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
B•••••••• C•••••• M••••••••• L••
Latest filing Jul 16, 2026
First filing on the tape Feb 14, 2013 · 55 filings
SEC status approved since Feb 25, 2013
RAUM
$390M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.4%
$5.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$390M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
55 filings and snapshots on the tape
RAUM$390M as of Jul 16, 2026
Mar 28, 2014$194M then
HNW client RAUM$5.0M as of Jul 16, 2026
Mar 28, 2018$85.2M then
State-registered IARs (5.B.3)2 as of Jul 16, 2026
Mar 28, 20147 then
Employees (5.A)4 as of Jul 16, 2026
Mar 28, 20147 then
Private funds1 as of Jul 16, 2026
Mar 24, 20152 then
RAUM +11% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one a••••••, or a wealth manager with up to three a••••••s and one office
- RAUM per advisor
- $390MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $39.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -71%derived
- 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 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$353M90%
- Pooled investment vehicles$31.8M8.2%
- High-net-worth individuals$5.0M1.3%
- Individuals$570,6890.1%
- Individual clients
- 4reported
- HNW clients
- 1reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.99 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• C• S••••••• | San Juan, Pr | Feb 14, 2013 | 24 y | 3 |
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
- A••••• J• G••••••• to A•••• C••••••Jun 30, 2022 · Other
- A•••••• J• F•••• to M•• W••••• M••••••••• L••May 6, 2021 · Other
- L•• A••••• C•••• to A•••• C••••••Jan 13, 2021 · Other
- K•••••• R•••••• S•••• to D•••••• C•••••• M••••••••• L••Oct 1, 2020 · Other
- J•••• N••••• P•••••••• to A•••• C••••••Jun 18, 2020 · Other
- R•••••• S•••• C••••••••• to A•••• C••••••May 28, 2020 · Other
- R••••• E••••• F••• to A•••• C••••••May 28, 2020 · Other
- F•••••••• C•••••• P••••• to A•••• C••••••Feb 4, 2020 · Other
- C•••••• L• R••• to A••••••••• F•••••••• S•••••••• L••Dec 31, 2019 · Other
- C••••••••• R••• C••••••• to C•••••••• P•••••••• C••••••••• L••May 24, 2018 · Other
- R•••••• G••• M••••• to P•••• S••••••••• L••May 24, 2018 · Other
- J••• F•••••• M••••••• to A•••• C••••••Nov 15, 2017 · Other
- M•••• L••• D••••••• to L•••••• I•••••••••Mar 4, 2015 · Other
- J•••• D••• H••••••••• to S•••• T••• I••••••••• A•••••••Dec 24, 2014 · Other
Joined, latest
- C•••••• L• R••• from F•••• T•••• A••••••• L•Oct 3, 2019 · Other
- C••••••••• R••• C••••••• from B•• I••••••••• M••••••••• I•••Aug 8, 2017 · Other
- J•••• N••••• P•••••••• from A•••••• C•••••• P•••••••• L••Oct 15, 2014 · Other
- A•••••• J• F•••• from N•• A•••••• S•••••••• L••Oct 15, 2014 · Other
- R•••••• S•••• C••••••••• from N•• A•••••• S•••••••• L••Oct 15, 2014 · Other
- R••••• E••••• F••• from A•••••• C•••••• P•••••••• L••Oct 15, 2014 · Other
- K•••••• R•••••• S•••• from C•• I••••••••• M••••••••• L••Jan 28, 2014 · Other
- B•••• C• S••••••• from C•• F•••••••• P•••••••• I••Feb 14, 2013 · Other
- M•••• L••• D••••••• from V••••• B•••• C•••••• G••••Sep 23, 2011 · Other
- J•••• D••• H••••••••• from V••••• B•••• C•••••• G••••Sep 23, 2011 · Other
- L•• A••••• C•••• from V••••• B•••• C•••••• G••••Sep 23, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A•••• C••••••May 28, 2020 · Wayne, Pa
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• F••• L• | Hedge Fund | $36.1M | 25 | Nov 19, 2014 |
| P•••••• P••••• L• | Hedge Fund | $2.8M | 3 | Mar 29, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• W•••• C••••••••• · Chief Compliance Officercontrolsince 04/2023 · owns less than 5%
- S•••••••• B••••• C• · Chief Executive Officercontrolsince 09/2012 · owns less than 5%
- S•••••••• B••••• C• · Ownercontrolsince 09/2012 · owns 75% or more of R• P•••••••• I•••
Entity owners
- R• P•••••••• I••• · Member (S Corporation)direct · owns 75% or more
Related persons
Schedule D 7.A
- M•• S••••••••• L••broker-dealery
Offices
Schedule D 1.F, the 25 largest
- Humacao, PR2 employees
What changed
consecutive filings, newest first
- Accounts · 96 to 10Mar 31, 2025 to Mar 23, 2026
- Advisory employees · 4 to 2Mar 31, 2025 to Mar 23, 2026
