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•••••••• F•••••••• S•••••••• I•••
Latest filing Jun 23, 2026
First filing on the tape Jun 23, 2026 · 1 filings
RAUM
$68.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$67.9M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jun 23, 2026; every figure names its basis
- RAUM per advisor
- $34.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 159derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $214,955derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $307,976, 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- High-net-worth individuals$40.1M58%
- Individuals$27.8M40%
- Pension and profit-sharing plans$737,5251.1%
- Corporations and businesses$160,4910.2%
- Individual clients
- 282reported
- HNW clients
- 35reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 320reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $307,976 for 1 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• L••• B•••••••• | Roseville, Ca | Oct 20, 2014 | 42 y | 4 |
| R••• C••••••••• E•••• | Roseville, Ca | Feb 13, 2025 | 14 y | 0 |
Advisor movement
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days8 left over 36 months
Left, latest
- A••••• J••••• K••••••••• to C••••••• A•••• M••••••••• L••Jan 6, 2026 · Other
- E••• B•••••••• to C••••••• A•••• M••••••••• L••Jan 6, 2026 · Other
- A•••• O•••• to C••••••• A•••• M••••••••• L••Jan 6, 2026 · Other
- R•••••• D••••• M••••••••• to L••••• W•••••• I•••Sep 29, 2025 · Other
- R•••• J• F••••• to C••••••• A•••• M••••••••• L••Feb 13, 2025 · Other
- R••••• T••••••• T•••• to L•• F•••••••• L••Jul 2, 2024 · Other
- R•••••• C••••• D• W••• to R••••• I••••••••• A•••••••• I••Jan 23, 2024 · Other
- J••••• B••••••• to C••••••• A•••• M••••••••• L••Dec 7, 2023 · Other
- D•••• L• E••••• to E•••• S••••••••• L••Mar 13, 2023 · Other
- P••••••• L•••••••• to C•••••••Mar 13, 2023 · Other
- K•••• S•••• to E••••• J••••Sep 2, 2022 · Other
- I••••• M• S•••• to F••••••• P••••••• A•• W•••••••• A•••••••Aug 3, 2021 · Other
Joined, latest
- R••••• T••••••• T•••• from C••••••• A•••• M••••••••• L••Mar 21, 2024 · Affiliated broker-dealer or bank to a state-registered adviser
- A••••• J••••• K••••••••• from E•••••• E••••• L••Dec 1, 2022 · Affiliated broker-dealer or bank to a state-registered adviser
- A•••• O•••• from W•••• F•••• A•••••••Jun 14, 2022 · Wirehouse to a state-registered adviser
- K•••• S•••• from F••••••• P••••••• A•• W•••••••• A•••••••Mar 18, 2022 · Affiliated broker-dealer or bank to a state-registered adviser
- D•••• L• E••••• from M••• S••••• A•••••••• L••Feb 15, 2022 · Other
- R•••••• C••••• D• W••• from C••••••• A•••• M••••••••• L••Oct 13, 2021 · Affiliated broker-dealer or bank to a state-registered adviser
- P••••••• L•••••••• from N••••••• W••••• P••••••• L••Aug 20, 2021 · Other
- I••••• M• S•••• from M•• I•••••••• S•••••••• L••Jun 7, 2021 · Affiliated broker-dealer or bank to a state-registered adviser
- J••••• B••••••• from E•••• S••••••••• L••Nov 12, 2020 · Affiliated broker-dealer or bank to a state-registered adviser
- R•••• J• F••••• from H•••••• T••••••• • K•••• L••May 7, 2018 · Affiliated broker-dealer or bank to a state-registered adviser
- J•••••• L••• B•••••••• from G••••• F•••••••• P•••••• C••••••• I•••Oct 20, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••••• A•••• M••••••••• L••Jan 6, 2026 · San Diego, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Advisers that list B•••••••• F•••••••• S•••••••• I••• as a related person
- 140367 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Roseville, Ca · principal | 2 | 0 | 3 | ||
| Buford, Ga | 0 | 0 | 0 | ||
| San Diego, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
12 dated events
- A•••• O•••• left B•••••••• F•••••••• S•••••••• I••• for C••••••• A•••• M••••••••• L•• (registered 2023-06-02)Jan 6, 2026 · Advisor changed firm · fact
- E••• B•••••••• left B•••••••• F•••••••• S•••••••• I••• for C••••••• A•••• M••••••••• L•• (registered 2023-06-02)Jan 6, 2026 · Advisor changed firm · fact
- A••••• J••••• K••••••••• left B•••••••• F•••••••• S•••••••• I••• for C••••••• A•••• M••••••••• L•• (registered 2023-05-31)Jan 6, 2026 · Advisor changed firm · fact
- B•••••••• F•••••••• S•••••••• I•••'s advisors moved to C••••••• A•••• M••••••••• L•• (Roseville, CA): 3 of 5 registered, on the same dayJan 6, 2026 · Firm absorbed (people side) · derived
- R•••••• D••••• M••••••••• left B•••••••• F•••••••• S•••••••• I••• for L••••• W•••••• I••• (registered 2025-08-28)Sep 29, 2025 · Advisor changed firm · fact
- R•••• J• F••••• left B•••••••• F•••••••• S•••••••• I••• for C••••••• A•••• M••••••••• L•• (registered 2023-06-02)Feb 13, 2025 · Advisor changed firm · fact
- R••••• T••••••• T•••• left B•••••••• F•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2024-11-21)Jul 2, 2024 · Advisor changed firm · fact
- R•••••• C••••• D• W••• left B•••••••• F•••••••• S•••••••• I••• for R••••• I••••••••• A•••••••• I•• (registered 2024-01-26)Jan 23, 2024 · Advisor changed firm · fact
- J••••• B••••••• left B•••••••• F•••••••• S•••••••• I••• for C••••••• A•••• M••••••••• L•• (registered 2023-06-02)Dec 7, 2023 · Advisor changed firm · fact
- P••••••• L•••••••• left B•••••••• F•••••••• S•••••••• I••• for Captrust (registered 2023-10-20)Mar 13, 2023 · Advisor changed firm · fact
- D•••• L• E••••• left B•••••••• F•••••••• S•••••••• I••• for E•••• S••••••••• L•• (registered 2023-07-07)Mar 13, 2023 · Advisor changed firm · fact
- K•••• S•••• left B•••••••• F•••••••• S•••••••• I••• for E••••• J•••• (registered 2022-12-19)Sep 2, 2022 · Advisor changed firm · 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
- Website
- B•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 916-965-1879reportedpublic record, Form ADV, Jun 23, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026