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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
B••••••••• I••••••••• A••••••• S•••••••
Legal name B••••••••• S••••••••• I•••
Latest filing Apr 27, 2012
First filing on the tape Nov 22, 2011 · 5 filings
RAUM
$78.0M
reported, Item 5.F
Discretionary
95%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$78.0M as of Apr 27, 2012
Nov 22, 2011$98.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 27, 2012
Nov 22, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 27, 2012; 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
- $137,989derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 565reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
- P••• M•••••• B•••• to C••••••• F•••••••• S•••••• C•••••••••Jun 20, 2012 · Other
- A•••• R•• M••••••••• to C••••••••• S••••••••• L••Jun 20, 2012 · Other
- R•••••• E••••• F••••• to C•••• C•••••• S••••••••• L•••Jun 20, 2012 · Other
- R•• A•••••••• to C••••••• F•••••••• S•••••• C•••••••••Jun 20, 2012 · Other
- E•••• A•••• T••••• to C• W••••• M••••••••• L••Jun 20, 2012 · Other
- T•••••• J••• S•••••• to C•••• C•••••• S••••••••• L•••Jun 20, 2012 · Other
- K•••• H• K•• to C••••••• F•••••••• S•••••• C•••••••••Jun 20, 2012 · Other
- W••••• A••• M••••••••• to K••••• A•••••••• I•••Jun 20, 2012 · Other
- M•••••• J•••• K•••••• to C••••••••• S••••••••• L••Jun 20, 2012 · Other
- F•••••• W•••• C••• to C••••••••• S••••••••• L••Jun 20, 2012 · Other
- N•••••• S•••• T••••••• to W••• A•••••••• I•••Jun 20, 2012 · Other
- R•••••• G•••••••• A•••• to K••••• A•••••••• I•••Jun 20, 2012 · Other
- M••• J••• O•••••••• to C•••• C•••••• S••••••••• L•••Jun 20, 2012 · Other
- P••• R••• R••••••••• to C••••••••• S••••••••• L••Jun 14, 2012 · Other
- C••••••••• D••• K•••• to C••••••••• S••••••••• L••Jun 12, 2012 · Other
Joined, latest
- P••• M•••••• B•••• from A••••• A•••••••• S••••••••• C•••••••••Mar 20, 2012 · Other
- B•••••• J•• C••• from E•••••••• A•••••••• L••Feb 15, 2012 · Other
- N•••••• S•••• T••••••• from I•••••••• C•••••• A•••••••Jan 10, 2012 · Other
- R•••••• G•••••••• A•••• from I••••• F•••••••• C•••••••••Aug 8, 2011 · Other
- P••• R••• R••••••••• from S•••••• G••• F•••••••• C•••••••••Jun 6, 2011 · Other
- F•••••• W•••• C••• from E•• F•••••••• A•••••••Jan 20, 2011 · Other
- S••••• R•••••• from W•••• F•••• A•••••••Jun 7, 2010 · Other
- K•••• H• K•• from C••••• A••••••• L••Mar 9, 2010 · Other
- R•• A•••••••• from G•••••••• F••••••••• I••Nov 23, 2009 · Other
- E•••• A•••• T••••• from I••••• A••••••• S•••••••• L••Sep 10, 2009 · Other
- M••• J••• O•••••••• from F•• S••••••••• C•••••••••May 29, 2009 · Other
- S•••• D•••• W•••••• from C•••••• S••••• • C••• I•••Mar 20, 2009 · Other
- W••••• A••• M••••••••• from I••••••••• F•••••••• G••••• L••Feb 26, 2009 · Other
- K•••• L•••••• H•••••• from A•••••• A••••••• S•••••••Sep 23, 2008 · Other
- J••• A•••••• M••• from L•• F•••••••• L••Jul 2, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••• K•••• · Chief Compliance Officercontrolsince 03/2010 · owns less than 5%
- R••••••••• P••• R••• · President/Ceo/Finopcontrolsince 06/2011 · owns less than 5%
- T••••••••• A••••• L•• · Chairman Of The Boardcontrolsince 07/2005 · owns 75% or more of B••••••••• Capital Management, LLC
- L•••• D•••• W•••••• · Direct Ownersince 07/2005 · owns 10% to 25%
Entity owners
- B••••••••• C•••••• M••••••••• L••• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 659 to 565Mar 9, 2012 to Mar 30, 2012
- Insurance-licensed employees · 1 to 5Mar 9, 2012 to Mar 30, 2012
- Financial planning clients · 26-50 to 1-10Mar 9, 2012 to Mar 30, 2012
- Discretionary RAUM · $70.0M to $74.4MMar 9, 2012 to Mar 30, 2012
- Non-discretionary RAUM · $28.0M to $3.6MMar 9, 2012 to Mar 30, 2012
- RAUM · $98.0M to $78.0MMar 9, 2012 to Mar 30, 2012
- Insurance-licensed employees · unset to 1.0Nov 22, 2011 to Feb 7, 2012
- Related broker-dealer · false to trueNov 22, 2011 to Feb 7, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- B••••••••• S••••••••• I••• · Venture Capitalshared crd · org
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