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

B••••••••• C•••••• A•••••••• L••

Former SEC-registered adviserChevy Chase, MarylandCRD 135948SEC 801-64443IAPD
Latest filing Mar 31, 2017
First filing on the tape Apr 2, 2012 · 10 filings
RAUM
$898,236
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
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$898,237 gross assets
History
10 filings and snapshots on the tape
RAUM$898,236 as of Mar 31, 2017
Apr 2, 2012$87.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Apr 2, 20120 then
Employees (5.A)0 as of Mar 31, 2017
Apr 1, 20130 then
Private funds2 as of Mar 31, 2017
Apr 2, 20122 then
RAUM -98% over the last fiscal year-80% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
$449,118derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
-98%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-basedreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Custody
$898,236, 2 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$898,236 for 2 clientsreported
Compensation
performancereported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••••••••• C•••••• P••••••• •••• L•••Private Equity Fund$747,39972Apr 2, 2012
      B••••••••• C•••••• P••••••• •••• L•••Private Equity Fund$150,83822Apr 2, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••••• R••••• · Chief Financial Officercontrol
        since 04/2016 · owns less than 5%
      • G••••• M••••• N••• · Managercontrol
        since 05/2005 · owns less than 5%
      • Q•••••• S•••••• J••••• · Membercontrol
        since 05/2005 · owns 25% to 50%
      • G••••• M••••• N••• · Manager And Membercontrol
        since 05/2005 · owns 75% or more of B••••••••• C•••••• I••••••••• L••
      • E•••••••• S•••••••• F••••• · Chief Compliance Officer
        since 02/2017 · owns less than 5%
      • W•••• E•••••• S••• · Member
        since 05/2005 · owns 5% to 10%
      Entity owners
      • B••••••••• C•••••• I••••••••• L•• · Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Advisers that list B••••••••• C•••••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $502,022 to $898,236
        Feb 24, 2017 to Mar 31, 2017
      • Discretionary RAUM · $502,022 to $898,236
        Feb 24, 2017 to Mar 31, 2017
      • RAUM · $502,022 to $898,236
        Feb 24, 2017 to Mar 31, 2017
      • Assets in custody · $15.1M to $502,022
        Mar 28, 2016 to Jun 16, 2016
      • Discretionary RAUM · $42.9M to $502,022
        Mar 28, 2016 to Jun 16, 2016
      • RAUM · $42.9M to $502,022
        Mar 28, 2016 to Jun 16, 2016
      • Assets in custody · $63.6M to $15.1M
        Mar 31, 2015 to Mar 28, 2016
      • Discretionary RAUM · $91.9M to $42.9M
        Mar 31, 2015 to Mar 28, 2016
      • RAUM · $91.9M to $42.9M
        Mar 31, 2015 to Mar 28, 2016
      • Assets in custody · $89.2M to $63.6M
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $118M to $91.9M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $118M to $91.9M
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $54.7M to $89.2M
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $84.3M to $118M
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $84.3M to $118M
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · unset to 0.0
        May 18, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        May 18, 2012 to Apr 1, 2013
      • Assets in custody · $90.8M to $54.7M
        May 18, 2012 to Apr 1, 2013
      • Employees · unset to 0.0
        May 18, 2012 to Apr 1, 2013
      • Discretionary RAUM · $90.8M to $84.3M
        May 18, 2012 to Apr 1, 2013
      • RAUM · $90.8M to $84.3M
        May 18, 2012 to Apr 1, 2013
      • Assets in custody · $92.2M to $90.8M
        Apr 2, 2012 to May 18, 2012
      • Discretionary RAUM · $87.8M to $90.8M
        Apr 2, 2012 to May 18, 2012
      • RAUM · $87.8M to $90.8M
        Apr 2, 2012 to May 18, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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