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••••••• L••
Latest filing Mar 7, 2018
First filing on the tape Dec 2, 2011 · 10 filings
RAUM
$125M
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
100%
$125M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 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$125M as of Mar 7, 2018
Mar 28, 2012$61.3M then
HNW client RAUM: $122M
State-registered IARs (5.B.3)1 as of Mar 7, 2018
Mar 28, 20120 then
Employees (5.A)2 as of Mar 7, 2018
Mar 14, 20162 then
Private funds: no history
RAUM +22% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 7, 2018; every figure names its basis
- RAUM per advisor
- $125MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $153,891derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$122M98%
- Individuals$3.1M2.4%
- Individual clients
- 29reported
- HNW clients
- 63reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 813reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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•••••• D••••••••• B•••••• to B•••••• • C•••••• P•••••• W••••• M••••••••• L••Nov 30, 2018 · RIA to RIA
- H••••••••• C•••• H••• to P••••••• A•••••••• L••Nov 30, 2018 · Other
- T••• E•••••• H•••••• to P••••••••• F•••••••• S•••••••Sep 6, 2012 · Other
Joined, latest
- H••••••••• C•••• H••• from M•• I•••••••• S•••••••• L••Mar 4, 2014 · Other
- M•••••• D••••••••• B•••••• from C•••••••• G••••• M•••••• I•••May 17, 2012 · Other
- T••• E•••••• H•••••• from E•••••• C•••••• M••••••••• L••May 17, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• M••••••• D••••••••• · Managing Member, Chief Compliance Officercontrolsince 09/2007 · owns 75% or more
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 · 700 to 813Mar 15, 2017 to Mar 7, 2018
- Charity clients · unset to 0.0Mar 15, 2017 to Mar 7, 2018
- Corporate clients · unset to 0.0Mar 15, 2017 to Mar 7, 2018
- HNW clients · unset to 63.0Mar 15, 2017 to Mar 7, 2018
- Individual clients · unset to 29.0Mar 15, 2017 to Mar 7, 2018
- Pension plan clients · unset to 0.0Mar 15, 2017 to Mar 7, 2018
- Pooled vehicle clients · unset to 0.0Mar 15, 2017 to Mar 7, 2018
- HQ city · SAN FRANCISCO to unsetMar 15, 2017 to Mar 7, 2018
- HQ state · CA to unsetMar 15, 2017 to Mar 7, 2018
- Other offices · unset to 0.0Mar 15, 2017 to Mar 7, 2018
- Discretionary RAUM · $80.9M to $96.2MMar 15, 2017 to Mar 7, 2018
- HNW RAUM · unset to 122052109.0Mar 15, 2017 to Mar 7, 2018
- Individual RAUM · unset to 3061294.0Mar 15, 2017 to Mar 7, 2018
- Non-discretionary RAUM · $22.0M to $28.9MMar 15, 2017 to Mar 7, 2018
- Pension RAUM · unset to 0.0Mar 15, 2017 to Mar 7, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 15, 2017 to Mar 7, 2018
- RAUM · $103M to $125MMar 15, 2017 to Mar 7, 2018
- Succession · false to trueMar 15, 2017 to Mar 7, 2018
- Accounts · 1,114 to 700Nov 30, 2016 to Mar 15, 2017
- Discretionary RAUM · $88.3M to $80.9MNov 30, 2016 to Mar 15, 2017
- Non-discretionary RAUM · $46.6M to $22.0MNov 30, 2016 to Mar 15, 2017
- RAUM · $135M to $103MNov 30, 2016 to Mar 15, 2017
- Accounts · 1,150 to 1,114Nov 19, 2015 to Mar 14, 2016
- Employees · 4 to 2Nov 19, 2015 to Mar 14, 2016
- State-registered IARs · 2 to 1Nov 19, 2015 to Mar 14, 2016
- Discretionary RAUM · $91.9M to $88.3MNov 19, 2015 to Mar 14, 2016
- Non-discretionary RAUM · $52.7M to $46.6MNov 19, 2015 to Mar 14, 2016
- RAUM · $145M to $135MNov 19, 2015 to Mar 14, 2016
- Accounts · 500 to 1,150May 9, 2012 to Apr 14, 2015
- Advisory employees · unset to 1.0May 9, 2012 to Apr 14, 2015
- Advisory activities · 6 to 2May 9, 2012 to Apr 14, 2015
- Employees · unset to 4.0May 9, 2012 to Apr 14, 2015
- Insurance-licensed employees · 1 to 0May 9, 2012 to Apr 14, 2015
- Financial planning clients · 26-50 to 51-100May 9, 2012 to Apr 14, 2015
- State-registered IARs · 0 to 2May 9, 2012 to Apr 14, 2015
- Discretionary RAUM · $61.3M to $91.9MMay 9, 2012 to Apr 14, 2015
- Non-discretionary RAUM · $0 to $52.7MMay 9, 2012 to Apr 14, 2015
- RAUM · $61.3M to $145MMay 9, 2012 to Apr 14, 2015
- Accounts · 356 to 500Dec 2, 2011 to Mar 28, 2012
- Insurance-licensed employees · unset to 1.0Dec 2, 2011 to Mar 28, 2012
Signals
2 dated events
- B•••••• • C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 7, 2018 · Succession (Item 4) · fact
- B•••••• • C••••••• L•• filed its initial SEC registration (Form ADV)Apr 14, 2015 · 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