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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Former SEC-registered adviser

F••••••• B•• L•••••• A••••••• L•••••

FORMER SEC A••••••New York, New YorkCRD 155644SEC 801-72113IAPD
Latest filing Mar 29, 2023
First filing on the tape Mar 30, 2012 · 24 filings
RAUM
$3.0B
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
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$3.0B as of Mar 29, 2023
Mar 30, 2012$34.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Mar 30, 20120 then
Employees (5.A)0 as of Mar 29, 2023
Apr 1, 201312 then
Private funds: no history
RAUM +2.9% over the last fiscal year+4.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2023; every figure names its basis
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
$3.0BderivedRAUM 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 offices incl. principal (1.F.5)
RAUM growth, one year
+2.9%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 assets, performance-basedreportedItem 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
  • 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)
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• R••••••• J•• · Presidentcontrol
        since 11/2016 · owns less than 5%
      • G••••• T•••••• J•••• · Chief Executive Officercontrol
        since 11/2016 · owns less than 5%
      • M••••••• D••••• J••••• · Chief Operating Officer, Secretary And Treasurercontrol
        since 11/2016 · owns less than 5%
      • M•••••••• B••••• R•••• · Chief Financial Officercontrol
        since 11/2016 · owns less than 5%
      • M•••••••• A••••••••• H••• · Chief Compliance Officercontrol
        since 11/2016 · owns less than 5%
      Entity owners
      • B•••••• S••••• P••••••• L••••• · Sole Member
        direct · owns 75% or more
      • F••••••• R•••••••• I••• · Sole Member
        direct · owns 75% or more · public reporting company
      • F••••••• R••••••••• I••• · Sole Member
        indirect · owns 75% or more of B•••••• S••••• P••••••• L••••• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list F••••••• B•• L•••••• A••••••• L••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $2.9B to $3.0B
        Mar 31, 2022 to Mar 29, 2023
      • RAUM · $2.9B to $3.0B
        Mar 31, 2022 to Mar 29, 2023
      • Business name · B••• A••••••• L•• to F••••••• B•• L•••••• A••••••• L•••••
        Jan 31, 2022 to Mar 31, 2022
      • Discretionary RAUM · $2.7B to $2.9B
        Jan 31, 2022 to Mar 31, 2022
      • RAUM · $2.7B to $2.9B
        Jan 31, 2022 to Mar 31, 2022
      • Legal name · B••• A••••••• L•• to F••••••• B•• L•••••• A••••••• L•••••
        Jan 6, 2022 to Jan 31, 2022
      • Discretionary RAUM · $2.6B to $2.7B
        Sep 11, 2020 to Mar 23, 2021
      • RAUM · $2.6B to $2.7B
        Sep 11, 2020 to Mar 23, 2021
      • Other offices · 1 to 0
        Apr 30, 2019 to Mar 17, 2020
      • Discretionary RAUM · $2.5B to $2.6B
        Apr 30, 2019 to Mar 17, 2020
      • RAUM · $2.5B to $2.6B
        Apr 30, 2019 to Mar 17, 2020
      • Discretionary RAUM · $2.7B to $2.5B
        Dec 5, 2018 to Jan 31, 2019
      • RAUM · $2.7B to $2.5B
        Dec 5, 2018 to Jan 31, 2019
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $2.6B to $2.7B
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $2.6B to $2.7B
        Mar 31, 2017 to Mar 29, 2018
      • Accounts · 2 to 1
        Nov 30, 2016 to Mar 31, 2017
      • Advisory employees · 17 to 0
        Nov 30, 2016 to Mar 31, 2017
      • Employees · 26 to 0
        Nov 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $2.5B to $2.6B
        Nov 30, 2016 to Mar 31, 2017
      • RAUM · $2.5B to $2.6B
        Nov 30, 2016 to Mar 31, 2017
      • Related bank · false to true
        Nov 30, 2016 to Mar 31, 2017
      • Related broker-dealer · true to false
        Nov 30, 2016 to Mar 31, 2017
      • Accounts · 1 to 2
        Feb 19, 2016 to Mar 16, 2016
      • Advisory employees · 25 to 17
        Feb 19, 2016 to Mar 16, 2016
      • Employees · 25 to 26
        Feb 19, 2016 to Mar 16, 2016
      • Discretionary RAUM · $2.0B to $2.5B
        Feb 19, 2016 to Mar 16, 2016
      • RAUM · $2.0B to $2.5B
        Feb 19, 2016 to Mar 16, 2016
      • Discretionary RAUM · $900M to $2.0B
        Mar 27, 2014 to Mar 27, 2015
      • RAUM · $900M to $2.0B
        Mar 27, 2014 to Mar 27, 2015
      • Advisory employees · 8 to 25
        Sep 23, 2013 to Mar 27, 2014
      • BD registered reps · 2 to 0
        Sep 23, 2013 to Mar 27, 2014
      • Employees · 12 to 25
        Sep 23, 2013 to Mar 27, 2014
      • Discretionary RAUM · $230M to $900M
        Sep 23, 2013 to Mar 27, 2014
      • RAUM · $230M to $900M
        Sep 23, 2013 to Mar 27, 2014
      • Advisory employees · unset to 8.0
        Oct 1, 2012 to Apr 1, 2013
      • BD registered reps · unset to 2.0
        Oct 1, 2012 to Apr 1, 2013
      • Employees · unset to 12.0
        Oct 1, 2012 to Apr 1, 2013
      • Discretionary RAUM · $34.8M to $230M
        Oct 1, 2012 to Apr 1, 2013
      • RAUM · $34.8M to $230M
        Oct 1, 2012 to Apr 1, 2013
      Signals
      4 dated events
      • Milton Jonathan Nelson (Member, President And Senior Managing Director) no longer on Schedule A of F••••••• B•• L•••••• A••••••• L••••• (listed 2019-01-31, absent 2019-04-30)
        Apr 30, 2019 · Control person left · inference
      • Michael Glenn Creamer (Member, Vice President And Senior Managing Member) no longer on Schedule A of F••••••• B•• L•••••• A••••••• L••••• (listed 2019-01-31, absent 2019-04-30)
        Apr 30, 2019 · Control person left · inference
      • Jude Paul Salem (Member, Vice President And Senior Managing Member) no longer on Schedule A of F••••••• B•• L•••••• A••••••• L••••• (listed 2019-01-31, absent 2019-04-30)
        Apr 30, 2019 · Control person left · inference
      • Eugene Michael Paasche (Member) no longer on Schedule A of F••••••• B•• L•••••• A••••••• L••••• (listed 2019-01-31, absent 2019-04-30)
        Apr 30, 2019 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      FORMER SEC A••••••deriveda 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