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 May 10, 2025
First filing on the tape Mar 28, 2012 · 27 filings
SEC status approved since May 1, 2006
RAUM
$838M
reported, Item 5.F
Discretionary
62%
of RAUM
Private clients
89%
$745M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$838M as of May 10, 2025
Mar 28, 2012$262M then
HNW client RAUM$737M as of May 10, 2025
Mar 28, 2018$407M then
State-registered IARs (5.B.3)4 as of May 10, 2025
Apr 1, 20137 then
Employees (5.A)9 as of May 10, 2025
Apr 1, 20139 then
Private funds2 as of May 10, 2025
Mar 28, 20122 then
RAUM +9.7% over the last fiscal year+9.3% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 10, 2025; every figure names its basis
- RAUM per advisor
- $210MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.2MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 62%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, educational seminars, otherreportedItem 5.G
- Custody
- $248M, 57 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
- 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)
- 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
- High-net-worth individuals$737M88%
- Corporations and businesses$79.3M9.5%
- Charitable organizations$10.8M1.3%
- Individuals$7.4M0.9%
- Pooled investment vehicles$2.1M0.2%
- Pension and profit-sharing plans$1.0M0.1%
- Individual clients
- 15reported
- HNW clients
- 90reported
- Pension plan clients
- n/areported
- Charitable clients
- 23reported
- Accounts
- 359reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $248M for 57 clientsreported
- Compensation
- % of AUM, fixed, 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
- J••••• M•••••• O•••• to L•••Jun 6, 2025 · RIA to RIA
- S•••••• S•••••• to L•••Jun 6, 2025 · RIA to RIA
- C•••••••• S••••• T•••••••• to L•••Jun 6, 2025 · RIA to RIA
- L•••• J••• B•••••••• to L•••Jun 6, 2025 · RIA to RIA
- A••••• P••••• P•••• to L•••Jun 6, 2025 · RIA to RIA
- S••••• D•••• to P•••••••• W•••••• L••Apr 1, 2013 · Other
- K••• S•••• V••• to E•••• S••••••••• L••Jan 17, 2012 · Other
Joined, latest
- A••••• P••••• P•••• from F•••• C•••••• A••••••• S•••••••Apr 8, 2022 · Affiliated broker-dealer or bank to independent RIA
- J••••• M•••••• O•••• from C••••• S••••• S••••••••• •••• L••Nov 3, 2021 · Other
- C•••••••• S••••• T•••••••• from F••••• I•••••••••Sep 10, 2020 · RIA to RIA
- K••• S•••• V••• from B••• O• A•••••• I••••••••• S•••••••• I•••Mar 2, 2011 · Other
- S•••••• S•••••• from C••••• S••••• S••••••••• •••• L••Jun 7, 2006 · Other
Private funds
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••••• V••••••• T••••••• I• L•• | Venture Capital Fund | $39.7M | 44 | Sep 26, 2014 |
| B••••••••• V••••••• T••••••• I•• L••• | Venture Capital Fund | $14.1M | 40 | Mar 30, 2017 |
| B••••••••• V••••••• T••••••• I••• L••• | Venture Capital Fund | $12.5M | 94 | Mar 31, 2022 |
| B••••••••• V••••••• T••• L••• | Venture Capital Fund | $7.0M | 28 | Mar 21, 2019 |
| B••••••••• V••••••• S•• I• L••• | Venture Capital Fund | $2.0M | 18 | Mar 28, 2023 |
| B••••••••• V••••••• R•••••• L••no longer reported | Venture Capital Fund | $782,490 | 14 | Sep 26, 2014 |
| B••••••••• P•••••• E••••• P•••••••• L•• | Other Private Fund | $689,175 | 17 | Mar 28, 2012 |
| B••••••••• D••••••••• C••••• F•••• L•• | Other Private Fund | $596,386 | 23 | Mar 28, 2012 |
| B••••••••• V••••••• R••• L••• | Real Estate Fund | $10,835 | 43 | May 14, 2020 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• L••••• J••• · Chief Operating Officer/Chief Compliance Officercontrolsince 07/2006 · owns less than 5%
- S••••••• S•••••• · Managing Membercontrolsince 06/2006 · owns 75% or more
Related persons
Schedule D 7.A
- B••••••••• V••••••• S•• I• G•• L••pooled vehicle sponsory
- B••••••••• V••••••• T••••••• I• G•• L••pooled vehicle sponsory
- B••••••••• V••••••• T••••••• I•• G•• L••pooled vehicle sponsory
- B••••••••• V•••••••• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Menlo Park, Ca · principal | 0 | 0 | 0 | ||
