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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SEC-registered adviser
B•••••••• • B•••••••• F•••••••• A••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 27, 2019 · 21 filings
SEC status approved since Apr 29, 2019
RAUM
$423M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
91%
$383M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$52.9M
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$423M as of Mar 31, 2026
Mar 25, 2020$114M then
HNW client RAUM$232M as of Mar 31, 2026
Mar 25, 2020$43.4M then
State-registered IARs (5.B.3)8 as of Mar 31, 2026
Mar 25, 20207 then
Employees (5.A)8 as of Mar 31, 2026
Mar 25, 20207 then
Private funds: no history
RAUM +37% over the last fiscal year+25% a year over threeIARs 6 to 8
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $47.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $261,256derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 9.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 2.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +37%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 800reportedItem 5.H
- Wrap fee program
- $366MreportedItem 5.I
- 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$232M55%
- Individuals$151M36%
- Pension and profit-sharing plans$36.4M8.6%
- Charitable organizations$3.6M0.8%
- Individual clients
- 676reported
- HNW clients
- 121reported
- Pension plan clients
- 6reported
- Charitable clients
- 4reported
- Accounts
- 1,619reported
- Financial planning clients
- 800reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.09 related_bd=true related_bank=false bd_reps=8.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•• N••••• B••••••••Certified Financial Planner | San Luis Obispo, Ca | Jun 22, 2017 | 31 y | 0 |
| T••••• W••••• | San Luis Obispo, Ca | Jun 29, 2017 | 28 y | 0 |
| S•••••• A••••• H•••••••• | San Luis Obispo, Ca | Jul 19, 2017 | 28 y | 0 |
| D•••• W•••••• C•••••Certified Financial Planner | San Luis Obispo,, Ca | Jul 21, 2017 | 43 y | 0 |
| D•••••• M••••••• T••••• | San Luis Obispo, Ca | Mar 12, 2018 | 20 y | 0 |
| C•••• S••••• D••••••Certified Financial Planner | San Luis Obispo, Ca | Jan 3, 2025 | 24 y | 0 |
| D•••• R•••••• F••• | San Luis Obispo, Ca | May 14, 2025 | 28 y | 3 |
| T••••• T•••••• S•••••• | San Luis Obispo, Ca | May 14, 2025 | 14 y | 0 |
| G••• A••• P•••• | Napa, Ca | Sep 14, 2026 | 39 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 13% of current headcount1 left over 36 months
Left, latest
- C••••••••• W••• C••••• to S•••• L••Jul 13, 2026 · RIA to RIA
Joined, latest
- G••• A••• P•••• from E••••• J••••Sep 14, 2026 · Affiliated broker-dealer or bank to independent RIA
- D•••• R•••••• F••• from C•••••• C••••• G••••• I•••May 14, 2025 · Other
- C••••••••• W••• C••••• from B•••••••• A•• B•••••••• I•••Jul 26, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• S••• N••••• · President & Chief Executive Officercontrolsince 11/2016 · owns 75% or more
- D••••••• C••••• S••••• · Chief Investment Officercontrolsince 01/2017 · owns 10% to 25%
- T•••••• D••••••• M••••••• · Chief Operating Officer & Chief Compliance Officercontrolsince 01/2019 · owns 5% to 10%
Related persons
Schedule D 7.A
- B•••••••• A•• B•••••••• I•••broker-dealerreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Luis Obispo, Ca · principal | 7 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- San Luis Obispo, CA4 employees
- Paso Robles, CA2 employees
- Santa Maria, CA1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 727.0 to 1,619.0 (+123.0%) between the annual amendments of 2025-04-01 and 2026-03-31; the peer median change was +5.0% (3687 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 98% percentile
- RAUM up 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $308,492,461 to $422,974,204 (+37.0%) between the annual amendments of 2025-04-01 and 2026-03-31; the peer median change was +15.0% (4550 comparable advisers, 91.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 91% percentile
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 36.0% to 55.0% between the annual amendments of 2025-04-01 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 727 to 1,619Apr 1, 2025 to Mar 31, 2026
