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.
SEC-registered adviser
B••••• C••••••• L••
Latest filing Apr 22, 2026
First filing on the tape Jan 13, 2021 · 13 filings
SEC status approved since Feb 12, 2021
RAUM
$278M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$274M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$55.7M
derived; firm RAUM over IAPD count
Employees
5
5 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$278M as of Apr 22, 2026
Jan 11, 2022$154M then
HNW client RAUM$85.9M as of Apr 22, 2026
Jan 11, 2022$40.8M then
State-registered IARs (5.B.3)5 as of Apr 22, 2026
Jan 11, 20224 then
Employees (5.A)5 as of Apr 22, 2026
Jan 11, 20224 then
Private funds: no history
RAUM +58% over the last fiscal year+28% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $55.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 123derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $292,329derivedRAUM 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
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +58%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.8%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$188M68%
- High-net-worth individuals$85.9M31%
- Corporations and businesses$4.0M1.4%
- Individual clients
- 580reported
- HNW clients
- 37reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 952reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••• L•• N••••••Chartered Financial Consultant | Cedar Rapids, Ia | Feb 14, 2017 | 33 y | 3 |
| J•••• H••••• L•••• | Cedar Rapids, Ia | Mar 23, 2017 | 14 y | 1 |
| J••• A••• S••••• | Cedar Rapids, Ia | Jan 5, 2018 | 17 y | 0 |
| K•••• Z••• | Cedar Rapids, Ia | Jul 11, 2019 | 23 y | 2 |
| C••• M•••• E••••••• | Cedar Rapids, Ia | Jan 4, 2024 | 15 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C••• M•••• E••••••• from B•••••• L••• A••••••• S•••••••• I•••Jan 4, 2024 · Affiliated broker-dealer or bank to independent RIA
- K•••• Z••• from W•••• F•••• A•••••••Jul 11, 2019 · Wirehouse to independent RIA
- J•••• H••••• L•••• from V••• F•••••••• A•••••••• I•••Mar 23, 2017 · Other
- B••• L•• N•••••• from V••• F•••••••• A•••••••• I•••Feb 14, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••• B•••• L•• · Chief Compliance Officer/Managing Membercontrolsince 12/2016 · owns 75% or more
Related persons
Schedule D 7.A
- B••• N••••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cedar Rapids, Ia · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up clients flatCombination · filing Apr 22, 2026RAUM grew 50 percent or more while private clients stayed within 5 percent: existing clients grew, a few large clients arrived, or a reporting change. RAUM $176,237,651 to $278,297,015, advisors 5 to 5, private clients 622 to 617, offices 0 to 0 (2025-01-10 to 2026-04-22)peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 50 %Change between filings · filing Apr 22, 2026RAUM (Item 5.F) moved from $176,237,651 to $278,297,015 (+58.0%) between the annual amendments of 2025-01-10 and 2026-04-22; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 951 to 952Jan 14, 2026 to Apr 22, 2026
- Corporate clients · 15 to 12Jan 14, 2026 to Apr 22, 2026
- Individual clients · 596 to 580Jan 14, 2026 to Apr 22, 2026
- Discretionary RAUM · $239M to $278MJan 14, 2026 to Apr 22, 2026
- HNW RAUM · $74.4M to $85.9MJan 14, 2026 to Apr 22, 2026
- Individual RAUM · $161M to $188MJan 14, 2026 to Apr 22, 2026
- RAUM · $239M to $278MJan 14, 2026 to Apr 22, 2026
- Corporate clients · 17 to 15Jan 10, 2025 to Jan 14, 2026
- HNW clients · 29 to 37Jan 10, 2025 to Jan 14, 2026
- Individual clients · 593 to 596Jan 10, 2025 to Jan 14, 2026
- Discretionary RAUM · $176M to $239MJan 10, 2025 to Jan 14, 2026
- HNW RAUM · $49.5M to $74.4MJan 10, 2025 to Jan 14, 2026
- Individual RAUM · $124M to $161MJan 10, 2025 to Jan 14, 2026
- RAUM · $176M to $239MJan 10, 2025 to Jan 14, 2026
- Accounts · 914 to 951Jan 4, 2024 to Jan 10, 2025
- Corporate clients · 16 to 17Jan 4, 2024 to Jan 10, 2025
- HNW clients · 24 to 29Jan 4, 2024 to Jan 10, 2025
- Individual clients · 588 to 593Jan 4, 2024 to Jan 10, 2025
- Financial planning clients · unset to Jan 4, 2024 to Jan 10, 2025
- Discretionary RAUM · $158M to $176MJan 4, 2024 to Jan 10, 2025
- HNW RAUM · $37.2M to $49.5MJan 4, 2024 to Jan 10, 2025
- Individual RAUM · $115M to $124MJan 4, 2024 to Jan 10, 2025
- RAUM · $158M to $176MJan 4, 2024 to Jan 10, 2025
- Accounts · 882 to 914Oct 6, 2023 to Jan 4, 2024
- Advisory employees · 4 to 5Oct 6, 2023 to Jan 4, 2024
- Corporate clients · 15 to 16Oct 6, 2023 to Jan 4, 2024
- HNW clients · 23 to 24Oct 6, 2023 to Jan 4, 2024
- Individual clients · 573 to 588Oct 6, 2023 to Jan 4, 2024
- Employees · 4 to 5Oct 6, 2023 to Jan 4, 2024
- State-registered IARs · 4 to 5Oct 6, 2023 to Jan 4, 2024
- Discretionary RAUM · $142M to $158MOct 6, 2023 to Jan 4, 2024
- HNW RAUM · $32.5M to $37.2MOct 6, 2023 to Jan 4, 2024
- Individual RAUM · $104M to $115MOct 6, 2023 to Jan 4, 2024
- RAUM · $142M to $158MOct 6, 2023 to Jan 4, 2024
- Accounts · 869 to 882Aug 30, 2023 to Oct 6, 2023
- HNW clients · 22 to 23Aug 30, 2023 to Oct 6, 2023
- Individual clients · 556 to 573Aug 30, 2023 to Oct 6, 2023
- Discretionary RAUM · $132M to $142MAug 30, 2023 to Oct 6, 2023
- HNW RAUM · $29.5M to $32.5MAug 30, 2023 to Oct 6, 2023
- Individual RAUM · $101M to $104MAug 30, 2023 to Oct 6, 2023
Signals
1 dated events
- B••••• C••••••• L•• filed its initial SEC registration (Form ADV)Jan 13, 2021 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 319-389-4371reportedpublic record, Form ADV, Apr 22, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $55.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026