 9 to 10
        Jan 3, 2024 to Jan 3, 2025
      • HQ city · unset to
        Jan 3, 2024 to Jan 3, 2025
      • HQ state · unset to
        Jan 3, 2024 to Jan 3, 2025
      • Discretionary RAUM · $241M to $293M
        Jan 3, 2024 to Jan 3, 2025
      • HNW RAUM · $240M to $290M
        Jan 3, 2024 to Jan 3, 2025
      • Individual RAUM · $1.3M to $2.6M
        Jan 3, 2024 to Jan 3, 2025
      • RAUM · $241M to $293M
        Jan 3, 2024 to Jan 3, 2025
      • Accounts · 109 to 110
        Jan 4, 2023 to Jan 3, 2024
      • Discretionary RAUM · $208M to $241M
        Jan 4, 2023 to Jan 3, 2024
      • HNW RAUM · $207M to $240M
        Jan 4, 2023 to Jan 3, 2024
      • Individual RAUM · $976,014 to $1.3M
        Jan 4, 2023 to Jan 3, 2024
      • RAUM · $208M to $241M
        Jan 4, 2023 to Jan 3, 2024
      • Accounts · 106 to 109
        Jan 4, 2022 to Jan 4, 2023
      • HNW clients · 26 to 27
        Jan 4, 2022 to Jan 4, 2023
      • Individual clients · 13 to 9
        Jan 4, 2022 to Jan 4, 2023
      • Discretionary RAUM · $249M to $208M
        Jan 4, 2022 to Jan 4, 2023
      • HNW RAUM · $247M to $207M
        Jan 4, 2022 to Jan 4, 2023
      • Individual RAUM · $1.6M to $976,014
        Jan 4, 2022 to Jan 4, 2023
      • RAUM · $249M to $208M
        Jan 4, 2022 to Jan 4, 2023
      • Accounts · 96 to 106
        Jan 6, 2021 to Jan 4, 2022
      • Individual clients · 6 to 13
        Jan 6, 2021 to Jan 4, 2022
      • Discretionary RAUM · $203M to $249M
        Jan 6, 2021 to Jan 4, 2022
      • HNW RAUM · $202M to $247M
        Jan 6, 2021 to Jan 4, 2022
      • Individual RAUM · $1.0M to $1.6M
        Jan 6, 2021 to Jan 4, 2022
      • RAUM · $203M to $249M
        Jan 6, 2021 to Jan 4, 2022
      • Accounts · 94 to 96
        Jun 15, 2020 to Jan 6, 2021
      • HNW clients · 30 to 26
        Jun 15, 2020 to Jan 6, 2021
      • Individual clients · 14 to 6
        Jun 15, 2020 to Jan 6, 2021
      • Discretionary RAUM · $181M to $203M
        Jun 15, 2020 to Jan 6, 2021
      • HNW RAUM · $176M to $202M
        Jun 15, 2020 to Jan 6, 2021
      • Individual RAUM · $4.5M to $1.0M
        Jun 15, 2020 to Jan 6, 2021
      Signals
      2 dated events
      • B••••• I••••••••• M••••••••• C••••••• I••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $334.4M)
        Apr 1, 2026 · Left the SEC roster · derived
      • B••••• I••••••••• M••••••••• C••••••• I••• filed its initial SEC registration (Form ADV)
        Feb 2, 2016 · 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