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••••• C••• C••••••• L••
Latest filing Apr 20, 2026
First filing on the tape Apr 30, 2015 · 22 filings
SEC status approved since May 11, 2015
RAUM
$355M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
7.8%
$27.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$355M as of Apr 20, 2026
Mar 29, 2016$43.2M then
HNW client RAUM$27.7M as of Apr 20, 2026
Mar 20, 2018$13.9M then
State-registered IARs (5.B.3)0 as of Apr 20, 2026
Mar 29, 20164 then
Employees (5.A)6 as of Apr 20, 2026
Mar 29, 20165 then
Private funds: no history
RAUM -9.8% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $8.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 79%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.8%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 institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
- 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
- State and municipal entities$237M67%
- Charitable organizations$41.3M12%
- High-net-worth individuals$27.7M7.8%
- Investment companies$25.2M7.1%
- Corporations and businesses$20.6M5.8%
- Pooled investment vehicles$2.6M0.7%
- Individual clients
- n/areported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 40reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.08 fund_share=0.08 institutional_share=0.79 related_bd=false related_bank=false bd_reps=0.0derived
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
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• J••••• R•••••• · Member, Portfolio Managercontrolsince 03/2018 · owns 5% to 10%
- B••••• S••••••• C•••••• · Member, Portfolio Managercontrolsince 01/2020 · owns 10% to 25%
- K••••• D••••• W••••• · Member, Director, Vice President Of Marketing & Client Servicecontrolsince 05/2010 · owns less than 5%
- M••••••••• S••••••• M••••••• · Member, Chief Compliance Officer, Vp Operationscontrolsince 01/2023 · owns less than 5%
- W•••••••• A••••••••• J•••••• · Member, President, Portfolio Managercontrolsince 01/2020 · owns 25% to 50%
- B•••••• S••••• J••••• · Membersince 01/2015 · owns 5% to 10%
- C••••••••• B••••••• S•••• · Membersince 01/2015 · owns 5% to 10%
- D•••••• B••••• H••• · Member, Portfolio Managersince 01/2024 · owns less than 5%
- H••••• S•••• E•••••••• · Member, Portfolio Managersince 01/2023 · owns less than 5%
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 · 42 to 40Mar 17, 2025 to Mar 18, 2026
- HNW clients · 23 to 22Mar 17, 2025 to Mar 18, 2026
- Employees · 7 to 6Mar 17, 2025 to Mar 18, 2026
- Discretionary RAUM · $391M to $352MMar 17, 2025 to Mar 18, 2026
- HNW RAUM · $29.8M to $27.7MMar 17, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $2.6M to $2.6MMar 17, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $2.6M to $2.6MMar 17, 2025 to Mar 18, 2026
- RAUM · $393M to $355MMar 17, 2025 to Mar 18, 2026
- Accounts · 41 to 42Mar 27, 2024 to Mar 17, 2025
- Corporate clients · unset to 1.0Mar 27, 2024 to Mar 17, 2025
- Pension plan clients · 3.0 to unsetMar 27, 2024 to Mar 17, 2025
- Financial planning clients · 26-50 to 26-50Mar 27, 2024 to Mar 17, 2025
- Discretionary RAUM · $266M to $391MMar 27, 2024 to Mar 17, 2025
- HNW RAUM · $26.9M to $29.8MMar 27, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $1.5M to $2.6MMar 27, 2024 to Mar 17, 2025
- Pension RAUM · 24104752.0 to unsetMar 27, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $1.5M to $2.6MMar 27, 2024 to Mar 17, 2025
- RAUM · $267M to $393MMar 27, 2024 to Mar 17, 2025
- Accounts · 26 to 41Feb 1, 2023 to Mar 27, 2024
- Advisory activities · 3 to 4Feb 1, 2023 to Mar 27, 2024
- Charity clients · 4 to 5Feb 1, 2023 to Mar 27, 2024
- HNW clients · 11 to 23Feb 1, 2023 to Mar 27, 2024
- Pension plan clients · 2 to 3Feb 1, 2023 to Mar 27, 2024
- Discretionary RAUM · $201M to $266MFeb 1, 2023 to Mar 27, 2024
- HNW RAUM · $19.8M to $26.9MFeb 1, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $1.5M to $1.5MFeb 1, 2023 to Mar 27, 2024
- Pension RAUM · $6.8M to $24.1MFeb 1, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.5M to $1.5MFeb 1, 2023 to Mar 27, 2024
- RAUM · $203M to $267MFeb 1, 2023 to Mar 27, 2024
- Accounts · 27 to 26Sep 20, 2022 to Feb 1, 2023
- HNW clients · 12 to 11Sep 20, 2022 to Feb 1, 2023
- Discretionary RAUM · $247M to $201MSep 20, 2022 to Feb 1, 2023
- HNW RAUM · $27.0M to $19.8MSep 20, 2022 to Feb 1, 2023
- Non-discretionary RAUM · $678,265 to $1.5MSep 20, 2022 to Feb 1, 2023
- Pension RAUM · $11.4M to $6.8MSep 20, 2022 to Feb 1, 2023
- Pooled vehicle RAUM · $678,265 to $1.5MSep 20, 2022 to Feb 1, 2023
- RAUM · $248M to $203MSep 20, 2022 to Feb 1, 2023
- Advisory employees · 4 to 5Mar 16, 2021 to Mar 28, 2022
- HNW clients · 11 to 12Mar 16, 2021 to Mar 28, 2022
- Employees · 6 to 7Mar 16, 2021 to Mar 28, 2022
Signals
2 dated events
- B••••• C••• C••••••• L•• reported RAUM $393.2M, up 47% from $267.2M (2024-03-27 to 2025-03-17)Mar 17, 2025 · RAUM change · derived
- B••••• C••• C••••••• L•• filed its initial SEC registration (Form ADV)Apr 30, 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.
How to reach
public business contact points only, each with its source
- Website
- B•••••C•••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-265-8554reportedpublic record, Form ADV, Apr 20, 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
- Institutional managerderiveda 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