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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
B•••••• G••••• W••••• A•••••••• I•••
Latest filing Jun 24, 2020
First filing on the tape Nov 4, 2015 · 26 filings
RAUM
$2.5B
reported, Item 5.F
Discretionary
12%
of RAUM
Private clients
11%
$263M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$2.5B as of Mar 6, 2020
Mar 17, 2016$465M then
HNW client RAUM$214M as of Mar 6, 2020
Mar 15, 2018$125M then
State-registered IARs (5.B.3)0 as of Mar 6, 2020
Mar 17, 20168 then
Employees (5.A)14 as of Mar 6, 2020
Mar 17, 201612 then
Private funds: no history
RAUM +71% over the last fiscal year+106% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 24, 2020; 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
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $3.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 12%derivedof RAUM
- Institutional
- 84%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
- +71%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +33%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$2.1B84%
- High-net-worth individuals$214M8.6%
- Corporations and businesses$143M5.7%
- Individuals$49.5M2.0%
- Individual clients
- 182reported
- HNW clients
- 125reported
- Pension plan clients
- 85reported
- Charitable clients
- n/areported
- Accounts
- 707reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- J•••••• P••• W•••••• to T•• B•••••• G•••• W••••• A•••••••• L••Mar 12, 2021 · Other
- S•••••• Y• to T•• B•••••• G•••• W••••• A•••••••• L••Mar 12, 2021 · Other
- E••• C•••••• T•••••• to T•• B•••••• G•••• W••••• A•••••••• L••Mar 12, 2021 · Other
- D•••• G••••• to T•• B•••••• G•••• W••••• A•••••••• L••Mar 12, 2021 · Other
- T••• R•••••• S•••• to T•• B•••••• G•••• W••••• A•••••••• L••Mar 12, 2021 · Other
- G•••••• C••••••• H•••••••• to E•••••• A••••••• G••••• L••Mar 12, 2021 · Other
- T••••• B••• to T•• B•••••• G•••• W••••• A•••••••• L••Mar 12, 2021 · Other
- K••• L••••••• to T•• B•••••• G•••• W••••• A•••••••• L••Mar 12, 2021 · Other
- D••••• M•••• S•••••• to T•• B•••••• G•••• W••••• A•••••••• L••Mar 12, 2021 · Other
- S••• S•••••• to T•• B•••••• G•••• W••••• A•••••••• L••Mar 12, 2021 · Other
- L••••• L•• S••••••••• to T•• B•••••• G•••• W••••• A•••••••• L••Mar 12, 2021 · Other
- S••• B•• J••••• P••• to T•• B•••••• G•••• W••••• A•••••••• L••Mar 12, 2021 · Other
- R••• C• C••• to T•• B•••••• G•••• W••••• A•••••••• L••Mar 12, 2021 · Other
Joined, latest
- E••• C•••••• T•••••• from M•• I•••••••• S•••••••• L••Dec 12, 2019 · Other
- D••••• M•••• S•••••• from M••••• L••Sep 19, 2019 · Other
- S••• S•••••• from E•••••••• A•••••••• L••Jan 9, 2019 · Other
- S•••••• Y• from L•••• F••••May 9, 2018 · Other
- R••• C• C••• from E•••••••• A•••••••• L••Feb 1, 2018 · Other
- T••• R•••••• S•••• from E•••••••• A•••••••• L••Feb 2, 2016 · Other
- S••• B•• J••••• P••• from E•••••••• A•••••••• L••Jan 22, 2016 · Other
- G•••••• C••••••• H•••••••• from E•••••••• A•••••••• L••Jan 20, 2016 · Other
- J•••••• P••• W•••••• from E•••••••• A•••••••• L••Dec 21, 2015 · Other
- D•••• G••••• from E•••••••• A•••••••• L••Dec 21, 2015 · Other
- T••••• B••• from E•••••••• A•••••••• L••Dec 21, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 12 left for T•• B•••••• G•••• W••••• A•••••••• L••Mar 12, 2021 · Irvine, Ca · Firm absorbed
- 2 joined from E•••••••• A•••••••• L••Oct 3, 2019 · Irvine, Ca
