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••••••• O•• F•••••••• O••••••••• L•• • M••••••••• S•••••

Former SEC-registered adviserAtlanta, GeorgiaCRD 173153SEC 801-80586IAPD
Latest filing Aug 18, 2022
First filing on the tape Nov 5, 2014 · 13 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2017
Mar 31, 2015$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2022
Mar 31, 20150 then
Employees (5.A)1 as of Mar 25, 2022
Mar 31, 20152 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 18, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
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 assetsreportedItem 5.E
Advisory activities
otherreportedItem 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
  • 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
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • B••••• D••• · General Counselcontrol
        since 09/2014 · owns less than 5%
      • L••••••• R•••••• A••• · Chief Compliance Officer & Chief Operating Officercontrol
        since 03/2015 · owns less than 5%
      Entity owners
      • A•••• O•• F•••••••• O••••••••• F•••• L• · Owner
        direct · owns 75% or more
      • M••••• S•• S•••••••• · Limited Partner
        indirect · owns 25% to 50% of A•••• O•• F•••••••• O••••••••• F•••• L•
      • V••• A• F••• L•• · Limited Partner
        indirect · owns 50% to 75% of A•••• O•• F•••••••• O••••••••• F•••• L•
      Related persons
      Schedule D 7.A
      Advisers that list B••••••• O•• F•••••••• O••••••••• L•• • M••••••••• S••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 2 to 1
        Mar 29, 2021 to Mar 25, 2022
      • Accounts · 0.0 to unset
        Jan 3, 2018 to Mar 29, 2018
      • Advisory employees · 2 to 0
        Jan 3, 2018 to Mar 29, 2018
      • Business name · B••••••• O•• F•••••••• O••••••••• L•• to B••••••• O•• F•••••••• O••••••••• L•• • M••••••••• S•••••
        Jan 3, 2018 to Mar 29, 2018
      • Legal name · B••••••• O•• F•••••••• O••••••••• L•• to B••••••• O•• F•••••••• O••••••••• L•• • M••••••••• S•••••
        Jan 3, 2018 to Mar 29, 2018
      • Discretionary RAUM · 0.0 to unset
        Jan 3, 2018 to Mar 29, 2018
      • Non-discretionary RAUM · 0.0 to unset
        Jan 3, 2018 to Mar 29, 2018
      • RAUM · 0.0 to unset
        Jan 3, 2018 to Mar 29, 2018
      • Related broker-dealer · true to false
        Jan 3, 2018 to Mar 29, 2018
      • Business name · A•••• O•• F•••••••• O••••••••• L•• to B••••••• O•• F•••••••• O••••••••• L••
        Apr 26, 2017 to Jan 3, 2018
      • Legal name · A•••• O•• F•••••••• O••••••••• L•• to B••••••• O•• F•••••••• O••••••••• L••
        Apr 26, 2017 to Jan 3, 2018
      • Other offices · unset to 0.0
        Apr 26, 2017 to Jan 3, 2018
      • Business name · A•••• O•• C••••••••• G•••• P•••••••• M••••••••• L•• to A•••• O•• F•••••••• O••••••••• L••
        Mar 31, 2017 to Apr 26, 2017
      • Legal name · A•••• O•• C••••••••• G•••• P•••••••• M••••••••• L•• to A•••• O•• F•••••••• O••••••••• L••
        Mar 31, 2017 to Apr 26, 2017
      • Advisory employees · 3 to 2
        Mar 29, 2016 to Mar 31, 2017
      • Employees · 5 to 2
        Mar 29, 2016 to Mar 31, 2017
      • Advisory employees · 1 to 3
        Mar 31, 2015 to Mar 29, 2016
      • Employees · 2 to 5
        Mar 31, 2015 to Mar 29, 2016
      • Related broker-dealer · false to true
        Nov 5, 2014 to Mar 31, 2015
      Signals
      5 dated events
      • Navid Abghari (Member) no longer on Schedule A of B••••••• O•• F•••••••• O••••••••• L•• • M••••••••• S••••• (listed 2021-03-29, absent 2022-03-25)
        Mar 25, 2022 · Control person left · inference
      • Diblee David Silvera (Chief Operating Officer) no longer on Schedule A of B••••••• O•• F•••••••• O••••••••• L•• • M••••••••• S••••• (listed 2021-03-29, absent 2022-03-25)
        Mar 25, 2022 · Control person left · inference
      • Diblee David Silvera (Chief Operating Officer) appeared on Schedule A of B••••••• O•• F•••••••• O••••••••• L•• • M••••••••• S•••••
        Mar 29, 2019 · Control person joined · fact
      • Patrick Brian Smith (Chief Operating Officer) no longer on Schedule A of B••••••• O•• F•••••••• O••••••••• L•• • M••••••••• S••••• (listed 2018-03-29, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • A•••• O•• C••••••••• G•••• P•••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 5, 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