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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
B•••••• B•• C••••••• L••
Latest filing Mar 19, 2019
First filing on the tape Feb 14, 2012 · 11 filings
RAUM
$411M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
28%
$114M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$411M as of Mar 19, 2019
Mar 15, 2013$417M then
HNW client RAUM$114M as of Mar 19, 2019
Mar 29, 2018$116M then
State-registered IARs (5.B.3)0 as of Mar 19, 2019
Mar 15, 20130 then
Employees (5.A)1 as of Mar 19, 2019
Mar 15, 20131 then
Private funds: no history
RAUM -3.2% over the last fiscal year-1.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 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
- $41.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 3.5%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
- -3.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$114M63%
- Pooled investment vehicles$53.6M29%
- Charitable organizations$14.5M8.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• D••••• M• K• · Managing Member, Chief Executive Officer, Chief Compliance Officer, Chief Investment Officercontrolsince 08/2011 · owns 75% or more
- U••••• J•••••• L••• · Membercontrolsince 08/2011 · owns 25% to 50%
Related persons
Schedule D 7.A
- D•••• M• K• S•••••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW RAUM · $116M to $114MMar 29, 2018 to Mar 19, 2019
- Non-discretionary RAUM · $424M to $411MMar 29, 2018 to Mar 19, 2019
- Pooled vehicle RAUM · $63.7M to $53.6MMar 29, 2018 to Mar 19, 2019
- RAUM · $424M to $411MMar 29, 2018 to Mar 19, 2019
- Pooled vehicle clients · unset to 1.0Mar 30, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 30, 2017 to Mar 29, 2018
- HNW RAUM · unset to 116062740.0Mar 30, 2017 to Mar 29, 2018
- Non-discretionary RAUM · $440M to $424MMar 30, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 63744734.0Mar 30, 2017 to Mar 29, 2018
- RAUM · $440M to $424MMar 30, 2017 to Mar 29, 2018
- Accounts · 9 to 10Mar 21, 2016 to Mar 30, 2017
- Non-discretionary RAUM · $430M to $440MMar 21, 2016 to Mar 30, 2017
- RAUM · $430M to $440MMar 21, 2016 to Mar 30, 2017
- Non-discretionary RAUM · $416M to $430MMar 30, 2015 to Mar 21, 2016
- RAUM · $416M to $430MMar 30, 2015 to Mar 21, 2016
- Non-discretionary RAUM · $434M to $416MMar 17, 2014 to Mar 30, 2015
- RAUM · $434M to $416MMar 17, 2014 to Mar 30, 2015
- Non-discretionary RAUM · $417M to $434MMar 15, 2013 to Mar 17, 2014
- RAUM · $417M to $434MMar 15, 2013 to Mar 17, 2014
- BD registered reps · unset to 0.0Mar 30, 2012 to Mar 15, 2013
- Advisory employees · unset to 1.0Mar 30, 2012 to Mar 15, 2013
- Employees · unset to 1.0Mar 30, 2012 to Mar 15, 2013
- State-registered IARs · unset to 0.0Mar 30, 2012 to Mar 15, 2013
- Non-discretionary RAUM · $407M to $417MMar 30, 2012 to Mar 15, 2013
- RAUM · $407M to $417MMar 30, 2012 to Mar 15, 2013
Signals
No event on the tape.
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