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
M•••••• F••••• A•••••••• I•••
Latest filing Mar 30, 2018
First filing on the tape Dec 12, 2011 · 24 filings
RAUM
$68.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$68.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$68.7M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$68.7M as of Mar 29, 2018
Apr 18, 2013$203M then
HNW client RAUM: $66.9M
State-registered IARs (5.B.3)1 as of Mar 29, 2018
Apr 18, 20130 then
Employees (5.A)1 as of Mar 29, 2018
Apr 18, 20132 then
Private funds: no history
RAUM -3.8% over the last fiscal year-13% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Mar 30, 2018; every figure names its basis
- RAUM per advisor
- $68.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.4MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.8%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$66.9M97%
- Individuals$1.8M2.7%
- Individual clients
- 5reported
- HNW clients
- 8reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 31reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• J••••• B•••••••• | San Jose, Ca | Apr 9, 2018 | 39 y | 5 |
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 headcount1 left over 36 months
Left, latest
- J••••• A•••••• P•••• to M•••••• F••••••••• L••Nov 20, 2023 · RIA to a state-registered adviser
Joined, latest
- J••• J••••• B•••••••• from O•• F••••• A•••••••• L••Nov 30, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• J•••• J••••• · Owner, President, Ccocontrolsince 10/2011 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Jose, Ca | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Santa Clara, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 33 to 31Mar 27, 2018 to Mar 29, 2018
- State-registered IARs · 0 to 1Mar 20, 2018 to Mar 27, 2018
- Employees · 2 to 1Jan 19, 2018 to Mar 1, 2018
- Accounts · 51 to 33Aug 16, 2017 to Jan 19, 2018
- HNW clients · unset to 8.0Aug 16, 2017 to Jan 19, 2018
- Individual clients · unset to 5.0Aug 16, 2017 to Jan 19, 2018
- Other offices · unset to 1.0Aug 16, 2017 to Jan 19, 2018
- Discretionary RAUM · $71.4M to $68.7MAug 16, 2017 to Jan 19, 2018
- HNW RAUM · unset to 66856805.0Aug 16, 2017 to Jan 19, 2018
- Individual RAUM · unset to 1823810.0Aug 16, 2017 to Jan 19, 2018
- RAUM · $71.4M to $68.7MAug 16, 2017 to Jan 19, 2018
- HQ city · EVANSTON to unsetJun 4, 2017 to Aug 16, 2017
- HQ state · IL to unsetJun 4, 2017 to Aug 16, 2017
- Accounts · 64 to 51Jun 23, 2016 to Apr 1, 2017
- Financial planning clients · 1-10 to 0Jun 23, 2016 to Apr 1, 2017
- Discretionary RAUM · $90.3M to $71.4MJun 23, 2016 to Apr 1, 2017
- RAUM · $90.3M to $71.4MJun 23, 2016 to Apr 1, 2017
- Accounts · 58 to 64Jan 11, 2016 to Jun 23, 2016
- Discretionary RAUM · $104M to $90.3MJan 11, 2016 to Jun 23, 2016
- RAUM · $104M to $90.3MJan 11, 2016 to Jun 23, 2016
- HQ city · CHICAGO to EVANSTONMar 4, 2015 to May 14, 2015
- Accounts · 51 to 58Apr 3, 2014 to Mar 4, 2015
- Discretionary RAUM · $101M to $104MApr 3, 2014 to Mar 4, 2015
- RAUM · $101M to $104MApr 3, 2014 to Mar 4, 2015
- Accounts · 49 to 51Apr 19, 2013 to Apr 3, 2014
- Discretionary RAUM · $203M to $101MApr 19, 2013 to Apr 3, 2014
- RAUM · $203M to $101MApr 19, 2013 to Apr 3, 2014
- Accounts · 75 to 49Dec 21, 2011 to Apr 18, 2013
- Advisory employees · unset to 1.0Dec 21, 2011 to Apr 18, 2013
- Employees · unset to 2.0Dec 21, 2011 to Apr 18, 2013
- Financial planning clients · 0 to 1-10Dec 21, 2011 to Apr 18, 2013
- State-registered IARs · unset to 0.0Dec 21, 2011 to Apr 18, 2013
- Discretionary RAUM · $100M to $203MDec 21, 2011 to Apr 18, 2013
- RAUM · $100M to $203MDec 21, 2011 to Apr 18, 2013
- HQ city · EVANSTON to CHICAGODec 12, 2011 to Dec 20, 2011
Signals
1 dated events
- J••••• A•••••• P•••• left M•••••• F••••• A•••••••• I••• for M•••••• F••••••••• L•• (registered 2022-08-11)Nov 20, 2023 · Advisor changed firm · 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
- bettermandigitalwealth.comreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $68.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026