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••• S••••• M••••••••• L••

Former SEC-registered adviserGuaynabo, PRCRD 164864SEC 801-77367IAPD
Latest filing Mar 28, 2016
First filing on the tape Nov 8, 2012 · 5 filings
RAUM
$153M
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
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$153M gross assets
History
5 filings and snapshots on the tape
RAUM$153M as of Mar 28, 2016
Mar 28, 2013$262M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2016
Mar 28, 20130 then
Employees (5.A)6 as of Mar 28, 2016
Mar 28, 201312 then
Private funds1 as of Mar 28, 2016
Mar 28, 20131 then
RAUM -20% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2016; 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
$153MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-20%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
portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$1.0M, 1 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
$1.0M for 1 clientsreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P••••••••• F••••••••• N••• · Ceo, President & Ccocontrol
        since 07/2012 · owns 50% to 75%
      • R••••••••• J••••• R•••• · Chief Financial Officer & Treasurercontrol
        since 07/2012 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $500,000 to $1.0M
        Mar 27, 2015 to Mar 28, 2016
      • Discretionary RAUM · $191M to $153M
        Mar 27, 2015 to Mar 28, 2016
      • RAUM · $191M to $153M
        Mar 27, 2015 to Mar 28, 2016
      • Accounts · 2 to 1
        Mar 28, 2014 to Mar 27, 2015
      • Assets in custody · $2.5M to $500,000
        Mar 28, 2014 to Mar 27, 2015
      • Discretionary RAUM · $220M to $191M
        Mar 28, 2014 to Mar 27, 2015
      • RAUM · $220M to $191M
        Mar 28, 2014 to Mar 27, 2015
      • Advisory employees · 6 to 4
        Mar 28, 2013 to Mar 28, 2014
      • Assets in custody · $42.0M to $2.5M
        Mar 28, 2013 to Mar 28, 2014
      • Employees · 12 to 6
        Mar 28, 2013 to Mar 28, 2014
      • Discretionary RAUM · $262M to $220M
        Mar 28, 2013 to Mar 28, 2014
      • RAUM · $262M to $220M
        Mar 28, 2013 to Mar 28, 2014
      • Employees · 11 to 12
        Nov 8, 2012 to Mar 28, 2013
      • Discretionary RAUM · $272M to $262M
        Nov 8, 2012 to Mar 28, 2013
      • RAUM · $272M to $262M
        Nov 8, 2012 to Mar 28, 2013
      Signals
      1 dated events
      • B••• S••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 8, 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