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••••••• S••••• A•••• M•••••••••

Former SEC-registered adviserDenver, ColoradoCRD 288719SEC 801-110869IAPD
Legal name B••••••• S••••• A•••• M••••••••• L••
Latest filing Apr 2, 2018
First filing on the tape Jun 23, 2017 · 3 filings
RAUM
$145M
reported, Item 5.F
Discretionary
4.5%
of RAUM
Private clients
4.5%
$6.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$145M as of Apr 2, 2018
Nov 21, 2017$145M then
HNW client RAUM$6.5M as of Apr 2, 2018
Nov 21, 2017$6.5M then
State-registered IARs (5.B.3)0 as of Apr 2, 2018
Jun 23, 20170 then
Employees (5.A)2 as of Apr 2, 2018
Jun 23, 20172 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 2, 2018; 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
$817,445derivedHNW RAUM over HNW clients
Average account
$8.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
4.5%derivedof RAUM
Institutional
95%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Insurance companies$138M95%
  • High-net-worth individuals$6.5M4.5%
Individual clients
n/areported
HNW clients
8reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
17reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• M••••••• W•••••• · Chief Executive Officercontrol
        since 05/2017 · owns 50% to 75%
      • K••••••• D•••• F• · President And Ccocontrol
        since 05/2017 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Non-discretionary RAUM · $138M to $138M
        Nov 21, 2017 to Apr 2, 2018
      • RAUM · $145M to $145M
        Nov 21, 2017 to Apr 2, 2018
      • Accounts · unset to 17.0
        Jun 23, 2017 to Nov 21, 2017
      • Advisory activities · 1 to 2
        Jun 23, 2017 to Nov 21, 2017
      • HNW clients · unset to 8.0
        Jun 23, 2017 to Nov 21, 2017
      • Financial planning clients · 0 to 11-25
        Jun 23, 2017 to Nov 21, 2017
      • Other offices · unset to 1.0
        Jun 23, 2017 to Nov 21, 2017
      • Discretionary RAUM · unset to 6539561.0
        Jun 23, 2017 to Nov 21, 2017
      • HNW RAUM · unset to 6539561.0
        Jun 23, 2017 to Nov 21, 2017
      • Non-discretionary RAUM · unset to 138465951.0
        Jun 23, 2017 to Nov 21, 2017
      • RAUM · unset to 145005512.0
        Jun 23, 2017 to Nov 21, 2017
      Signals
      1 dated events
      • B••••••• S••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)
        Jun 23, 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