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•••••• I••••••••• A•••••••

Former SEC-registered adviserScottsdale, ArizonaCRD 173131SEC 801-108290IAPD
Legal name B•• A••••••• L••
Latest filing Mar 2, 2021
First filing on the tape Aug 12, 2016 · 44 filings
RAUM
$29.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$29.5M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$9.8M
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$29.5M as of Mar 28, 2020
Mar 30, 2017$35.8M then
HNW client RAUM$7.7M as of Mar 28, 2020
Mar 27, 2018$27.0M then
State-registered IARs (5.B.3)7 as of Mar 28, 2020
Mar 30, 20176 then
Employees (5.A)10 as of Mar 28, 2020
Mar 30, 20178 then
Private funds: no history
RAUM +44% over the last fiscal year-6.2% a year over threeIARs 5 to 9offices 4 to 6
Practice profile
derived from the filing of Mar 2, 2021; every figure names its basis
RAUM per advisor
$9.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
55derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$178,833derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.7derivedItem 5.A over advisors
Advisors per office
0.4derived7 offices incl. principal (1.F.5)
RAUM growth, one year
+44%derivedbetween the last two annual amendments
Advisor growth, one year
+40%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.1%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$21.8M74%
  • High-net-worth individuals$7.7M26%
Individual clients
162reported
HNW clients
3reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
165reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••••• S••••• B••••••••Scottsdale, AzNov 4, 201426 y5
T••• R••••• C••••••Scottsdale, AzNov 4, 201412 y2
J•••• T••••••Scottsdale, AzJan 29, 202548 y1
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 67% of current headcount5 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••••• J••••••• S••••• · Managing Member/Ccocontrol
      since 10/2014 · owns 75% or more
    Related persons
    Schedule D 7.A
    • B•••••• F•••••••• S•••••••• L••
      real estatey
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Scottsdale, Az · principal3021
    Gainesville, Ga000
    Offices
    Schedule D 1.F, the 25 largest
    • East Amherst, NY1 employees
    • Glendale, AZ1 employees
    • Kissimmee, FL1 employees
    • Leavenworth, KS1 employees
    • Olympia, WA1 employees
    • Phoenix, AZ1 employees
    What changed
    consecutive filings, newest first
    • State-registered IARs · 8 to 9
      Jan 4, 2021 to Feb 11, 2021
    • Other offices · 5 to 6
      Jan 4, 2021 to Feb 11, 2021
    • Other offices · 6 to 5
      Nov 19, 2020 to Nov 19, 2020
    • Advisory employees · 6 to 8
      Oct 15, 2020 to Nov 2, 2020
    • Employees · 9 to 11
      Oct 15, 2020 to Nov 2, 2020
    • State-registered IARs · 6 to 8
      Oct 15, 2020 to Nov 2, 2020
    • Other offices · 5 to 6
      Sep 25, 2020 to Oct 5, 2020
    • Other offices · 4 to 5
      Sep 3, 2020 to Sep 14, 2020
    • Advisory employees · 7 to 6
      Jun 11, 2020 to Jun 25, 2020
    • Employees · 10 to 9
      Jun 11, 2020 to Jun 25, 2020
    • State-registered IARs · 7 to 6
      Jun 11, 2020 to Jun 25, 2020
    • Accounts · 157 to 165
      Mar 27, 2020 to Mar 28, 2020
    • Advisory employees · 6 to 7
      Mar 27, 2020 to Mar 28, 2020
    • Individual clients · 154 to 162
      Mar 27, 2020 to Mar 28, 2020
    • Employees · 6 to 10
      Mar 27, 2020 to Mar 28, 2020
    • Financial planning clients · 0 to 1-10
      Mar 27, 2020 to Mar 28, 2020
    • State-registered IARs · 5 to 7
