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•• A•••••••• I•••

Former SEC-registered adviserPalo Alto, CaliforniaCRD 164441SEC 801-76826IAPD
Latest filing Aug 17, 2017
First filing on the tape Jun 14, 2012 · 26 filings
RAUM
$1.6M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.6M as of Jan 30, 2017
Mar 31, 2015$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Jan 30, 2017
Jan 22, 20131 then
Employees (5.A)4 as of Jan 30, 2017
Jan 22, 20135 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 3 to 1
Practice profile
derived from the filing of Aug 17, 2017; every figure names its basis
RAUM per advisor
$1.6MderivedRAUM 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
$1.6MderivedRAUM 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
0.2derived5 offices incl. principal (1.F.5)
RAUM growth, one year
-100%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
pension consultingreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••••••• J•••••• D•••• · Chief Compliance Officercontrol
    since 07/2017 · owns less than 5%
Entity owners
  • B••• L•• · Sole Shareholder
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • B••• L••
    insurancey
Offices
Schedule D 1.F, the 25 largest
  • San Francisco, CA
  • San Jose, CA
  • Santa Rosa, CA
  • Walnut Creek, CA
What changed
consecutive filings, newest first
  • Advisory employees · 3 to 2
    May 11, 2017 to Aug 17, 2017
  • Employees · 3 to 2
    May 11, 2017 to Aug 17, 2017
  • State-registered IARs · 3 to 2
    May 11, 2017 to Aug 17, 2017
  • Advisory employees · 2 to 1
    Aug 17, 2017 to Aug 17, 2017
  • Employees · 2 to 1
    Aug 17, 2017 to Aug 17, 2017
  • State-registered IARs · 2 to 1
    Aug 17, 2017 to Aug 17, 2017
  • Advisory employees · 4 to 3
    Jan 30, 2017 to May 11, 2017
  • Employees · 4 to 3
    Jan 30, 2017 to May 11, 2017
  • State-registered IARs · 4 to 3
    Jan 30, 2017 to May 11, 2017
  • Accounts · 132 to 1
    Dec 6, 2016 to Jan 30, 2017
  • Employees · 5 to 4
    Dec 6, 2016 to Jan 30, 2017
  • Financial planning clients · 0 to unset
    Dec 6, 2016 to Jan 30, 2017
  • HQ city · SAN FRANCISCO to PALO ALTO
    Dec 6, 2016 to Jan 30, 2017
  • State-registered IARs · 3 to 4
    Dec 6, 2016 to Jan 30, 2017
  • Discretionary RAUM · $25.4M to $1.6M
    Dec 6, 2016 to Jan 30, 2017
  • Non-discretionary RAUM · $999M to $0
    Dec 6, 2016 to Jan 30, 2017
  • RAUM · $1.0B to $1.6M
    Dec 6, 2016 to Jan 30, 2017
  • Advisory employees · 3 to 4
    Aug 11, 2016 to Nov 1, 2016
  • Employees · 4 to 5
    Aug 11, 2016 to Nov 1, 2016
  • Advisory employees · 2 to 3
    Aug 2, 2016 to Aug 11, 2016
  • Employees · 3 to 4
    Aug 2, 2016 to Aug 11, 2016
  • Advisory employees · 3 to 2
    Mar 25, 2016 to Aug 2, 2016
  • Employees · 4 to 3
    Mar 25, 2016 to Aug 2, 2016
  • Legal name · ABK A••••••S, INC. to B•• A•••••••• I•••
    Mar 25, 2016 to Aug 2, 2016
  • Accounts · 192 to 132
    Sep 15, 2015 to Mar 25, 2016
  • BD registered reps · 1 to 0
    Sep 15, 2015 to Mar 25, 2016
  • Employees · 6 to 4
    Sep 15, 2015 to Mar 25, 2016
  • State-registered IARs · 1 to 3
    Sep 15, 2015 to Mar 25, 2016
  • Discretionary RAUM · $71.4M to $25.4M
    Sep 15, 2015 to Mar 25, 2016
  • Non-discretionary RAUM · $975M to $999M
    Sep 15, 2015 to Mar 25, 2016
  • RAUM · $1.0B to $1.0B
    Sep 15, 2015 to Mar 25, 2016
  • Legal name · B•• A•••••••• I••• to ABK A••••••S, INC.
    Jul 22, 2015 to Sep 14, 2015
  • Accounts · 55 to 192
    Jan 10, 2015 to Mar 31, 2015
  • Discretionary RAUM · $17.6M to $71.4M
    Jan 10, 2015 to Mar 31, 2015
  • Non-discretionary RAUM · $889M to $975M
    Jan 10, 2015 to Mar 31, 2015
  • RAUM · $906M to $1.0B
    Jan 10, 2015 to Mar 31, 2015
  • Accounts · unset to 55.0
    Mar 31, 2014 to May 5, 2014
  • Discretionary RAUM · unset to 17597560.0
    Mar 31, 2014 to May 5, 2014
  • Non-discretionary RAUM · unset to 888549173.0
    Mar 31, 2014 to May 5, 2014
  • RAUM · unset to 906146733.0
    Mar 31, 2014 to May 5, 2014
Signals
1 dated events
  • B•• A•••••••• I••• filed its initial SEC registration (Form ADV)
    Jun 14, 2012 · First SEC registration · fact
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