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••• W••••• M••••••••• G••••• L••

Former SEC-registered adviserSalem, OregonCRD 281066SEC 801-117638IAPD
Latest filing Mar 26, 2020
First filing on the tape Oct 16, 2019 · 2 filings
RAUM
$109M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$109M individuals and HNW
Advisors
0
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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$109M as of Mar 26, 2020
Oct 16, 2019$103M then
HNW client RAUM$41.6M as of Mar 26, 2020
Oct 16, 2019$59.6M then
State-registered IARs (5.B.3)2 as of Mar 26, 2020
Oct 16, 20192 then
Employees (5.A)2 as of Mar 26, 2020
Oct 16, 20194 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 2020; every figure names its basis
RAUM per advisor
$54.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
238derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$229,874derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$67.8M62%
  • High-net-worth individuals$41.6M38%
Individual clients
448reported
HNW clients
28reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
476reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••• F••••• L•••• · Principal, Ownercontrol
    since 12/2009 · owns 25% to 50%
  • B•••• M•••• L•••• · Principal, Owner, Chief Compliance Officercontrol
    since 12/2009 · owns 50% to 75%
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
  • Accounts · 1,140 to 476
    Oct 16, 2019 to Mar 26, 2020
  • Advisory employees · 3 to 2
    Oct 16, 2019 to Mar 26, 2020
  • BD registered reps · 4 to 2
    Oct 16, 2019 to Mar 26, 2020
  • HNW clients · 54 to 28
    Oct 16, 2019 to Mar 26, 2020
  • Individual clients · 424 to 448
    Oct 16, 2019 to Mar 26, 2020
  • Pension plan clients · 3.0 to unset
    Oct 16, 2019 to Mar 26, 2020
  • Employees · 4 to 2
    Oct 16, 2019 to Mar 26, 2020
  • Financial planning clients · 1-10 to 0
    Oct 16, 2019 to Mar 26, 2020
  • Discretionary RAUM · $103M to $109M
    Oct 16, 2019 to Mar 26, 2020
  • HNW RAUM · $59.6M to $41.6M
    Oct 16, 2019 to Mar 26, 2020
  • Individual RAUM · $41.6M to $67.8M
    Oct 16, 2019 to Mar 26, 2020
  • Pension RAUM · 1635511.0 to unset
    Oct 16, 2019 to Mar 26, 2020
  • RAUM · $103M to $109M
    Oct 16, 2019 to Mar 26, 2020
Signals
1 dated events
  • B••• W••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)
    Oct 16, 2019 · 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