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.
SEC-registered adviser
B••••• A•••••••• L••
Latest filing Apr 24, 2026
First filing on the tape Jul 18, 2012 · 21 filings
SEC status approved since Jul 25, 2012
RAUM
$12B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$12B
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$12B as of Apr 24, 2026
Feb 21, 2013$115M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 24, 2026
Feb 21, 20131 then
Employees (5.A)10 as of Apr 24, 2026
Feb 21, 20133 then
Private funds: no history
RAUM +104% over the last fiscal year+45% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $12BderivedRAUM 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
- $12BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +104%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $11B, 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$12B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $11B for 1 clientsreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• E••••• C•••••Chartered Financial Analyst | Vero Beach, Fl | Jan 30, 2013 | 22 y | 0 |
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 headcount0 left over 36 months
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
- C•••••• R•••••• E••••• · President/Chief Compliance Officercontrolsince 04/2011 · owns less than 5%
- H•••• G•••••• H••••• · Chief Financial Officersince 02/2013 · owns less than 5%
Entity owners
- B••••• A••••••• H•••••• L•• · Memberdirect · owns 75% or more · public reporting company
- B••••• C•••••• M••••••••• I•• · Shareholderindirect · owns 75% or more of B••••• A••••••• H•••••• L•• · public reporting company
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Apr 24, 2026RAUM (Item 5.F) moved from $5,721,627,000 to $11,675,993,000 (+104.0%) between the annual amendments of 2025-03-21 and 2026-04-24; the peer median change was +13.0% (631 comparable advisers, 96.0th percentile of changes)peers: asset managers, $5B to $20B (631) · 96% percentile
What changed
consecutive filings, newest first
- Related adviser · false to trueMar 26, 2026 to Apr 24, 2026
- Assets in custody · $5.7B to $11BMar 21, 2025 to Mar 26, 2026
- Financial planning clients · to 0Mar 21, 2025 to Mar 26, 2026
- Discretionary RAUM · $5.7B to $12BMar 21, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $5.7B to $12BMar 21, 2025 to Mar 26, 2026
- RAUM · $5.7B to $12BMar 21, 2025 to Mar 26, 2026
- Advisory employees · 6 to 7Sep 30, 2024 to Mar 21, 2025
- Assets in custody · $4.2B to $5.7BSep 30, 2024 to Mar 21, 2025
- Employees · 9 to 10Sep 30, 2024 to Mar 21, 2025
- Financial planning clients · unset to Sep 30, 2024 to Mar 21, 2025
- Discretionary RAUM · $4.2B to $5.7BSep 30, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $4.2B to $5.7BSep 30, 2024 to Mar 21, 2025
- RAUM · $4.2B to $5.7BSep 30, 2024 to Mar 21, 2025
- Corporate clients · 1.0 to unsetMar 18, 2024 to Sep 30, 2024
- Pooled vehicle clients · unset to 1.0Mar 18, 2024 to Sep 30, 2024
- Pooled vehicle RAUM · unset to 4243121000.0Mar 18, 2024 to Sep 30, 2024
- Advisory employees · 5 to 6Mar 29, 2023 to Mar 18, 2024
- Assets in custody · $3.9B to $4.2BMar 29, 2023 to Mar 18, 2024
- Employees · 8 to 9Mar 29, 2023 to Mar 18, 2024
- Financial planning clients · 0 to unsetMar 29, 2023 to Mar 18, 2024
- Discretionary RAUM · $3.9B to $4.2BMar 29, 2023 to Mar 18, 2024
- RAUM · $3.9B to $4.2BMar 29, 2023 to Mar 18, 2024
- Assets in custody · $111M to $3.9BMar 25, 2022 to Mar 29, 2023
- Financial planning clients · unset to 0Mar 25, 2022 to Mar 29, 2023
- Discretionary RAUM · $7.1B to $3.9BMar 25, 2022 to Mar 29, 2023
- RAUM · $7.1B to $3.9BMar 25, 2022 to Mar 29, 2023
- Advisory employees · 4 to 5Mar 2, 2021 to Mar 25, 2022
- Employees · 7 to 8Mar 2, 2021 to Mar 25, 2022
- Discretionary RAUM · $4.1B to $7.1BMar 2, 2021 to Mar 25, 2022
- RAUM · $4.1B to $7.1BMar 2, 2021 to Mar 25, 2022
- Assets in custody · $3.9B to $111MFeb 28, 2020 to Mar 2, 2021
- Discretionary RAUM · $3.9B to $4.1BFeb 28, 2020 to Mar 2, 2021
- RAUM · $3.9B to $4.1BFeb 28, 2020 to Mar 2, 2021
- Corporate clients · unset to 1.0Mar 13, 2019 to Feb 28, 2020
- Assets in custody · $3.4B to $3.9BMar 13, 2019 to Feb 28, 2020
- Employees · 6 to 7Mar 13, 2019 to Feb 28, 2020
- Discretionary RAUM · $3.4B to $3.9BMar 13, 2019 to Feb 28, 2020
- RAUM · $3.4B to $3.9BMar 13, 2019 to Feb 28, 2020
- Advisory employees · 5 to 4Feb 28, 2018 to Mar 13, 2019
- Assets in custody · $3.1B to $3.4BFeb 28, 2018 to Mar 13, 2019
Signals
6 dated events
- B••••• A•••••••• L•• reported RAUM $11.7B, up 104% from $5.7B (2025-03-21 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- B••••• A•••••••• L•• reported RAUM $5.7B, up 35% from $4.2B (2024-09-30 to 2025-03-21)Mar 21, 2025 · RAUM change · derived
- B••••• A•••••••• L•• reported RAUM $3.9B, down 45% from $7.1B (2022-03-25 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- B••••• A•••••••• L•• reported RAUM $7.1B, up 74% from $4.1B (2021-03-02 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- B••••• A•••••••• L•• reported RAUM $4.0B, up 28% from $3.1B (2017-02-21 to 2018-02-28)Feb 28, 2018 · RAUM change · derived
- B••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jul 18, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 772-231-1400reportedpublic record, Form ADV, Apr 24, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $12Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026