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••••• A•••••••• L••

Former SEC-registered adviserGarden City, New YorkCRD 284167SEC 801-108024IAPD
Latest filing Aug 29, 2019
First filing on the tape Jun 17, 2016 · 37 filings
RAUM
$80.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$79.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$131M as of Mar 5, 2019
Mar 30, 2017$84.0M then
HNW client RAUM$46.4M as of Mar 5, 2019
Feb 8, 2018$80.0M then
State-registered IARs (5.B.3)4 as of Mar 5, 2019
Mar 30, 20175 then
Employees (5.A)6 as of Mar 5, 2019
Mar 30, 20175 then
Private funds: no history
RAUM -32% over the last fiscal yearIARs 5 to 4offices 2 to 0
Practice profile
derived from the filing of Aug 29, 2019; every figure names its basis
RAUM per advisor
$20.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
45derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$204,376derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
  • 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
  • High-net-worth individuals$43.1M54%
  • Individuals$36.8M46%
  • Pension and profit-sharing plans$242,9110.3%
  • Corporations and businesses$180,9120.2%
Individual clients
144reported
HNW clients
34reported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
393reported
Financial planning clients
251-500reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K•••••• P••••••• M•••••• · Chief Operations Officer / Ccocontrol
    since 02/2018 · owns less than 5%
  • L•••••• J••••••• A•••• · Ceo / Director Of Financial Planningcontrol
    since 07/2016 · owns less than 5%
  • K•••••• P••••••• M•••••• · Managing Membercontrol
    since 09/2017 · owns 25% to 50% of B•• H•••••••• L••
  • L•••••• J••••••• A•••• · Managing Membercontrol
    since 07/2016 · owns 50% to 75% of B•• H•••••••• L••
Entity owners
  • B•• H•••••••• L•• · Managing Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • B•••••••• R••• M••••••••• L••
    real estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 585 to 393
    Jul 9, 2019 to Aug 29, 2019
  • Advisory employees · 5 to 4
    Jul 9, 2019 to Aug 29, 2019
  • Corporate clients · unset to 1.0
    Jul 9, 2019 to Aug 29, 2019
  • HNW clients · 199 to 34
    Jul 9, 2019 to Aug 29, 2019
  • Individual clients · 60 to 144
    Jul 9, 2019 to Aug 29, 2019
  • Employees · 5 to 4
    Jul 9, 2019 to Aug 29, 2019
  • State-registered IARs · 5 to 4
    Jul 9, 2019 to Aug 29, 2019
  • Other offices · 1 to 0
    Jul 9, 2019 to Aug 29, 2019
  • Discretionary RAUM · $113M to $80.3M
    Jul 9, 2019 to Aug 29, 2019
  • HNW RAUM · $46.4M to $43.1M
    Jul 9, 2019 to Aug 29, 2019
  • Individual RAUM · $82.8M to $36.8M
    Jul 9, 2019 to Aug 29, 2019
  • Non-discretionary RAUM · $17.6M to $0
    Jul 9, 2019 to Aug 29, 2019
  • Pension RAUM · $1.5M to $242,911
    Jul 9, 2019 to Aug 29, 2019
  • RAUM · $131M to $80.3M
    Jul 9, 2019 to Aug 29, 2019
  • Advisory employees · 4 to 5
    Mar 8, 2019 to Jul 9, 2019
  • Employees · 6 to 5
    Mar 8, 2019 to Jul 9, 2019
  • State-registered IARs · 4 to 5
    Mar 8, 2019 to Jul 9, 2019
  • Wrap assets (manager) · 0.0 to unset
    Mar 8, 2019 to Jul 9, 2019
  • Wrap assets (sponsor) · 0.0 to unset
    Mar 8, 2019 to Jul 9, 2019
  • Accounts · 578 to 585
    Jan 7, 2019 to Mar 5, 2019
  • HNW clients · 53 to 199
    Jan 7, 2019 to Mar 5, 2019
  • Individual clients · 195 to 60
    Jan 7, 2019 to Mar 5, 2019
  • Pension plan clients · 3 to 2
    Jan 7, 2019 to Mar 5, 2019
  • Employees · 4 to 6
    Jan 7, 2019 to Mar 5, 2019
  • Financial planning clients · 1-10 to 251-500
    Jan 7, 2019 to Mar 5, 2019
  • Other offices · 2 to 1
    Jan 7, 2019 to Mar 5, 2019
  • Discretionary RAUM · $97.9M to $113M
    Jan 7, 2019 to Mar 5, 2019
  • HNW RAUM · $80.0M to $46.4M
    Jan 7, 2019 to Mar 5, 2019
  • Individual RAUM · $36.5M to $82.8M
    Jan 7, 2019 to Mar 5, 2019
  • Non-discretionary RAUM · $20.3M to $17.6M
    Jan 7, 2019 to Mar 5, 2019
  • Pension RAUM · $1.6M to $1.5M
    Jan 7, 2019 to Mar 5, 2019
  • RAUM · $118M to $131M
    Jan 7, 2019 to Mar 5, 2019
  • Related adviser · true to false
    Jan 7, 2019 to Mar 5, 2019
  • Wrap assets (manager) · $11.3M to $0
    Jan 7, 2019 to Mar 5, 2019
  • Wrap assets (sponsor) · $11.3M to $0
    Jan 7, 2019 to Mar 5, 2019
  • Advisory employees · 5 to 4
    Nov 28, 2018 to Jan 7, 2019
  • Employees · 5 to 4
    Nov 28, 2018 to Jan 7, 2019
  • State-registered IARs · 5 to 4
    Nov 28, 2018 to Jan 7, 2019
  • Advisory employees · 6 to 5
    Oct 22, 2018 to Nov 28, 2018
  • Employees · 6 to 5
    Oct 22, 2018 to Nov 28, 2018
Signals
2 dated events
  • Mauricio German Ramirez (Managing Member) no longer on Schedule A of B•••••••• W••••• A•••••••• L•• (listed 2019-07-09, absent 2019-08-29)
    Aug 29, 2019 · Control person left · inference
  • B•••••••• W••••• A••••••• filed its initial SEC registration (Form ADV)
    Jun 17, 2016 · 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