- BD registered reps · 4 to 2Mar 31, 2025 to Mar 23, 2026
- Individual clients · 16 to 4Mar 31, 2025 to Mar 23, 2026
- Pooled vehicle clients · 2 to 1Mar 31, 2025 to Mar 23, 2026
- Private funds · 2 to 1Mar 31, 2025 to Mar 23, 2026
- Discretionary RAUM · $352M to $390MMar 31, 2025 to Mar 23, 2026
- HNW RAUM · $196,328 to $5.0MMar 31, 2025 to Mar 23, 2026
- Individual RAUM · $1.5M to $570,689Mar 31, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $37.0M to $31.8MMar 31, 2025 to Mar 23, 2026
- RAUM · $352M to $390MMar 31, 2025 to Mar 23, 2026
- Accounts · 174 to 96Mar 18, 2024 to Mar 31, 2025
- a••••••y activity count · 4 to 5Mar 18, 2024 to Mar 31, 2025
- HNW clients · 171 to 1Mar 18, 2024 to Mar 31, 2025
- Individual clients · 0 to 16Mar 18, 2024 to Mar 31, 2025
- Insurance-licensed employees · 2 to 0Mar 18, 2024 to Mar 31, 2025
- fin p••••••• clients · unset to Mar 18, 2024 to Mar 31, 2025
- Discretionary RAUM · $281M to $352MMar 18, 2024 to Mar 31, 2025
- HNW RAUM · $14.2M to $196,328Mar 18, 2024 to Mar 31, 2025
- Individual RAUM · $0 to $1.5MMar 18, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $38.8M to $37.0MMar 18, 2024 to Mar 31, 2025
- RAUM · $281M to $352MMar 18, 2024 to Mar 31, 2025
- Accounts · 253 to 174Sep 25, 2023 to Mar 18, 2024
- HNW clients · 250 to 171Sep 25, 2023 to Mar 18, 2024
- Discretionary RAUM · $225M to $281MSep 25, 2023 to Mar 18, 2024
- HNW RAUM · $15.1M to $14.2MSep 25, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $42.6M to $38.8MSep 25, 2023 to Mar 18, 2024
- RAUM · $225M to $281MSep 25, 2023 to Mar 18, 2024
- Accounts · 341 to 253Apr 20, 2023 to Sep 25, 2023
- HNW clients · 341 to 250Apr 20, 2023 to Sep 25, 2023
- Assets in custody · 45200000.0 to unsetApr 20, 2023 to Sep 25, 2023
- Custody of client assets · true to falseApr 20, 2023 to Sep 25, 2023
- Discretionary RAUM · $243M to $225MApr 20, 2023 to Sep 25, 2023
- HNW RAUM · $18.1M to $15.1MApr 20, 2023 to Sep 25, 2023
- Pooled vehicle RAUM · $45.2M to $42.6MApr 20, 2023 to Sep 25, 2023
- RAUM · $243M to $225MApr 20, 2023 to Sep 25, 2023
- Accounts · 344 to 341Mar 21, 2023 to Mar 29, 2023
- Assets in custody · unset to 45200000.0Mar 21, 2023 to Mar 29, 2023
- Custody of client assets · false to trueMar 21, 2023 to Mar 29, 2023
- Discretionary RAUM · $265M to $243MMar 21, 2023 to Mar 29, 2023
Signals
10 dated events
- A••••• Lee C•••• (Owner) no longer on Schedule A of B•••••••• C•••••• M••••••••• L•• (listed 2023-04-20, absent 2023-09-25)Sep 25, 2023 · Control person left · inference
- C••••••••• W••• B••••• (Chief Compliance Officer) appeared on Schedule A of B•••••••• C•••••• M••••••••• L••Apr 20, 2023 · Control person joined · fact
- E••••• D•••• M•••••• (Chief Compliance Officer) no longer on Schedule A of B•••••••• C•••••• M••••••••• L•• (listed 2023-03-29, absent 2023-04-10)Apr 10, 2023 · Control person left · inference
- B•••••••• C•••••• M••••••••• L•• reported RAUM $217.4M, down 87% from $1.7B (2022-07-14 to 2022-09-22)Sep 22, 2022 · RAUM change · derived
- A••••• J• G••••••• left B•••••••• C•••••• M••••••••• L•• for A•••• C•••••• (registered 2020-01-02)Jun 30, 2022 · a•••••• firm change · fact
- B•••••••• C•••••• M••••••••• L•• reported RAUM $1.7B, down 26% from $2.3B (2021-03-31 to 2022-03-27)Mar 27, 2022 · RAUM change · derived
- E••••• D•••• M•••••• (Chief Compliance Officer) appeared on Schedule A of B•••••••• C•••••• M••••••••• L••Oct 28, 2020 · Control person joined · fact
- R•••••• K•••••• S•••• (Cco) no longer on Schedule A of B•••••••• C•••••• M••••••••• L•• (listed 2020-08-26, absent 2020-10-28)Oct 28, 2020 · Control person left · inference
- B•••••••• C•••••• M••••••••• L•• reported 8 state-registered a••••••y representatives, down from 20 (2019-10-18 to 2020-03-27)Mar 27, 2020 · ria a•••••• headcount change · derived
- B•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 14, 2013 · ria f•••• adv filing · 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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-337-6500reportedpublic record, Form ADV, Jul 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $390Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026