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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SEC-registered adviser
B•••••••• I••••••••• M••••••••• S•••••••
Wealth manager with institutional or fund businessBakersfield, CaliforniaCRD 148531SEC 801-73757IAPD
Legal name B•••••••• I••••••••• L••
Latest filing Apr 24, 2026
First filing on the tape Feb 14, 2012 · 32 filings
SEC status approved since Mar 30, 2012
RAUM
$631M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
39%
$248M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$210M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$631M as of Apr 24, 2026
Mar 28, 2013$393M then
HNW client RAUM$247M as of Apr 24, 2026
Mar 28, 2018$61.3M then
State-registered IARs (5.B.3)3 as of Apr 24, 2026
Mar 28, 20130 then
Employees (5.A)9 as of Apr 24, 2026
Mar 28, 20138 then
Private funds2 as of Apr 24, 2026
Mar 28, 20132 then
RAUM +16% over the last fiscal year+21% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Apr 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $210MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 14derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.5MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 9.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $244M, 13 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$247M39%
- Pooled investment vehicles$221M35%
- Corporations and businesses$99.2M16%
- Charitable organizations$55.1M8.7%
- Pension and profit-sharing plans$7.5M1.2%
- Individuals$866,5690.1%
- Individual clients
- 5reported
- HNW clients
- 38reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 294reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $244M for 13 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.39 fund_share=0.35 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• M••••• E•••••••Chartered Financial Analyst | Bakersfield, Ca | Jan 1, 2020 | 12 y | 0 |
| B••• A••• J••••Chartered Financial Analyst | Wichita, Ks | Sep 25, 2023 | 25 y | 1 |
| L••• D•••• K•••• | Bakersfield, Ca | Jun 12, 2025 | 32 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- A••••• T••••• D••••••• to F••••• I•••••••••Feb 11, 2025 · RIA to RIA
- D••••• W••••• to S•• I••••••••• A•••••••• I•••May 2, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- L••• D•••• K•••• from F•••••••• I••••••••• L••Jun 12, 2025 · Other
- B••• A••• J•••• from F•••••••• I••••••••• L••Sep 25, 2023 · Other
- D••••• W••••• from B••••• W••••• M••••••••• G••••Nov 3, 2022 · RIA to RIA
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••••••• E••••• L•••••• P••••••••• | Other Private Fund | $136M | 32 | Feb 14, 2012 |
| B•••••••• F•••• I••••• L•••••• P••••••••• | Other Private Fund | $99.8M | 35 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• M•••••••• L••••• · Chief Compliance Officercontrolsince 11/2019 · owns less than 5%
- C•••••• B••••• S••••• · Chief Financial Officercontrolsince 09/2017 · owns less than 5%
- J••••• B•••• A••• · Vice President, Chief Investment Officercontrolsince 09/2021 · owns less than 5%
- L•••••• A••••••• L••• · Manager & Presidentcontrolsince 03/2008 · owns 5% to 10%
- L•••••• A••••••• L••• · Elected Managercontrolsince 03/2005 · owns F of B•••••••• P••••••••• L••
Entity owners
- B•••••••• P••••••••• L•• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•••••• L••• L•••••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bakersfield, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 269 to 294Apr 24, 2025 to Mar 27, 2026
- Charity clients · 4.0 to unsetApr 24, 2025 to Mar 27, 2026
- Corporate clients · 2.0 to unsetApr 24, 2025 to Mar 27, 2026
- Pension plan clients · 1.0 to unsetApr 24, 2025 to Mar 27, 2026
- Assets in custody · $251M to $244MApr 24, 2025 to Mar 27, 2026
- State-registered IARs · 2 to 3Apr 24, 2025 to Mar 27, 2026
- Discretionary RAUM · $497M to $575MApr 24, 2025 to Mar 27, 2026
- HNW RAUM · $212M to $247MApr 24, 2025 to Mar 27, 2026
