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•• F••••• O••••• A•

Former SEC-registered adviser8002 Zurich, CRD 158222SEC 801-72710IAPD
Latest filing Jan 31, 2019
First filing on the tape Apr 10, 2012 · 21 filings
RAUM
$4.5M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
100%
$4.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$4.5M as of Jan 25, 2019
Apr 10, 2012$110M then
HNW client RAUM$3.2M as of Jan 25, 2019
Jan 31, 2018$78.3M then
State-registered IARs (5.B.3)0 as of Jan 25, 2019
Mar 8, 20130 then
Employees (5.A)3 as of Jan 25, 2019
Mar 8, 20132 then
Private funds: no history
RAUM -95% over the last fiscal year-73% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 31, 2019; 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
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
89%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
-95%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 individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$3.2M70%
  • Individuals$1.4M30%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
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••••••• J•••••••• · Ceocontrol
        since 09/2017 · owns less than 5%
      • G•••••• V••••• · Coo/Chief Compliance Officercontrol
        since 01/2019 · owns less than 5%
      • B••••••• C•••••• · Ownercontrol
        since 09/2017 · owns 50% to 75% of A••••• H•••••• A•
      • B••••••• Y••• · Ownercontrol
        since 09/2017 · owns 25% to 50% of A••••• H•••••• A•
      • M•••• G•••••• N•••• · Ownercontrol
        since 02/2018 · owns 25% to 50% of A••••• H•••••• A•
      Entity owners
      • A••••• H•••••• A• · Owner
        direct · owns 75% or more
      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 · 28 to 4
        Dec 4, 2018 to Jan 25, 2019
      • HNW clients · 16.0 to unset
        Dec 4, 2018 to Jan 25, 2019
      • Individual clients · 12.0 to unset
        Dec 4, 2018 to Jan 25, 2019
      • Financial planning clients · 0 to unset
        Dec 4, 2018 to Jan 25, 2019
      • Discretionary RAUM · $27.4M to $4.0M
        Dec 4, 2018 to Jan 25, 2019
      • HNW RAUM · $78.3M to $3.2M
        Dec 4, 2018 to Jan 25, 2019
      • Individual RAUM · $5.4M to $1.4M
        Dec 4, 2018 to Jan 25, 2019
      • Non-discretionary RAUM · $56.3M to $500,216
        Dec 4, 2018 to Jan 25, 2019
      • RAUM · $83.7M to $4.5M
        Dec 4, 2018 to Jan 25, 2019
      • Related adviser · false to true
        Mar 2, 2018 to Mar 14, 2018
      • Advisory employees · 1 to 2
        Jan 9, 2018 to Jan 31, 2018
      • Charity clients · unset to 0.0
        Jan 9, 2018 to Jan 31, 2018
      • Corporate clients · unset to 0.0
        Jan 9, 2018 to Jan 31, 2018
      • HNW clients · unset to 16.0
        Jan 9, 2018 to Jan 31, 2018
      • Individual clients · unset to 12.0
        Jan 9, 2018 to Jan 31, 2018
      • Pension plan clients · unset to 0.0
        Jan 9, 2018 to Jan 31, 2018
      • Pooled vehicle clients · unset to 0.0
        Jan 9, 2018 to Jan 31, 2018
      • Employees · 2 to 3
        Jan 9, 2018 to Jan 31, 2018
      • HNW RAUM · unset to 78290809.0
        Jan 9, 2018 to Jan 31, 2018
      • Individual RAUM · unset to 5366699.0
        Jan 9, 2018 to Jan 31, 2018
      • Pension RAUM · unset to 0.0
        Jan 9, 2018 to Jan 31, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Jan 9, 2018 to Jan 31, 2018
      • Accounts · 62 to 28
        Dec 18, 2017 to Jan 9, 2018
      • Discretionary RAUM · $60.8M to $27.4M
        Dec 18, 2017 to Jan 9, 2018
      • Non-discretionary RAUM · $87.7M to $56.3M
        Dec 18, 2017 to Jan 9, 2018
      • RAUM · $149M to $83.7M
        Dec 18, 2017 to Jan 9, 2018
      • HQ city · 8022 ZURICH to 8002 ZURICH
        Dec 6, 2017 to Dec 18, 2017
      • HQ city · 8002 ZURICH to 8022 ZURICH
        Sep 29, 2017 to Dec 6, 2017
      • Other offices · unset to 0.0
        Sep 29, 2017 to Dec 6, 2017
      • Accounts · 59 to 62
        Dec 23, 2016 to Mar 28, 2017
      • Advisory employees · 2 to 1
        Dec 23, 2016 to Mar 28, 2017
      • Employees · 3 to 2
        Dec 23, 2016 to Mar 28, 2017
      • Discretionary RAUM · $93.1M to $60.8M
        Dec 23, 2016 to Mar 28, 2017
      • Non-discretionary RAUM · $128M to $87.7M
        Dec 23, 2016 to Mar 28, 2017
      • RAUM · $221M to $149M
        Dec 23, 2016 to Mar 28, 2017
      • Accounts · 58 to 59
        Jan 21, 2015 to Feb 1, 2016
      • Employees · 5 to 3
        Jan 21, 2015 to Feb 1, 2016
      • State-registered IARs · 1 to 0
        Jan 21, 2015 to Feb 1, 2016
      • Discretionary RAUM · $138M to $93.1M
        Jan 21, 2015 to Feb 1, 2016
      • Non-discretionary RAUM · $85.5M to $128M
        Jan 21, 2015 to Feb 1, 2016
      Signals
      2 dated events
      • V••••• G••••• (Coo/Chief Compliance Officer) appeared on Schedule A of B•• F••••• O••••• A•
        Jan 31, 2019 · Control person joined · fact
      • D••••• M•••• (Coo) no longer on Schedule A of B•• F••••• O••••• A• (listed 2019-01-28, absent 2019-01-31)
        Jan 31, 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-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