- 6 joined from E•••••••• A•••••••• L••Sep 16, 2016 · Irvine, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• B••••• A••• · Chief Compliance Officercontrolsince 02/2017 · owns less than 5%
- G•••••• D••••• L•• · Presidentcontrolsince 11/2015 · owns 75% or more
- A••••••• K••••••• M••••• · Shareholdersince 11/2015 · owns 5% to 10%
- B•••• T•••••• R• · Partnersince 04/2019 · owns 5% to 10%
Related persons
Schedule D 7.A
- B•••••• B••••••• I•••••••• S•••••••• I•••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 577 to 707Oct 15, 2019 to Mar 6, 2020
- Advisory employees · 12 to 14Oct 15, 2019 to Mar 6, 2020
- BD registered reps · 12 to 14Oct 15, 2019 to Mar 6, 2020
- HNW clients · 154 to 125Oct 15, 2019 to Mar 6, 2020
- Individual clients · 77 to 182Oct 15, 2019 to Mar 6, 2020
- Pension plan clients · 78 to 85Oct 15, 2019 to Mar 6, 2020
- Employees · 12 to 14Oct 15, 2019 to Mar 6, 2020
- Discretionary RAUM · $1.3B to $304MOct 15, 2019 to Mar 6, 2020
- HNW RAUM · $174M to $214MOct 15, 2019 to Mar 6, 2020
- Individual RAUM · $48.6M to $49.5MOct 15, 2019 to Mar 6, 2020
- Non-discretionary RAUM · $141M to $2.2BOct 15, 2019 to Mar 6, 2020
- Pension RAUM · $1.1B to $2.1BOct 15, 2019 to Mar 6, 2020
- RAUM · $1.5B to $2.5BOct 15, 2019 to Mar 6, 2020
- Accounts · 556 to 577May 23, 2018 to Mar 27, 2019
- Advisory employees · 10 to 12May 23, 2018 to Mar 27, 2019
- BD registered reps · 10 to 12May 23, 2018 to Mar 27, 2019
- Corporate clients · 19 to 9May 23, 2018 to Mar 27, 2019
- HNW clients · 177 to 154May 23, 2018 to Mar 27, 2019
- Individual clients · 291 to 77May 23, 2018 to Mar 27, 2019
- Pension plan clients · 69 to 78May 23, 2018 to Mar 27, 2019
- Employees · 14 to 12May 23, 2018 to Mar 27, 2019
- State-registered IARs · 10 to 0May 23, 2018 to Mar 27, 2019
- Discretionary RAUM · $210M to $1.3BMay 23, 2018 to Mar 27, 2019
- HNW RAUM · $125M to $174MMay 23, 2018 to Mar 27, 2019
- Individual RAUM · $65.0M to $48.6MMay 23, 2018 to Mar 27, 2019
- Non-discretionary RAUM · $1.2B to $141MMay 23, 2018 to Mar 27, 2019
- Pension RAUM · $1.0B to $1.1BMay 23, 2018 to Mar 27, 2019
- RAUM · $1.4B to $1.5BMay 23, 2018 to Mar 27, 2019
- Accounts · 479 to 556Sep 29, 2017 to Mar 15, 2018
- Advisory employees · 8 to 10Sep 29, 2017 to Mar 15, 2018
- BD registered reps · 8 to 10Sep 29, 2017 to Mar 15, 2018
- Corporate clients · unset to 19.0Sep 29, 2017 to Mar 15, 2018
- HNW clients · unset to 177.0Sep 29, 2017 to Mar 15, 2018
- Individual clients · unset to 291.0Sep 29, 2017 to Mar 15, 2018
- Pension plan clients · unset to 69.0Sep 29, 2017 to Mar 15, 2018
- Employees · 12 to 14Sep 29, 2017 to Mar 15, 2018
- Insurance-licensed employees · 8 to 0Sep 29, 2017 to Mar 15, 2018
- State-registered IARs · 8 to 10Sep 29, 2017 to Mar 15, 2018
- Other offices · unset to 0.0Sep 29, 2017 to Mar 15, 2018
- Discretionary RAUM · $157M to $210MSep 29, 2017 to Mar 15, 2018
Signals
4 dated events
- B•••••• G••••• W••••• A•••••••• I••• reported RAUM $2.5B, up 71% from $1.5B (2019-10-15 to 2020-03-06)Mar 6, 2020 · RAUM change · derived
- B•••••• G••••• W••••• A•••••••• I••• reported 0 state-registered advisory representatives, down from 10 (2018-05-23 to 2019-03-27)Mar 27, 2019 · Advisor headcount change · derived
- B•••••• G••••• W••••• A•••••••• I••• reported RAUM $1.4B, up 380% from $283.9M (2017-09-29 to 2018-03-15)Mar 15, 2018 · RAUM change · derived
- B•••••• G••••• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Nov 4, 2015 · 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