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••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserChevy Chase, MarylandCRD 135949SEC 801-64444IAPD
Latest filing Mar 31, 2017
First filing on the tape Apr 2, 2012 · 10 filings
RAUM
$104M
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
12
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$104M as of Mar 31, 2017
Apr 2, 2012$192M 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)12 as of Mar 31, 2017
Apr 1, 201314 then
Private funds: no history
RAUM -33% over the last fiscal year-27% 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
$26.1MderivedRAUM 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
-33%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$52.5M, 4 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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$52.5M for 4 clientsreported
Compensation
n/areported
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
      • D••••••••• R••••• · Chief Financial Officercontrol
        since 04/2016 · owns less than 5%
      • G••••• M••••• N••• · Managercontrol
        since 05/2005 · owns 75% or more
      • E•••••••• S•••••••• F••••• · Chief Compliance Officer
        since 02/2017 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list B••••••••• C•••••• M••••••••• 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 · $46.5M to $52.5M
        Feb 24, 2017 to Mar 31, 2017
      • Discretionary RAUM · $105M to $104M
        Feb 24, 2017 to Mar 31, 2017
      • RAUM · $105M to $104M
        Feb 24, 2017 to Mar 31, 2017
      • Assets in custody · $69.0M to $46.5M
        Mar 28, 2016 to Jun 16, 2016
      • Discretionary RAUM · $156M to $105M
        Mar 28, 2016 to Jun 16, 2016
      • RAUM · $156M to $105M
        Mar 28, 2016 to Jun 16, 2016
      • Advisory employees · 12 to 10
        Mar 31, 2015 to Mar 28, 2016
      • Assets in custody · $131M to $69.0M
        Mar 31, 2015 to Mar 28, 2016
      • Employees · 16 to 12
        Mar 31, 2015 to Mar 28, 2016
      • Discretionary RAUM · $221M to $156M
        Mar 31, 2015 to Mar 28, 2016
      • RAUM · $221M to $156M
        Mar 31, 2015 to Mar 28, 2016
      • Assets in custody · $172M to $131M
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $265M to $221M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $265M to $221M
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · 10 to 12
        Apr 1, 2013 to Mar 31, 2014
      • Business name · B••••••••• C•••••• M••••••••• L• to B••••••••• C•••••• M••••••••• L••
        Apr 1, 2013 to Mar 31, 2014
      • Assets in custody · $114M to $172M
        Apr 1, 2013 to Mar 31, 2014
      • Employees · 14 to 16
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $211M to $265M
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $211M to $265M
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · unset to 10.0
        May 18, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        May 18, 2012 to Apr 1, 2013
      • Assets in custody · $236M to $114M
        May 18, 2012 to Apr 1, 2013
      • Employees · unset to 14.0
        May 18, 2012 to Apr 1, 2013
      • Discretionary RAUM · $236M to $211M
        May 18, 2012 to Apr 1, 2013
      • RAUM · $236M to $211M
        May 18, 2012 to Apr 1, 2013
      • Assets in custody · $216M to $236M
        Apr 2, 2012 to May 18, 2012
      • Discretionary RAUM · $192M to $236M
        Apr 2, 2012 to May 18, 2012
      • RAUM · $192M to $236M
        Apr 2, 2012 to May 18, 2012
      Signals
      No event on the tape.
      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