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•••• M••••••••• I•••

Former SEC-registered adviserCharlotte, North CarolinaCRD 171852SEC 801-80009IAPD
Latest filing Jan 3, 2022
First filing on the tape Jun 25, 2014 · 20 filings
RAUM
$16.7M
reported, Item 5.F
Discretionary
0.0%
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
5
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$16.7M gross assets
History
20 filings and snapshots on the tape
RAUM$16.7M as of Jan 3, 2022
Nov 20, 2014$5.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 3, 2022
Nov 20, 20140 then
Employees (5.A)5 as of Jan 3, 2022
Nov 20, 20144 then
Private funds1 as of Jan 3, 2022
Nov 20, 20141 then
RAUM +0.0% over the last fiscal year+0.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 3, 2022; 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
$16.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
+0.0%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, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$16.7M100%
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, hourly, 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••••• R••••• I••••••••• L•Real Estate Fund$16.7M1Jun 25, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • W••••••••• K•••••• · Ceo / Coo / Chief Compliance Officer / Presidentcontrol
        since 05/2014 · owns 75% or more
      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
      • Discretionary RAUM · $16.7M to $0
        Jan 5, 2021 to Jan 3, 2022
      • Non-discretionary RAUM · $0 to $16.7M
        Jan 5, 2021 to Jan 3, 2022
      • Discretionary RAUM · $1.7M to $16.7M
        Jan 2, 2020 to Jan 9, 2020
      • Pooled vehicle RAUM · $1.7M to $16.7M
        Jan 2, 2020 to Jan 9, 2020
      • RAUM · $1.7M to $16.7M
        Jan 2, 2020 to Jan 9, 2020
      • Employees · 6 to 5
        Dec 24, 2018 to Jan 2, 2020
      • Discretionary RAUM · $16.6M to $1.7M
        Dec 24, 2018 to Jan 2, 2020
      • Pooled vehicle RAUM · $16.6M to $1.7M
        Dec 24, 2018 to Jan 2, 2020
      • RAUM · $16.6M to $1.7M
        Dec 24, 2018 to Jan 2, 2020
      • Discretionary RAUM · $10.8M to $16.6M
        Apr 25, 2018 to Dec 24, 2018
      • Pooled vehicle RAUM · $10.8M to $16.6M
        Apr 25, 2018 to Dec 24, 2018
      • RAUM · $10.8M to $16.6M
        Apr 25, 2018 to Dec 24, 2018
      • HQ city · JACKSONVILLE to CHARLOTTE
        Dec 12, 2017 to Apr 25, 2018
      • HQ state · FL to NC
        Dec 12, 2017 to Apr 25, 2018
      • Discretionary RAUM · $10.2M to $10.8M
        Dec 12, 2017 to Apr 25, 2018
      • Pooled vehicle RAUM · $10.2M to $10.8M
        Dec 12, 2017 to Apr 25, 2018
      • RAUM · $10.2M to $10.8M
        Dec 12, 2017 to Apr 25, 2018
      • Pooled vehicle clients · unset to 1.0
        Dec 12, 2016 to Dec 12, 2017
      • Other offices · unset to 0.0
        Dec 12, 2016 to Dec 12, 2017
      • Discretionary RAUM · $9.1M to $10.2M
        Dec 12, 2016 to Dec 12, 2017
      • Pooled vehicle RAUM · unset to 10191113.0
        Dec 12, 2016 to Dec 12, 2017
      • RAUM · $9.1M to $10.2M
        Dec 12, 2016 to Dec 12, 2017
      • Advisory activities · 4 to 3
        Mar 18, 2016 to Dec 12, 2016
      • Financial planning clients · 0 to unset
        Mar 18, 2016 to Dec 12, 2016
      • Discretionary RAUM · $7.6M to $9.1M
        Mar 18, 2016 to Dec 12, 2016
      • RAUM · $7.6M to $9.1M
        Mar 18, 2016 to Dec 12, 2016
      • Assets in custody · 5000000.0 to unset
        Mar 16, 2015 to Dec 16, 2015
      • Custody of client assets · true to false
        Mar 16, 2015 to Dec 16, 2015
      • Employees · 4 to 6
        Mar 16, 2015 to Dec 16, 2015
      • Discretionary RAUM · $5.0M to $7.6M
        Mar 16, 2015 to Dec 16, 2015
      • RAUM · $5.0M to $7.6M
        Mar 16, 2015 to Dec 16, 2015
      • Discretionary RAUM · $5.0M to $5.0M
        Nov 3, 2014 to Nov 20, 2014
      • RAUM · $5.0M to $5.0M
        Nov 3, 2014 to Nov 20, 2014
      Signals
      1 dated events
      • B••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)
        Jun 25, 2014 · 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
      Across the graphs

      B••••• A•••• M••••••••• I••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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