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

B• R•••• A•••• M••••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 157160SEC 801-78852IAPD
Latest filing Feb 17, 2015
First filing on the tape Nov 18, 2013 · 8 filings
RAUM
$22.5M
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
7
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$11.4M gross assets
History
8 filings and snapshots on the tape
RAUM$22.5M as of Feb 17, 2015
Mar 28, 2014$21.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Feb 17, 2015
Mar 28, 20146 then
Employees (5.A)7 as of Feb 17, 2015
Mar 28, 20147 then
Private funds2 as of Feb 17, 2015
Mar 28, 20142 then
RAUM +4.3% over the last fiscal yearIARs 6 to 6
Practice profile
derived from the filing of Feb 17, 2015; every figure names its basis
RAUM per advisor
$3.7MderivedRAUM 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
$3.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
Custody
$839,111, 1 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)
  • 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)
  • 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)
  • has custody of client securities (9.A.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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$839,111 for 1 clientsreported
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K•••••••• T•••••• J••• · Membercontrol
      since 04/2013 · owns less than 5%
    • P••••••••• A••••••• V••••••• · Chief Compliance Officercontrol
      since 04/2013 · owns less than 5%
    • R••••• B•••••• R•••••• · Managing Membercontrol
      since 04/2013 · owns less than 5%
    • M••••• M••••••• R•••••• · Chief Financial Officer
      since 04/2013 · owns less than 5%
    Entity owners
    • B• R•••• F••••••••• I••• · Owner
      direct · owns 75% or more · public reporting company
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 3 to 7
      Nov 5, 2014 to Feb 17, 2015
    • BD registered reps · 6 to 7
      Nov 5, 2014 to Feb 17, 2015
    • Assets in custody · $675,000 to $839,111
      Nov 5, 2014 to Feb 17, 2015
    • Discretionary RAUM · $21.0M to $22.5M
      Nov 5, 2014 to Feb 17, 2015
    • RAUM · $21.0M to $22.5M
      Nov 5, 2014 to Feb 17, 2015
    • Discretionary RAUM · $21.5M to $21.0M
      Apr 10, 2014 to Aug 4, 2014
    • RAUM · $21.5M to $21.0M
      Apr 10, 2014 to Aug 4, 2014
    • Accounts · unset to 3.0
      Jan 2, 2014 to Mar 28, 2014
    • Advisory activities · 3 to 4
      Jan 2, 2014 to Mar 28, 2014
    • Assets in custody · unset to 675000.0
      Jan 2, 2014 to Mar 28, 2014
    • Custody of client assets · false to true
      Jan 2, 2014 to Mar 28, 2014
    • Employees · 6 to 7
      Jan 2, 2014 to Mar 28, 2014
    • Insurance-licensed employees · 5 to 3
      Jan 2, 2014 to Mar 28, 2014
    • State-registered IARs · 5 to 6
      Jan 2, 2014 to Mar 28, 2014
    • Private funds · unset to 2
      Jan 2, 2014 to Mar 28, 2014
    • Discretionary RAUM · unset to 21535000.0
      Jan 2, 2014 to Mar 28, 2014
    • Non-discretionary RAUM · unset to 0.0
      Jan 2, 2014 to Mar 28, 2014
    • RAUM · unset to 21535000.0
      Jan 2, 2014 to Mar 28, 2014
    Signals
    1 dated events
    • B. Riley Asset Management, Llc filed its initial SEC registration (Form ADV)
      Nov 18, 2013 · 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.
    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-registered adviserderiveda 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