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••••••• L••

Former SEC-registered adviserPlano, TexasCRD 140204SEC 801-120878IAPD
Latest filing Mar 22, 2021
First filing on the tape Mar 5, 2012 · 6 filings
RAUM
$107M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$107M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$22.0M as of Mar 28, 2014
Mar 5, 2012$22.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Mar 5, 20120 then
Employees (5.A)1 as of Mar 28, 2014
Mar 25, 20131 then
Private funds: no history
RAUM +385% over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Mar 22, 2021; every figure names its basis
RAUM per advisor
$53.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$99.0M93%
  • Individuals$7.7M7.2%
Individual clients
26reported
HNW clients
49reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
75reported
Financial planning clients
0reported
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
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
    • C••••••••• W••••••• L•••• · Managing Membercontrol
      since 01/2006 · owns 25% to 50%
    • M••••• A•••••• J•••• · Managing Member/Chief Compliance Officercontrol
      since 01/2006 · owns 25% to 50%
    • S••••••• M•••••• A•••••• · Minority Passive Equity Interest
      since 06/2009 · owns 5% to 10%
    • S••••••• N•••••• L• · Minority Passive Equity Interest
      since 06/2009 · owns 5% to 10%
    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 · 59 to 75
      Aug 20, 2014 to Mar 22, 2021
    • Advisory employees · 0 to 4
      Aug 20, 2014 to Mar 22, 2021
    • Advisory activities · 3 to 2
      Aug 20, 2014 to Mar 22, 2021
    • HNW clients · unset to 49.0
      Aug 20, 2014 to Mar 22, 2021
    • Individual clients · unset to 26.0
      Aug 20, 2014 to Mar 22, 2021
    • Employees · 1 to 4
      Aug 20, 2014 to Mar 22, 2021
    • State-registered IARs · 0 to 2
      Aug 20, 2014 to Mar 22, 2021
    • Other offices · unset to 0.0
      Aug 20, 2014 to Mar 22, 2021
    • Discretionary RAUM · $22.0M to $104M
      Aug 20, 2014 to Mar 22, 2021
    • HNW RAUM · unset to 99000000.0
      Aug 20, 2014 to Mar 22, 2021
    • Individual RAUM · unset to 7700000.0
      Aug 20, 2014 to Mar 22, 2021
    • Non-discretionary RAUM · $0 to $2.3M
      Aug 20, 2014 to Mar 22, 2021
    • RAUM · $22.0M to $107M
      Aug 20, 2014 to Mar 22, 2021
    • Accounts · 45 to 59
      Mar 25, 2013 to Mar 28, 2014
    • Accounts · 36 to 45
      Mar 5, 2012 to Mar 25, 2013
    • Advisory employees · unset to 0.0
      Mar 5, 2012 to Mar 25, 2013
    • Employees · unset to 1.0
      Mar 5, 2012 to Mar 25, 2013
    Signals
    2 dated events
    • W•••••• L•••• C••••••••• left B•••••• C••••••• L•• for M•••••••• C•••••• L•• (registered 2023-01-19)
      Feb 1, 2022 · Advisor changed firm · fact
    • B•••••• C••••••• L•• filed its initial SEC registration (Form ADV)
      Mar 22, 2021 · 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