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•••••••• F••••• W•••••
Legal name C• F••••• W••••• L••
Latest filing Mar 24, 2025
First filing on the tape Mar 15, 2017 · 27 filings
SEC status approved since Mar 31, 2017
RAUM
$933M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
59%
$550M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$933M as of Mar 24, 2025
Feb 26, 2018$516M then
HNW client RAUM$549M as of Mar 24, 2025
Feb 26, 2018$472M then
State-registered IARs (5.B.3)4 as of Mar 24, 2025
Feb 26, 20184 then
Employees (5.A)5 as of Mar 24, 2025
Feb 26, 20185 then
Private funds: no history
RAUM +10% over the last fiscal year+0.8% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 24, 2025; every figure names its basis
- RAUM per advisor
- $233MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $54.9MderivedHNW RAUM over HNW clients
- Average account
- $6.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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 individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $347M, 9 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$549M59%
- Corporations and businesses$356M38%
- Charitable organizations$27.2M2.9%
- Individuals$959,5130.1%
- Individual clients
- 2reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 142reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $347M for 9 clientsreported
- 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
- B•••••• C••• K••••• M•••• to A•••••••• P•••••••• L••May 22, 2025 · RIA to RIA
- C•••••• R•••• B•••••••• to T•• A•••••••• I•••Oct 27, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- C•••••• R•••• B•••••••• from M•• A••••••• L••Nov 10, 2020 · Other
- M•••••• J••••• C•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 10, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••••• S•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 7, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S•••••• K••••••• M••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 7, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for B•••••••• F••••• W••••• S•••••••• L••May 22, 2025 · Los Angeles, Ca · Firm absorbed
- 3 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 11, 2017 · Beverly Hills, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• M••••••• J••••• · Managing Principalcontrolsince 07/2017 · owns less than 5%
- M••••••••• S••••••• K••••••• · Chief Compliance Officer & Chief Operating Officercontrolsince 05/2017 · owns less than 5%
- C••••••• M••••••• J••••• · Grantor & Trusteecontrolsince 10/2018 · owns F of C•••••• L••••• T••••
- C••••••• P••••• · Grantor & Trusteecontrolsince 10/2018 · owns F of C•••••• L••••• T••••
- S••••• A••••• · Director Of Investmentssince 07/2017 · owns less than 5%
Entity owners
- C•••••• L••••• T•••• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- B•••••••• F••••• W••••• S•••••••• L••investment advisernRAUM $2.5M
- B•••••••• I•••••••• S••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Beverly Hills, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 128 to 142Mar 29, 2024 to Mar 24, 2025
- Advisory employees · 4 to 3Mar 29, 2024 to Mar 24, 2025
- BD registered reps · 3 to 1Mar 29, 2024 to Mar 24, 2025
- Corporate clients · 7 to 5Mar 29, 2024 to Mar 24, 2025
- HNW clients · 12 to 10Mar 29, 2024 to Mar 24, 2025
- Individual clients · unset to 2.0Mar 29, 2024 to Mar 24, 2025
- Assets in custody · $31.7M to $347MMar 29, 2024 to Mar 24, 2025
- Discretionary RAUM · $845M to $933MMar 29, 2024 to Mar 24, 2025
- HNW RAUM · $468M to $549MMar 29, 2024 to Mar 24, 2025
- Individual RAUM · unset to 959513.0Mar 29, 2024 to Mar 24, 2025
- RAUM · $845M to $933MMar 29, 2024 to Mar 24, 2025
- Related adviser · true to falseMar 29, 2024 to Mar 24, 2025
- Accounts · 119 to 128Mar 24, 2023 to Mar 29, 2024
- Corporate clients · 8 to 7Mar 24, 2023 to Mar 29, 2024
- HNW clients · 14 to 12Mar 24, 2023 to Mar 29, 2024
- Assets in custody · $44.9M to $31.7MMar 24, 2023 to Mar 29, 2024
- Employees · 4 to 5Mar 24, 2023 to Mar 29, 2024
- Discretionary RAUM · $857M to $845MMar 24, 2023 to Mar 29, 2024
- HNW RAUM · $464M to $468MMar 24, 2023 to Mar 29, 2024
- RAUM · $857M to $845MMar 24, 2023 to Mar 29, 2024
- Related adviser · false to trueMar 24, 2023 to Mar 29, 2024
- Accounts · 120 to 119Apr 1, 2022 to Mar 24, 2023
- Advisory employees · 5 to 4Apr 1, 2022 to Mar 24, 2023
- BD registered reps · 4 to 3Apr 1, 2022 to Mar 24, 2023
- Corporate clients · 9 to 8Apr 1, 2022 to Mar 24, 2023
- Assets in custody · $49.9M to $44.9MApr 1, 2022 to Mar 24, 2023
- Employees · 5 to 4Apr 1, 2022 to Mar 24, 2023
- State-registered IARs · 5 to 4Apr 1, 2022 to Mar 24, 2023
- Discretionary RAUM · $912M to $857MApr 1, 2022 to Mar 24, 2023
- HNW RAUM · $468M to $464MApr 1, 2022 to Mar 24, 2023
- RAUM · $912M to $857MApr 1, 2022 to Mar 24, 2023
- Accounts · 129 to 120Mar 23, 2021 to Mar 17, 2022
- Corporate clients · 10 to 9Mar 23, 2021 to Mar 17, 2022
- HNW clients · 10 to 14Mar 23, 2021 to Mar 17, 2022
- Assets in custody · $51.7M to $49.9MMar 23, 2021 to Mar 17, 2022
- Discretionary RAUM · $618M to $912MMar 23, 2021 to Mar 17, 2022
- HNW RAUM · $402M to $468MMar 23, 2021 to Mar 17, 2022
- RAUM · $618M to $912MMar 23, 2021 to Mar 17, 2022
- Accounts · 126 to 129May 14, 2020 to Mar 23, 2021
- BD registered reps · 5 to 4May 14, 2020 to Mar 23, 2021
Signals
10 dated events
- B•••••••• F••••• W••••• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $933.0M)Jun 2, 2025 · Left the SEC roster · derived
- B•••••• C••• K••••• M•••• left B•••••••• F••••• W••••• for A•••••••• P•••••••• L•• (registered 2025-04-25)May 22, 2025 · Advisor changed firm · fact
- B•••••••• F••••• W•••••'s advisors moved to B•••••••• F••••• W••••• S•••••••• L•• (Los Angeles, CA): 3 of 4 registered, on the same dayMay 22, 2025 · Firm absorbed (people side) · derived
- C•••••• R•••• B•••••••• left B•••••••• F••••• W••••• for T•• A•••••••• I••• (registered 2023-04-20)Oct 27, 2022 · Advisor changed firm · fact
- B•••••••• F••••• W••••• reported RAUM $911.5M, up 48% from $617.6M (2021-03-23 to 2022-03-17)Mar 17, 2022 · RAUM change · derived
- B•••••••• F••••• W••••• reported RAUM $617.6M, up 37% from $449.5M (2020-05-14 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
- G Andrew Aiello (Partner) no longer on Schedule A of B•••••••• F••••• W••••• (listed 2020-05-14, absent 2021-03-23)Mar 23, 2021 · Control person left · inference
- B•••••••• F••••• W••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 26, 2018 · Succession (Item 4) · fact
- B•••••••• F••••• W••••• reported RAUM $515.8M, up 203% from $170.0M (2017-07-31 to 2018-02-26)Feb 26, 2018 · RAUM change · derived
- B•••• C••• L•• filed its initial SEC registration (Form ADV)Mar 15, 2017 · 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