DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

B•••••• C•••••• M•••••••••

Asset manager (funds and pooled vehicles)SEC-registered· San Francisco, California

Asset manager (funds and pooled vehicles), based in San Francisco, California, reporting $123M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$123M
Form ADV
Advisors
0
IAPD
RAUM change, 1 year
+18%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 17 Mar 2026, RAUM $104M to $123M (+17.6%) on the Form ADV filed 17 Mar 2026.

Every filed figure, and the identifiersCRD 154344 · SEC 801-71709 · 18 filingsShow
CRD 154344SEC 801-71709Legal name B•••••• C•••••• M••••••••• L••First filing on the tape Feb 27, 2012, latest Mar 17, 2026SEC status approved since Jul 29, 2010IAPD
RAUM
$123M
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
Not computed
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape

RAUM +25% a year over three years · the tape starts Feb 27, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$123M as of Mar 17, 2026
Feb 27, 2012$2.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Feb 27, 20120 then
Employees (5.A)2 as of Mar 17, 2026
Apr 1, 20131 then
Private funds: no history
RAUM +18% over the last fiscal year+25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
unknownderivedHNW RAUM over HNW clients
Average account
$123MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
+18%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 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% investment companies

The breakdown by client type, and the client counts1 client typesShow
  • Investment companies$123M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••••• R••••••• L••••• · Member And Portfolio Managercontrol
        since 04/2015 · owns 50% to 75%
      • D•••••• S••••••• J••••• · Managing Member And Chief Compliance Officercontrol
        since 01/2010 · owns 50% to 75%
      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
      • Discretionary RAUM · $104M to $123M
        Mar 11, 2025 to Mar 17, 2026
      • RAUM · $104M to $123M
        Mar 11, 2025 to Mar 17, 2026
      • Financial planning clients · unset to
        Mar 26, 2024 to Mar 11, 2025
      • Discretionary RAUM · $83.5M to $104M
        Mar 26, 2024 to Mar 11, 2025
      • RAUM · $83.5M to $104M
        Mar 26, 2024 to Mar 11, 2025
      Full history · 38 changes
      • Discretionary RAUM · $62.7M to $83.5M
        Mar 16, 2023 to Mar 26, 2024
      • RAUM · $62.7M to $83.5M
        Mar 16, 2023 to Mar 26, 2024
      • Discretionary RAUM · $67.5M to $62.7M
        Mar 23, 2022 to Mar 16, 2023
      • RAUM · $67.5M to $62.7M
        Mar 23, 2022 to Mar 16, 2023
      • Discretionary RAUM · $49.1M to $67.5M
        Mar 10, 2021 to Mar 23, 2022
      • RAUM · $49.1M to $67.5M
        Mar 10, 2021 to Mar 23, 2022
      • Discretionary RAUM · $42.1M to $49.1M
        Mar 16, 2020 to Mar 10, 2021
      • RAUM · $42.1M to $49.1M
        Mar 16, 2020 to Mar 10, 2021
      • Discretionary RAUM · $28.1M to $42.1M
        Mar 18, 2019 to Mar 16, 2020
      • RAUM · $28.1M to $42.1M
        Mar 18, 2019 to Mar 16, 2020
      • Discretionary RAUM · $30.8M to $28.1M
        Mar 7, 2018 to Mar 18, 2019
      • RAUM · $30.8M to $28.1M
        Mar 7, 2018 to Mar 18, 2019
      • Other offices · unset to 0.0
        Jan 30, 2017 to Mar 7, 2018
      • Discretionary RAUM · $24.7M to $30.8M
        Jan 30, 2017 to Mar 7, 2018
      • RAUM · $24.7M to $30.8M
        Jan 30, 2017 to Mar 7, 2018
      • Discretionary RAUM · $20.5M to $24.7M
        Mar 28, 2016 to Jan 30, 2017
      • RAUM · $20.5M to $24.7M
        Mar 28, 2016 to Jan 30, 2017
      • Discretionary RAUM · $11.6M to $20.5M
        Sep 3, 2015 to Mar 28, 2016
      • RAUM · $11.6M to $20.5M
        Sep 3, 2015 to Mar 28, 2016
      • Succession · true to false
        May 12, 2015 to Sep 3, 2015
      • Advisory employees · 1 to 2
        Mar 16, 2015 to May 12, 2015
      • Employees · 1 to 2
        Mar 16, 2015 to May 12, 2015
      • Discretionary RAUM · $10.5M to $11.6M
        Mar 16, 2015 to May 12, 2015
      • RAUM · $10.5M to $11.6M
        Mar 16, 2015 to May 12, 2015
      • Succession · false to true
        Mar 16, 2015 to May 12, 2015
      • Discretionary RAUM · $7.9M to $10.5M
        Feb 24, 2014 to Mar 16, 2015
      • RAUM · $7.9M to $10.5M
        Feb 24, 2014 to Mar 16, 2015
      • Discretionary RAUM · $5.4M to $7.9M
        Apr 24, 2013 to Feb 24, 2014
      • RAUM · $5.4M to $7.9M
        Apr 24, 2013 to Feb 24, 2014
      • Advisory employees · unset to 1.0
        Feb 27, 2012 to Apr 1, 2013
      • Employees · unset to 1.0
        Feb 27, 2012 to Apr 1, 2013
      • Discretionary RAUM · $2.8M to $5.4M
        Feb 27, 2012 to Apr 1, 2013
      • RAUM · $2.8M to $5.4M
        Feb 27, 2012 to Apr 1, 2013
      Signals
      1 dated events
      • ••• Locked
        May 12, 2015 · Succession (Item 4) · 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
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 17, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.