- Individual RAUM · $795,932 to $866,569Apr 24, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $48.0M to $56.5MApr 24, 2025 to Mar 27, 2026
- Pension RAUM · $7.1M to $7.5MApr 24, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $241M to $221MApr 24, 2025 to Mar 27, 2026
- RAUM · $545M to $631MApr 24, 2025 to Mar 27, 2026
- Accounts · 204 to 269Jul 19, 2024 to Apr 24, 2025
- Advisory employees · 6 to 5Jul 19, 2024 to Apr 24, 2025
- Charity clients · 3 to 4Jul 19, 2024 to Apr 24, 2025
- HNW clients · 39 to 38Jul 19, 2024 to Apr 24, 2025
- Assets in custody · $238M to $251MJul 19, 2024 to Apr 24, 2025
- Employees · 11 to 9Jul 19, 2024 to Apr 24, 2025
- Financial planning clients · 0 to 0Jul 19, 2024 to Apr 24, 2025
- State-registered IARs · 4 to 2Jul 19, 2024 to Apr 24, 2025
- Discretionary RAUM · $418M to $497MJul 19, 2024 to Apr 24, 2025
- HNW RAUM · $158M to $212MJul 19, 2024 to Apr 24, 2025
- Individual RAUM · $1.3M to $795,932Jul 19, 2024 to Apr 24, 2025
- Non-discretionary RAUM · $4.7M to $48.0MJul 19, 2024 to Apr 24, 2025
- Pension RAUM · $6.7M to $7.1MJul 19, 2024 to Apr 24, 2025
- Pooled vehicle RAUM · $236M to $241MJul 19, 2024 to Apr 24, 2025
- RAUM · $423M to $545MJul 19, 2024 to Apr 24, 2025
- Accounts · 202 to 204Sep 22, 2023 to Mar 12, 2024
- Charity clients · unset to 3.0Sep 22, 2023 to Mar 12, 2024
- Corporate clients · unset to 2.0Sep 22, 2023 to Mar 12, 2024
- HNW clients · 28 to 39Sep 22, 2023 to Mar 12, 2024
- Individual clients · 12 to 5Sep 22, 2023 to Mar 12, 2024
- Pension plan clients · unset to 1.0Sep 22, 2023 to Mar 12, 2024
- Assets in custody · $229M to $238MSep 22, 2023 to Mar 12, 2024
- State-registered IARs · 3 to 4Sep 22, 2023 to Mar 12, 2024
- Discretionary RAUM · $348M to $418MSep 22, 2023 to Mar 12, 2024
- HNW RAUM · $99.7M to $158MSep 22, 2023 to Mar 12, 2024
- Individual RAUM · $3.1M to $1.3MSep 22, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $5.0M to $4.7MSep 22, 2023 to Mar 12, 2024
Signals
9 dated events
- B•••••••• I••••••••• M••••••••• S••••••• reported RAUM $544.8M, up 29% from $422.9M (2024-07-19 to 2025-04-24)Apr 24, 2025 · RAUM change · derived
- A••••• T••••• D••••••• left B•••••••• I••••••••• M••••••••• S••••••• for F••••• I••••••••• (registered 2025-02-14)Feb 11, 2025 · Advisor changed firm · fact
- D••••• W••••• left B•••••••• I••••••••• M••••••••• S••••••• for S•• I••••••••• A•••••••• I••• (registered 2024-05-13)May 2, 2024 · Advisor changed firm · fact
- Hartley D••••• W••••• (Director Of Financial Planning) no longer on Schedule A of B•••••••• I••••••••• M••••••••• S••••••• (listed 2024-05-01, absent 2024-05-02)May 2, 2024 · Control person left · inference
- Hartley D••••• W••••• (Director Of Financial Planning) appeared on Schedule A of B•••••••• I••••••••• M••••••••• S•••••••Oct 28, 2022 · Control person joined · fact
- Alan Brad Jantz (Vice President Of Investments & Chief Investment Officer) appeared on Schedule A of B•••••••• I••••••••• M••••••••• S•••••••Oct 4, 2021 · Control person joined · fact
- Leslie Michelle Campbell (Chief Compliance Officer) appeared on Schedule A of B•••••••• I••••••••• M••••••••• S•••••••Nov 15, 2019 · Control person joined · fact
- Esther Jane Couperus (Assistant Vice President Of Investments/Cco) no longer on Schedule A of B•••••••• I••••••••• M••••••••• S••••••• (listed 2019-03-28, absent 2019-11-15)Nov 15, 2019 · Control person left · inference
- Frederic Charles Green (Investment And Compliance Advisor And Secretary) no longer on Schedule A of B•••••••• I••••••••• M••••••••• S••••••• (listed 2018-03-28, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- B•••••••• I••••••••• M••••••••• S••••••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- 661-326-6357reportedpublic record, Form ADV, Apr 24, 2026
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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $210Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026