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•••••• M••••••••• L••
Latest filing Feb 19, 2025
First filing on the tape Mar 5, 2019 · 10 filings
SEC status approved since Apr 4, 2019
RAUM
$186M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$186M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$186M as of Feb 19, 2025
Mar 9, 2020$145M then
HNW client RAUM$186M as of Feb 19, 2025
Mar 9, 2020$142M then
State-registered IARs (5.B.3)2 as of Feb 19, 2025
Mar 9, 20201 then
Employees (5.A)3 as of Feb 19, 2025
Mar 9, 20203 then
Private funds: no history
RAUM +16% over the last fiscal year+2.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 19, 2025; every figure names its basis
- RAUM per advisor
- $93.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $4.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$186M100%
- Individuals$589,7740.3%
- Individual clients
- 5reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 47reported
- Financial planning clients
- n/areported
- 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
- M••• M•••••• B••••• to B••••••• I•••May 13, 2025 · RIA to RIA
- N••••••• J••••• R••••• to B••••••• I•••May 13, 2025 · RIA to RIA
- N••••••• J••••• R••••• to L•• F•••••••• L••Feb 13, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- N••••••• J••••• R••••• from L•• F•••••••• L••Oct 11, 2021 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B••••••• I•••May 13, 2025 · Tiburon, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• M•••• M•••••• · Ceo/Cio/Ccocontrolsince 12/2005 · owns 75% or more
- B•••••• T•••••• P••••••••• · Membersince 02/2012 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tiburon, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 46 to 47Feb 12, 2024 to Feb 19, 2025
- HNW clients · 41 to 42Feb 12, 2024 to Feb 19, 2025
- Discretionary RAUM · $160M to $180MFeb 12, 2024 to Feb 19, 2025
- HNW RAUM · $160M to $186MFeb 12, 2024 to Feb 19, 2025
- Individual RAUM · $567,091 to $589,774Feb 12, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $674,653 to $5.9MFeb 12, 2024 to Feb 19, 2025
- RAUM · $161M to $186MFeb 12, 2024 to Feb 19, 2025
- Accounts · 139 to 46Feb 17, 2023 to Feb 12, 2024
- BD registered reps · 0 to 2Feb 17, 2023 to Feb 12, 2024
- HNW clients · 39 to 41Feb 17, 2023 to Feb 12, 2024
- Insurance-licensed employees · 0 to 1Feb 17, 2023 to Feb 12, 2024
- Discretionary RAUM · $152M to $160MFeb 17, 2023 to Feb 12, 2024
- HNW RAUM · $150M to $160MFeb 17, 2023 to Feb 12, 2024
- Individual RAUM · $2.2M to $567,091Feb 17, 2023 to Feb 12, 2024
- Non-discretionary RAUM · $0 to $674,653Feb 17, 2023 to Feb 12, 2024
- RAUM · $152M to $161MFeb 17, 2023 to Feb 12, 2024
- Accounts · 122 to 139Feb 28, 2022 to Feb 17, 2023
- HNW clients · 33 to 39Feb 28, 2022 to Feb 17, 2023
- Individual clients · 9 to 5Feb 28, 2022 to Feb 17, 2023
- Discretionary RAUM · $173M to $152MFeb 28, 2022 to Feb 17, 2023
- HNW RAUM · $170M to $150MFeb 28, 2022 to Feb 17, 2023
- Individual RAUM · $3.6M to $2.2MFeb 28, 2022 to Feb 17, 2023
- RAUM · $173M to $152MFeb 28, 2022 to Feb 17, 2023
- Accounts · 114 to 122Oct 11, 2021 to Feb 28, 2022
- Advisory employees · 1 to 2Oct 11, 2021 to Feb 28, 2022
- HNW clients · 36 to 33Oct 11, 2021 to Feb 28, 2022
- Individual clients · 10 to 9Oct 11, 2021 to Feb 28, 2022
- State-registered IARs · 1 to 2Oct 11, 2021 to Feb 28, 2022
- Discretionary RAUM · $152M to $173MOct 11, 2021 to Feb 28, 2022
- HNW RAUM · $143M to $170MOct 11, 2021 to Feb 28, 2022
- Individual RAUM · $8.9M to $3.6MOct 11, 2021 to Feb 28, 2022
- RAUM · $152M to $173MOct 11, 2021 to Feb 28, 2022
- Accounts · 125 to 114Jun 30, 2020 to Mar 1, 2021
- Advisory activities · 3 to 2Jun 30, 2020 to Mar 1, 2021
- Individual clients · 8 to 10Jun 30, 2020 to Mar 1, 2021
- Discretionary RAUM · $145M to $152MJun 30, 2020 to Mar 1, 2021
- HNW RAUM · $142M to $143MJun 30, 2020 to Mar 1, 2021
- Individual RAUM · $2.9M to $8.9MJun 30, 2020 to Mar 1, 2021
- RAUM · $145M to $152MJun 30, 2020 to Mar 1, 2021
- Accounts · 113 to 125Mar 5, 2019 to Mar 9, 2020
Signals
5 dated events
- B••••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $186.2M)Jun 2, 2025 · Left the SEC roster · derived
- M••• M•••••• B••••• left B••••• C•••••• M••••••••• L•• for B••••••• I••• (registered 2025-04-25)May 13, 2025 · Advisor changed firm · fact
- N••••••• J••••• R••••• left B••••• C•••••• M••••••••• L•• for B••••••• I••• (registered 2025-04-25)May 13, 2025 · Advisor changed firm · fact
- 2 advisors left B••••• C•••••• M••••••••• L•• (Tiburon, CA) for B••••••• I••• on the same dayMay 13, 2025 · Team lift-out · derived
- B••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 5, 2019 · 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