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B••••• W••••• A•••••••
Independent wealth manager, based in San Mateo, California, reporting $147M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $147M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +7.4%
- Private clients
- 100% of RAUM, $147M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
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: 28 Jan 2026, RAUM $137M to $147M (+7.4%) on the Form ADV filed 28 Jan 2026, while advisors on the filing rose 1 to 1.
Every filed figure, and the identifiersCRD 154878 · SEC 801-123576 · 10 filingsShowHide
CRD 154878SEC 801-123576Legal name B••• L••First filing on the tape Mar 1, 2022, latest Jan 28, 2026SEC status approved since Mar 31, 2022IAPD
RAUM
$147M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$147M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$147M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$147M as of Jan 28, 2026
Jan 13, 2023$102M then
HNW client RAUM$135M as of Jan 28, 2026
Jan 13, 2023$97.2M then
State-registered IARs (5.B.3)1 as of Jan 28, 2026
Jan 13, 20231 then
Employees (5.A)1 as of Jan 28, 2026
Jan 13, 20231 then
Private funds: no history
RAUM +7.4% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 28, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShowHide
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $147MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $638,637derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $133MreportedItem 5.I
- Custody
- $17.5M, 23 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$135M92%
- Individuals$11.5M7.8%
- Individual clients
- 15reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 230reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $2.2M sponsored, $129M managedreported
- Custody of client assets
- $17.5M for 23 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- B•••• M•••••• B••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 8, 2010 · Wirehouse to independent RIA
Advisors registered through the firm
1 on IAPD today; the 10 longest tenured
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• M•••••• B•••••Certified Financial Planner | San Mateo, Ca | Oct 8, 2010 | 27 y | 1 |
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• B••••• M•••••• · Managing Member & Chief Compliance Officercontrolsince 10/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jan 28, 2026discretionary share of RAUM of 0% against a peer median of 100% (5682 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,682) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 236 to 230Sep 11, 2025 to Jan 28, 2026
- HNW clients · 42 to 45Sep 11, 2025 to Jan 28, 2026
- Individual clients · 17 to 15Sep 11, 2025 to Jan 28, 2026
- Assets in custody · $10.4M to $17.5MSep 11, 2025 to Jan 28, 2026
- HNW RAUM · $125M to $135MSep 11, 2025 to Jan 28, 2026
Full history · 44 changesShow fewer
- Individual RAUM · $11.9M to $11.5MSep 11, 2025 to Jan 28, 2026
- Non-discretionary RAUM · $137M to $147MSep 11, 2025 to Jan 28, 2026
- RAUM · $137M to $147MSep 11, 2025 to Jan 28, 2026
- Wrap assets (manager) · $128M to $129MSep 11, 2025 to Jan 28, 2026
- Wrap assets (sponsor) · $2.4M to $2.2MSep 11, 2025 to Jan 28, 2026
- Accounts · 231 to 236Feb 6, 2024 to Jan 23, 2025
- HNW clients · 48 to 42Feb 6, 2024 to Jan 23, 2025
- Individual clients · 9 to 17Feb 6, 2024 to Jan 23, 2025
- Assets in custody · $10.7M to $10.4MFeb 6, 2024 to Jan 23, 2025
- Financial planning clients · 0 to 1-10Feb 6, 2024 to Jan 23, 2025
- HNW RAUM · $115M to $125MFeb 6, 2024 to Jan 23, 2025
- Individual RAUM · $4.3M to $11.9MFeb 6, 2024 to Jan 23, 2025
- Non-discretionary RAUM · $120M to $137MFeb 6, 2024 to Jan 23, 2025
- RAUM · $120M to $137MFeb 6, 2024 to Jan 23, 2025
- Wrap assets (manager) · $116M to $128MFeb 6, 2024 to Jan 23, 2025
- Wrap assets (sponsor) · $2.3M to $2.4MFeb 6, 2024 to Jan 23, 2025
- Accounts · 216 to 231Jan 27, 2023 to Feb 6, 2024
- Corporate clients · 1.0 to unsetJan 27, 2023 to Feb 6, 2024
- HNW clients · 46 to 48Jan 27, 2023 to Feb 6, 2024
- Individual clients · 10 to 9Jan 27, 2023 to Feb 6, 2024
- Assets in custody · $13.9M to $10.7MJan 27, 2023 to Feb 6, 2024
- HNW RAUM · $97.2M to $115MJan 27, 2023 to Feb 6, 2024
- Individual RAUM · $4.7M to $4.3MJan 27, 2023 to Feb 6, 2024
- Non-discretionary RAUM · $102M to $120MJan 27, 2023 to Feb 6, 2024
- RAUM · $102M to $120MJan 27, 2023 to Feb 6, 2024
- Wrap assets (manager) · $99.2M to $116MJan 27, 2023 to Feb 6, 2024
- Wrap assets (sponsor) · $2.2M to $2.3MJan 27, 2023 to Feb 6, 2024
- Accounts · 196 to 216Sep 15, 2022 to Jan 13, 2023
- Corporate clients · unset to 1.0Sep 15, 2022 to Jan 13, 2023
- HNW clients · 48 to 46Sep 15, 2022 to Jan 13, 2023
- Individual clients · 4 to 10Sep 15, 2022 to Jan 13, 2023
- Assets in custody · $22.1M to $13.9MSep 15, 2022 to Jan 13, 2023
- Financial planning clients · 1-10 to 0Sep 15, 2022 to Jan 13, 2023
- HNW RAUM · $114M to $97.2MSep 15, 2022 to Jan 13, 2023
- Individual RAUM · $1.8M to $4.7MSep 15, 2022 to Jan 13, 2023
- Non-discretionary RAUM · $115M to $102MSep 15, 2022 to Jan 13, 2023
- RAUM · $115M to $102MSep 15, 2022 to Jan 13, 2023
- Wrap assets (manager) · $113M to $99.2MSep 15, 2022 to Jan 13, 2023
- Wrap assets (sponsor) · $115M to $2.2MSep 15, 2022 to Jan 13, 2023
Signals
1 dated events
- ••• LockedMar 1, 2022 · 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
- ••• Lockedreportedpublic record, Form ADV, Jan 28, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jan 28, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $147Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026