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•••••• P••••••• L••

Former SEC-registered adviserWashington, District of ColumbiaCRD 146340SEC 801-68814IAPD
Latest filing Mar 29, 2018
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
$28.7M
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
14
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$28.7M gross assets
History
11 filings and snapshots on the tape
RAUM$28.7M as of Mar 29, 2018
Mar 30, 2012$8.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 29, 2018
Mar 30, 20120 then
Employees (5.A)14 as of Mar 29, 2018
Mar 27, 201312 then
Private funds1 as of Mar 29, 2018
Mar 30, 20121 then
RAUM +32% over the last fiscal year+4.4% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
RAUM per advisor
$3.6MderivedRAUM 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
$28.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+32%derivedbetween the last two annual amendments
Advisor growth, one year
+14%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$28.7M, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Pooled investment vehicles$28.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$28.7M for 1 clientsreported
Compensation
% of AUM, 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
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• J•••• H•••••• · Managing Partnercontrol
        since 01/2008 · owns 25% to 50%
      • C•••• C•••••• L•••• · Chief Compliance Officercontrol
        since 06/2015 · owns less than 5%
      • N••••••••• C••••••••• M••••• · Membercontrol
        since 01/2008 · owns 25% to 50%
      • H•••••••• E••••• J••••• · Member
        since 01/2008 · owns 10% to 25%
      • M•••••• C••••••• S•• · Member
        since 01/2008 · owns 10% to 25%
      • S••••• W••••••• G•••••• · Member
        since 01/2008 · owns less than 5%
      • V•••••• M•••••• · Member
        since 01/2008 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Advisers that list B•••••• C•••••• P••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 1.0
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $21.8M to $28.7M
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 13 to 14
        Mar 31, 2017 to Mar 29, 2018
      • Insurance-licensed employees · 7 to 8
        Mar 31, 2017 to Mar 29, 2018
      • State-registered IARs · 7 to 8
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $21.8M to $28.7M
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 28708204.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $21.8M to $28.7M
        Mar 31, 2017 to Mar 29, 2018
      • Accounts · 2 to 1
        Jun 23, 2016 to Mar 31, 2017
      • Advisory activities · 2 to 1
        Jun 23, 2016 to Mar 31, 2017
      • Assets in custody · $19.5M to $21.8M
        Jun 23, 2016 to Mar 31, 2017
      • Employees · 12 to 13
        Jun 23, 2016 to Mar 31, 2017
      • Insurance-licensed employees · 8 to 7
        Jun 23, 2016 to Mar 31, 2017
      • State-registered IARs · 8 to 7
        Jun 23, 2016 to Mar 31, 2017
      • Discretionary RAUM · $27.7M to $21.8M
        Jun 23, 2016 to Mar 31, 2017
      • RAUM · $27.7M to $21.8M
        Jun 23, 2016 to Mar 31, 2017
      • Assets in custody · $16.1M to $19.5M
        Mar 31, 2015 to Mar 30, 2016
      • Insurance-licensed employees · 7 to 8
        Mar 31, 2015 to Mar 30, 2016
      • State-registered IARs · 7 to 8
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $25.2M to $27.7M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $25.2M to $27.7M
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 7 to 8
        Oct 13, 2014 to Mar 31, 2015
      • Assets in custody · $13.2M to $16.1M
        Oct 13, 2014 to Mar 31, 2015
      • Employees · 10 to 12
        Oct 13, 2014 to Mar 31, 2015
      • Insurance-licensed employees · 6 to 7
        Oct 13, 2014 to Mar 31, 2015
      • State-registered IARs · 6 to 7
        Oct 13, 2014 to Mar 31, 2015
      • Discretionary RAUM · $18.2M to $25.2M
        Oct 13, 2014 to Mar 31, 2015
      • RAUM · $18.2M to $25.2M
        Oct 13, 2014 to Mar 31, 2015
      • Advisory employees · 6 to 7
        Mar 27, 2013 to Mar 31, 2014
      • Assets in custody · $10.3M to $13.2M
        Mar 27, 2013 to Mar 31, 2014
      • Employees · 12 to 10
        Mar 27, 2013 to Mar 31, 2014
      • Insurance-licensed employees · 7 to 6
        Mar 27, 2013 to Mar 31, 2014
      • Discretionary RAUM · $10.3M to $18.2M
        Mar 27, 2013 to Mar 31, 2014
      • RAUM · $10.3M to $18.2M
        Mar 27, 2013 to Mar 31, 2014
      • Accounts · 1 to 2
        Dec 19, 2012 to Mar 27, 2013
      • Advisory employees · 1 to 6
        Dec 19, 2012 to Mar 27, 2013
      • Advisory activities · 1 to 2
        Dec 19, 2012 to Mar 27, 2013
      • Assets in custody · $8.7M to $10.3M
        Dec 19, 2012 to Mar 27, 2013
      • Employees · 10 to 12
        Dec 19, 2012 to Mar 27, 2013
      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