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
R•••• I••••••••• S••••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Jan 23, 2012 · 31 filings
SEC status approved since Jan 20, 2010
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$0 as of Mar 16, 2026
Jan 23, 2012$114M then
HNW client RAUM$0 as of Mar 16, 2026
Mar 26, 2018$0 then
State-registered IARs (5.B.3)3 as of Mar 16, 2026
Feb 21, 20135 then
Employees (5.A)17 as of Mar 16, 2026
Feb 21, 20135 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 4 to 3
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- selection of other advisers, otherreportedItem 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)
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
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
- S••• B••••• to H•••••••• A•••••••• L••Dec 31, 2023 · Other
- A••••• M•••••• B•••• to L••••• C•••••• G•••• C••••••••• I•••Dec 31, 2023 · Other
Joined, latest
- S••• B••••• from L••••• C•••••• G•••• C••••••••• I•••Feb 3, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• R••••••• E••• · Chief Executive Officercontrolsince 08/2009 · owns less than 5%
- B••••• A•••••• M•••••• · Chief Financial Officer And Chief Investment Officercontrolsince 08/2009 · owns less than 5%
- B•••••• B••••• C•••••• · Presidentcontrolsince 08/2009 · owns less than 5%
- L•••••• K••• A•• · Chief Operating Officercontrolsince 08/2009 · owns less than 5%
- B•••• R••••••• E••• · Trusteecontrolsince 08/2009 · owns F of T•• R•••••• E• B••• R•••••••• T••••
- B••••• A•••••• M•••••• · Trusteecontrolsince 08/2009 · owns F of T•• B•••• R•••••••• T••••
- B•••••• B••••• C•••••• · Trusteecontrolsince 08/2009 · owns 75% or more of T•• B•••• C• B••••• R•••••••• T••••
- L•••••• K••• A•• · Trusteecontrolsince 08/2009 · owns F of T•• L••••• R•••••••• T••••
- E••••••••• L••••• S•••• · Chief Compliance Officersince 07/2023 · owns less than 5%
Entity owners
- T•• B•••• C• B••••• R•••••••• T•••• · Managing Memberdirect · owns 25% to 50%
- T•• R•••••• E• B••• R•••••••• T•••• · Managing Memberdirect · owns 25% to 50%
- T•• B•••• R•••••••• T•••• · Managing Memberdirect · owns 10% to 25%
- T•• L••••• R•••••••• T•••• · Managing Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- L••••• C•••••• G•••• C••••••••• I•••investment advisernRAUM $536M
Advisers that list R•••• I••••••••• S••••••••• L•• as a related person
- 111436 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Gatos, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Nov 5, 2025 to Mar 16, 2026
- BD registered reps · 6 to 5Nov 5, 2025 to Mar 16, 2026
- Employees · 18 to 17Nov 5, 2025 to Mar 16, 2026
- State-registered IARs · 4 to 3Nov 5, 2025 to Mar 16, 2026
- Financial planning clients · 0 to 0Apr 17, 2025 to Nov 5, 2025
- Accounts · unset to 0.0Jul 17, 2024 to Apr 17, 2025
- State-registered IARs · 3 to 4Jul 17, 2024 to Apr 17, 2025
- Discretionary RAUM · unset to 0.0Jul 17, 2024 to Apr 17, 2025
- Non-discretionary RAUM · unset to 0.0Jul 17, 2024 to Apr 17, 2025
- RAUM · unset to 0.0Jul 17, 2024 to Apr 17, 2025
- Accounts · 0.0 to unsetAug 23, 2023 to Mar 20, 2024
- HNW clients · 0.0 to unsetAug 23, 2023 to Mar 20, 2024
- Individual clients · 0.0 to unsetAug 23, 2023 to Mar 20, 2024
- Pooled vehicle clients · 0.0 to unsetAug 23, 2023 to Mar 20, 2024
- Employees · 14 to 18Aug 23, 2023 to Mar 20, 2024
- Discretionary RAUM · 0.0 to unsetAug 23, 2023 to Mar 20, 2024
- HNW RAUM · unset to 0.0Aug 23, 2023 to Mar 20, 2024
- Individual RAUM · unset to 0.0Aug 23, 2023 to Mar 20, 2024
- Non-discretionary RAUM · 0.0 to unsetAug 23, 2023 to Mar 20, 2024
- Pension RAUM · unset to 0.0Aug 23, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · unset to 0.0Aug 23, 2023 to Mar 20, 2024
- RAUM · 0.0 to unsetAug 23, 2023 to Mar 20, 2024
- Accounts · 1,626 to 0Jan 26, 2023 to Mar 31, 2023
- Advisory employees · 3 to 4Jan 26, 2023 to Mar 31, 2023
- Advisory activities · 3 to 2Jan 26, 2023 to Mar 31, 2023
- BD registered reps · 5 to 6Jan 26, 2023 to Mar 31, 2023
- HNW clients · 101 to 0Jan 26, 2023 to Mar 31, 2023
- Individual clients · 107 to 0Jan 26, 2023 to Mar 31, 2023
- Pooled vehicle clients · 2 to 0Jan 26, 2023 to Mar 31, 2023
- Assets in custody · $52.0M to $0Jan 26, 2023 to Mar 31, 2023
- Custody of client assets · true to falseJan 26, 2023 to Mar 31, 2023
- Insurance-licensed employees · 0 to 3Jan 26, 2023 to Mar 31, 2023
- Discretionary RAUM · $384M to $0Jan 26, 2023 to Mar 31, 2023
- HNW RAUM · 358255401.0 to unsetJan 26, 2023 to Mar 31, 2023
- Individual RAUM · 24230331.0 to unsetJan 26, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · 1032075.0 to unsetJan 26, 2023 to Mar 31, 2023
- RAUM · $384M to $0Jan 26, 2023 to Mar 31, 2023
- Accounts · 1,450 to 1,626Mar 18, 2021 to Feb 2, 2022
- HNW clients · 55 to 101Mar 18, 2021 to Feb 2, 2022
- Individual clients · 178 to 107Mar 18, 2021 to Feb 2, 2022
Signals
5 dated events
- Brent Charles Bunger no longer registered at R•••• I••••••••• S••••••••• L••; no later IA registration on IAPDDec 31, 2023 · Advisor departure · fact
- S••• B••••• left R•••• I••••••••• S••••••••• L•• for H•••••••• A•••••••• L•• (registered 2026-02-12)Dec 31, 2023 · Advisor changed firm · fact
- A••••• M•••••• B•••• left R•••• I••••••••• S••••••••• L•• for L••••• C•••••• G•••• C••••••••• I••• (registered 2024-05-30)Dec 31, 2023 · Advisor changed firm · fact
- Richard Evan Baer no longer registered at R•••• I••••••••• S••••••••• L••; no later IA registration on IAPDDec 31, 2023 · Advisor departure · fact
- R•••• I••••••••• S••••••••• L•• reported RAUM $0, down 100% from $383.5M (2023-01-26 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
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
- Principal office phone
- 408-399-6330reportedpublic record, Form ADV, Mar 16, 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
- No RAUM reportedderiveda 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