| San Mateo, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW clients · 88 to 90Mar 27, 2025 to May 10, 2025
- Pooled vehicle clients · 8 to 2Mar 27, 2025 to May 10, 2025
- Private funds · 8 to 2Mar 27, 2025 to May 10, 2025
- Discretionary RAUM · $584M to $523MMar 27, 2025 to May 10, 2025
- HNW RAUM · $699M to $737MMar 27, 2025 to May 10, 2025
- Individual RAUM · $8.0M to $7.4MMar 27, 2025 to May 10, 2025
- Non-discretionary RAUM · $295M to $315MMar 27, 2025 to May 10, 2025
- Pooled vehicle RAUM · $84.6M to $2.1MMar 27, 2025 to May 10, 2025
- RAUM · $879M to $838MMar 27, 2025 to May 10, 2025
- Accounts · 324 to 359Sep 5, 2024 to Mar 27, 2025
- Charity clients · 17 to 23Sep 5, 2024 to Mar 27, 2025
- Corporate clients · 17 to 15Sep 5, 2024 to Mar 27, 2025
- HNW clients · 81 to 88Sep 5, 2024 to Mar 27, 2025
- Individual clients · 18 to 15Sep 5, 2024 to Mar 27, 2025
- Assets in custody · $147M to $248MSep 5, 2024 to Mar 27, 2025
- Employees · 7 to 9Sep 5, 2024 to Mar 27, 2025
- Discretionary RAUM · $501M to $584MSep 5, 2024 to Mar 27, 2025
- HNW RAUM · $591M to $699MSep 5, 2024 to Mar 27, 2025
- Individual RAUM · $8.4M to $8.0MSep 5, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $264M to $295MSep 5, 2024 to Mar 27, 2025
- Pension RAUM · $766,216 to $1.0MSep 5, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $84.6M to $84.6MSep 5, 2024 to Mar 27, 2025
- RAUM · $764M to $879MSep 5, 2024 to Mar 27, 2025
- Accounts · 277 to 324Sep 18, 2023 to Mar 29, 2024
- Advisory employees · 3 to 4Sep 18, 2023 to Mar 29, 2024
- Corporate clients · 15 to 17Sep 18, 2023 to Mar 29, 2024
- HNW clients · 72 to 81Sep 18, 2023 to Mar 29, 2024
- Individual clients · 19 to 18Sep 18, 2023 to Mar 29, 2024
- Assets in custody · $141M to $147MSep 18, 2023 to Mar 29, 2024
- Financial planning clients · 0 to unsetSep 18, 2023 to Mar 29, 2024
- Discretionary RAUM · $398M to $501MSep 18, 2023 to Mar 29, 2024
- HNW RAUM · $459M to $591MSep 18, 2023 to Mar 29, 2024
- Individual RAUM · $10.3M to $8.4MSep 18, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $244M to $264MSep 18, 2023 to Mar 29, 2024
- Pension RAUM · $556,634 to $766,216Sep 18, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $93.7M to $84.6MSep 18, 2023 to Mar 29, 2024
- RAUM · $642M to $764MSep 18, 2023 to Mar 29, 2024
- Accounts · 244 to 277Nov 2, 2022 to Mar 28, 2023
- Charity clients · 18 to 17Nov 2, 2022 to Mar 28, 2023
- Corporate clients · 17 to 15Nov 2, 2022 to Mar 28, 2023
Signals
9 dated events
- B••••••••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $838.1M)Jul 1, 2025 · Left the SEC roster · derived
- C•••••••• S••••• T•••••••• left B••••••••• C•••••• M••••••••• L•• for L••• (registered 2025-06-03)Jun 6, 2025 · Advisor changed firm · fact
- L•••• J••• B•••••••• left B••••••••• C•••••• M••••••••• L•• for L••• (registered 2025-05-31)Jun 6, 2025 · Advisor changed firm · fact
- A••••• P••••• P•••• left B••••••••• C•••••• M••••••••• L•• for L••• (registered 2025-06-03)Jun 6, 2025 · Advisor changed firm · fact
- B••••••••• C•••••• M••••••••• L••'s advisors moved to L••• (Menlo Park, CA): 5 of 5 registered, on the same dayJun 6, 2025 · Firm absorbed (people side) · derived
- S•••••• S•••••• left B••••••••• C•••••• M••••••••• L•• for L••• (registered 2025-06-03)Jun 6, 2025 · Advisor changed firm · fact
- J••••• M•••••• O•••• left B••••••••• C•••••• M••••••••• L•• for L••• (registered 2025-06-03)Jun 6, 2025 · Advisor changed firm · fact
- Prashant Kalidindi (Principal) no longer on Schedule A of B••••••••• C•••••• M••••••••• L•• (listed 2021-07-09, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- B••••••••• C•••••• M••••••••• L•• reported RAUM $642.1M, up 28% from $502.9M (2021-07-09 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- B••••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
- B••••••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
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
Across the graphs
B••••••••• C•••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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