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••• E•••••
Legal name B••••••••• R••• E•••••• L••
Latest filing Jul 30, 2015
First filing on the tape Feb 16, 2012 · 10 filings
RAUM
$1.0B
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
38
19 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.0B as of Mar 4, 2015
Mar 25, 2013$495M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 4, 2015
Mar 25, 20130 then
Employees (5.A)38 as of Mar 4, 2015
Mar 25, 201327 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 30, 2015; 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
- $519MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $4.8M, 2 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
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
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.8M for 2 clientsreported
- Compensation
- % of AUMreported
- 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
- B••••• K•••• · Chief Accounting Officercontrolsince 08/2006 · owns less than 5%
- C••••••••• C•••• · President And Chief Financial Officercontrolsince 02/2013 · owns less than 5%
- H••••••• T••••••• J••• · Chief Administrative Officer And Chief Compliance Officercontrolsince 08/2014 · owns less than 5%
- K•••• A•••• S•••••• · Directorcontrolsince 07/2015 · owns less than 5%
- L••••••••• N•••••• P•••• · Chief Investment Officercontrolsince 08/2006 · owns less than 5%
- L•••••• J•••••• B• · Directorcontrolsince 07/2015 · owns less than 5%
- T•••• A••• L•••••••• · Chairman And Ceocontrolsince 08/2006 · owns 25% to 50%
- C••••• J••••• D••••• · Membercontrolsince 03/2005 · owns 75% or more of J• T•••••• G• L••
- D••••• C••••••• A••••• · Membercontrolsince 12/2013 · owns 75% or more of C• T•••••• V• L••
- F•••••••• S••••••• N•• · Membercontrolsince 12/2013 · owns 75% or more of S• T•••••• V• L••
- L••••••••• N•••••• P•••• · Member/Ownercontrolsince 08/2006 · owns F of B••••••••• V•••••••• L••
- T•••• A••• L•••••••• · Member/Ownercontrolsince 08/2006 · owns F of B••••••••• V•••••••• L••
- T•••• R••••• · Member/Ownercontrolsince 08/2006 · owns F of B••••••••• V•••••••• L••
- W••••••• D••••• J•• · Membercontrolsince 12/2013 · owns 75% or more of D• T•••••• V• L••
- Z•••••• N••••••• D•••• · Membercontrolsince 12/2013 · owns 75% or more of N• T•••••• V• L••
- L••••••••• L••••• · Member/Ownersince 08/2006 · owns 25% to 50% of B••••••••• V•••••••• L••
Entity owners
- B••••••••• V•••••••• L•• · Ownerdirect · owns 10% to 25%
- T•••••• B••• L•• · Ownerdirect · owns 25% to 50%
- C• T•••••• V• L•• · General Partnerindirect · owns F of T•••••• C•••••• V• L•
- D• T•••••• V• L•• · General Partnerindirect · owns F of T•••••• C•••••• V• L•
- J• T•••••• G• L•• · General Partnerindirect · owns F of T•••••• C•••••• V• L•
- N• T•••••• V• L•• · General Partnerindirect · owns F of T•••••• C•••••• V• L•
- S• T•••••• V• L•• · General Partnerindirect · owns F of T•••••• C•••••• V• L•
- T•••••• B•• H••••••• I•• I••• · Ownerindirect · owns 25% to 50% of T•••••• B••• L••
- T•••••• B•• H••••••• I•• L• · Ownerindirect · owns 75% or more of T•••••• B•• H••••••• I•• I•••
- T•••••• C•••••• V• L• · General Partnerindirect · owns F of T•••••• B•• H••••••• I•• L•
- T•••••• C•••••• V• L• · General Partnerindirect · owns F of T•••••• V• P••••••• A•••••• L•
- T•••••• V• L• · Managing Memberindirect · owns 25% to 50% of T•••••• B••• L••
- T•••••• V• P••••••• A•••••• L• · Owner And Limited Partnerindirect · owns 75% or more of T•••••• B•• H••••••• I•• L•
- C•• I••••••••• B•••• •••• I•• I••• · Ownerindirect · owns 25% to 50% of T•••••• V• P••••••• A•••••• L•
Related persons
Schedule D 7.A
- J•••• T••••n
- R••••• T•••investment companyy
- R••••••• P••••••investment companyy
- S•••• P•••• C•••••• L••investment adviseryRAUM $68B
Offices
Schedule D 1.F, the 25 largest
- Boynton Beach, FL
What changed
consecutive filings, newest first
- Related adviser · false to trueJul 1, 2015 to Jul 30, 2015
- Advisory employees · 12 to 19Sep 26, 2014 to Mar 4, 2015
- Assets in custody · $13.5M to $4.8MSep 26, 2014 to Mar 4, 2015
- Employees · 32 to 38Sep 26, 2014 to Mar 4, 2015
- Discretionary RAUM · $773M to $1.0BSep 26, 2014 to Mar 4, 2015
- RAUM · $773M to $1.0BSep 26, 2014 to Mar 4, 2015
- Advisory employees · 10 to 12Sep 24, 2013 to Mar 5, 2014
- Assets in custody · $15.3M to $13.5MSep 24, 2013 to Mar 5, 2014
- Employees · 27 to 32Sep 24, 2013 to Mar 5, 2014
- Discretionary RAUM · $495M to $773MSep 24, 2013 to Mar 5, 2014
- RAUM · $495M to $773MSep 24, 2013 to Mar 5, 2014
- Accounts · 1 to 2Feb 16, 2012 to Mar 25, 2013
- Advisory employees · unset to 10.0Feb 16, 2012 to Mar 25, 2013
- BD registered reps · unset to 0.0Feb 16, 2012 to Mar 25, 2013
- Assets in custody · $286M to $15.3MFeb 16, 2012 to Mar 25, 2013
- Employees · unset to 27.0Feb 16, 2012 to Mar 25, 2013
- State-registered IARs · unset to 0.0Feb 16, 2012 to Mar 25, 2013
- Discretionary RAUM · $286M to $495MFeb 16, 2012 to Mar 25, 2013
- RAUM · $286M to $495MFeb 16, 2012 to Mar 25, 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