      Mar 27, 2020 to Mar 28, 2020
    • Discretionary RAUM · $20.6M to $29.5M
      Mar 27, 2020 to Mar 28, 2020
    • HNW RAUM · $6.8M to $7.7M
      Mar 27, 2020 to Mar 28, 2020
    • Individual RAUM · $13.8M to $21.8M
      Mar 27, 2020 to Mar 28, 2020
    • RAUM · $20.6M to $29.5M
      Mar 27, 2020 to Mar 28, 2020
    • Advisory activities · 3 to 4
      Jul 11, 2019 to Nov 27, 2019
    • Accounts · 262 to 157
      Feb 5, 2019 to Mar 28, 2019
    • Advisory employees · 7 to 6
      Feb 5, 2019 to Mar 28, 2019
    • HNW clients · 16 to 3
      Feb 5, 2019 to Mar 28, 2019
    • Individual clients · 190 to 154
      Feb 5, 2019 to Mar 28, 2019
    • Assets in custody · 35145804.0 to unset
      Feb 5, 2019 to Mar 28, 2019
    • Custody of client assets · true to false
      Feb 5, 2019 to Mar 28, 2019
    • Employees · 7 to 6
      Feb 5, 2019 to Mar 28, 2019
    • State-registered IARs · 6 to 5
      Feb 5, 2019 to Mar 28, 2019
    • Other offices · 6 to 4
      Feb 5, 2019 to Mar 28, 2019
    • Discretionary RAUM · $52.1M to $20.6M
      Feb 5, 2019 to Mar 28, 2019
    • HNW RAUM · $27.0M to $6.8M
      Feb 5, 2019 to Mar 28, 2019
    • Individual RAUM · $25.1M to $13.8M
      Feb 5, 2019 to Mar 28, 2019
    • RAUM · $52.1M to $20.6M
      Feb 5, 2019 to Mar 28, 2019
    • Accounts · 161 to 262
      Nov 3, 2017 to Mar 27, 2018
    • Advisory employees · 6 to 7
      Nov 3, 2017 to Mar 27, 2018
    • Corporate clients · 2 to 0
      Nov 3, 2017 to Mar 27, 2018
    • HNW clients · 14 to 16
      Nov 3, 2017 to Mar 27, 2018
    • Individual clients · 60 to 190
      Nov 3, 2017 to Mar 27, 2018
    Signals
    10 dated events
    • A•••• L••••••• S••••• left B•••••• I••••••••• A••••••• for I••••••••• F•••••••• P••••••• (registered 2026-05-07)
      May 7, 2026 · Advisor changed firm · fact
    • T•••• S••••• left B•••••• I••••••••• A••••••• for I••••••••• F•••••••• P••••••• (registered 2026-04-15)
      May 7, 2026 · Advisor changed firm · fact
    • 2 advisors left B•••••• I••••••••• A••••••• (Scottsdale, AZ) for I••••••••• F•••••••• P••••••• on the same day
      May 7, 2026 · Team lift-out · derived
    • A•• E• S•••• left B•••••• I••••••••• A••••••• for B•••••••• I••••••••• G•••• (registered 2025-09-11)
      May 22, 2025 · Advisor changed firm · fact
    • M••••• D•••••• J•••••• left B•••••• I••••••••• A••••••• for P•••••••• M•••••• L•• (registered 2024-11-14)
      Dec 31, 2024 · Advisor changed firm · fact
    • L•••• M••••••• H•••• left B•••••• I••••••••• A••••••• for B••••••••• W••••• A•••••••• L•• (registered 2024-10-18)
      Nov 1, 2023 · Advisor changed firm · fact
    • S••••• M••••• H•••••••• left B•••••• I••••••••• A••••••• for A• W••••• M••••••••• L•• (registered 2023-06-12)
      Jun 14, 2023 · Advisor changed firm · fact
    • L••••• K•••••• H••••••••• left B•••••• I••••••••• A••••••• for B••••••••• C•••••• M••••••••• L•• (registered 2022-02-24)
      Dec 8, 2022 · Advisor changed firm · fact
    • M•••••• L• H••••••• left B•••••• I••••••••• A••••••• for R•••••• J•••• • A••••••••• I••• (registered 2023-03-27)
      Nov 28, 2022 · Advisor changed firm · fact
    • B•••••• I••••••••• A••••••• filed its initial SEC registration (Form ADV)
      Aug 12, 2016 · ria f•••• adv filing · 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
    Firm profile
    LINKEDIN.COM/COMPANY/B••••••-INVESTMENT-ADVISORSreportedpublic record, Form ADV, Sep 18, 2026
    Website
    S•••••CAP.NETreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $9.8Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026