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

S•••••• J•••• B••••• L••

Former SEC-registered adviserPleasant Hill, CaliforniaCRD 134555SEC 801-80799IAPD
Latest filing Oct 29, 2020
First filing on the tape Dec 19, 2014 · 15 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 3, 2020
Feb 9, 20153 then
Employees (5.A)3 as of Mar 3, 2020
Feb 9, 20153 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Oct 29, 2020; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 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
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
173reported
Charitable clients
n/areported
Accounts
n/areported
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
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•••••• S••••••• J•••• · Managercontrol
      since 12/1998 · owns 75% or more
    • B••••••• M••••••• I• · Chief Compliance Officer/Manager
      since 12/2014 · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Pension plan clients · 169 to 173
      Feb 26, 2019 to Mar 3, 2020
    • Individual clients · 258.0 to unset
      Mar 30, 2018 to Apr 2, 2018
    • Pension plan clients · 100 to 169
      Mar 30, 2018 to Apr 2, 2018
    • Individual RAUM · 0.0 to unset
      Mar 30, 2018 to Apr 2, 2018
    • Individual clients · unset to 258.0
      Mar 10, 2017 to Mar 30, 2018
    • Pension plan clients · unset to 100.0
      Mar 10, 2017 to Mar 30, 2018
    • Other offices · unset to 0.0
      Mar 10, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 0.0
      Mar 10, 2017 to Mar 30, 2018
    • Pension RAUM · unset to 0.0
      Mar 10, 2017 to Mar 30, 2018
    • Business name · S•••••• J••• B••••• L•• to S•••••• J•••• B••••• L••
      Jan 2, 2015 to Jan 26, 2015
    • Legal name · S•••••• J••• B••••• L•• to S•••••• J•••• B••••• L••
      Jan 2, 2015 to Jan 26, 2015
    • Organization form · Limited Liability Partnership to Limited Liability Company
      Jan 2, 2015 to Jan 26, 2015
    • Business name · B•••••• S•••••• J•••• to S•••••• J••• B••••• L••
      Dec 19, 2014 to Dec 22, 2014
    • Legal name · B•••••• S•••••• J•••• to S•••••• J••• B••••• L••
      Dec 19, 2014 to Dec 22, 2014
    • Succession · true to false
      Dec 19, 2014 to Dec 22, 2014
    Signals
    2 dated events
    • B•••••• S•••••• J•••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Dec 19, 2014 · Succession (Item 4) · fact
    • B•••••• S•••••• J•••• filed its initial SEC registration (Form ADV)
      Dec 19, 2014 · 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