- Advisory employees · 5 to 7Apr 1, 2025 to Mar 31, 2026
- BD registered reps · 6 to 8Apr 1, 2025 to Mar 31, 2026
- HNW clients · 61 to 121Apr 1, 2025 to Mar 31, 2026
- Individual clients · 656 to 676Apr 1, 2025 to Mar 31, 2026
- Employees · 7 to 8Apr 1, 2025 to Mar 31, 2026
- State-registered IARs · 6 to 8Apr 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $281M to $387MApr 1, 2025 to Mar 31, 2026
- HNW RAUM · $112M to $232MApr 1, 2025 to Mar 31, 2026
- Individual RAUM · $166M to $151MApr 1, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $27.1M to $36.4MApr 1, 2025 to Mar 31, 2026
- Pension RAUM · $27.1M to $36.4MApr 1, 2025 to Mar 31, 2026
- RAUM · $308M to $423MApr 1, 2025 to Mar 31, 2026
- Accounts · 718 to 727Jun 13, 2024 to Apr 1, 2025
- HNW clients · 80 to 61Jun 13, 2024 to Apr 1, 2025
- Individual clients · 631 to 656Jun 13, 2024 to Apr 1, 2025
- Pension plan clients · 3 to 6Jun 13, 2024 to Apr 1, 2025
- Financial planning clients · More than 500 to More than 500Jun 13, 2024 to Apr 1, 2025
- Discretionary RAUM · $251M to $281MJun 13, 2024 to Apr 1, 2025
- HNW RAUM · $116M to $112MJun 13, 2024 to Apr 1, 2025
- Individual RAUM · $132M to $166MJun 13, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $11.9M to $27.1MJun 13, 2024 to Apr 1, 2025
- Pension RAUM · $11.9M to $27.1MJun 13, 2024 to Apr 1, 2025
- RAUM · $263M to $308MJun 13, 2024 to Apr 1, 2025
- Accounts · 684 to 718Jun 2, 2023 to Mar 31, 2024
- Advisory employees · 6 to 5Jun 2, 2023 to Mar 31, 2024
- BD registered reps · 7 to 6Jun 2, 2023 to Mar 31, 2024
- HNW clients · 55 to 80Jun 2, 2023 to Mar 31, 2024
- Individual clients · 623 to 631Jun 2, 2023 to Mar 31, 2024
- Pension plan clients · 2 to 3Jun 2, 2023 to Mar 31, 2024
- Assets in custody · 1700000.0 to unsetJun 2, 2023 to Mar 31, 2024
- Custody of client assets · true to falseJun 2, 2023 to Mar 31, 2024
- State-registered IARs · 7 to 6Jun 2, 2023 to Mar 31, 2024
- Discretionary RAUM · $206M to $251MJun 2, 2023 to Mar 31, 2024
- HNW RAUM · $84.4M to $116MJun 2, 2023 to Mar 31, 2024
- Individual RAUM · $118M to $132MJun 2, 2023 to Mar 31, 2024
- Non-discretionary RAUM · $8.4M to $11.9MJun 2, 2023 to Mar 31, 2024
- Pension RAUM · $8.4M to $11.9MJun 2, 2023 to Mar 31, 2024
- RAUM · $214M to $263MJun 2, 2023 to Mar 31, 2024
- Accounts · 1,134 to 684Mar 28, 2022 to Mar 31, 2023
Signals
9 dated events
- G••• A••• P•••• added a OR registration at B•••••••• • B•••••••• F•••••••• A••••••• I•••Sep 17, 2026 · New state registration · fact
- G••• A••• P•••• added a IL registration at B•••••••• • B•••••••• F•••••••• A••••••• I•••Sep 16, 2026 · New state registration · fact
- G••• A••• P•••• registered as an investment adviser representative at B•••••••• • B•••••••• F•••••••• A••••••• I•••Sep 14, 2026 · Advisor registered · fact
- G••• A••• P•••• added a CA registration at B•••••••• • B•••••••• F•••••••• A••••••• I•••Sep 14, 2026 · New state registration · fact
- G••• A••• P•••• added a TX registration at B•••••••• • B•••••••• F•••••••• A••••••• I•••Sep 14, 2026 · New state registration · fact
- G••• A••• P•••• added a WA registration at B•••••••• • B•••••••• F•••••••• A••••••• I•••Sep 14, 2026 · New state registration · fact
- C••••••••• W••• C••••• left B•••••••• • B•••••••• F•••••••• A••••••• I••• for S•••• L•• (registered 2026-07-08)Jul 13, 2026 · Advisor changed firm · fact
- B•••••••• • B•••••••• F•••••••• A••••••• I••• reported RAUM $423.0M, up 37% from $308.5M (2025-04-01 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- B•••••••• • B•••••••• F•••••••• A••••••• I••• filed its initial SEC registration (Form ADV)Mar 27, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 805-239-3211reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-239-4388reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-543-4366reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- mybbfa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (805) 543-4366reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- mybbfa.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- mybbfa.com/team-member-01/sam-blakesleereportedpublished by the firm, firm site, Sep 15, 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
- $52.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026