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•••••• • C•••••• P•••••• W••••• M••••••••• L••
Latest filing Feb 27, 2026
First filing on the tape Apr 23, 2018 · 22 filings
SEC status approved since May 23, 2018
RAUM
$252M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$252M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$126M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$252M as of Feb 27, 2026
Mar 22, 2019$90.3M then
HNW client RAUM$249M as of Feb 27, 2026
Mar 22, 2019$76.8M then
State-registered IARs (5.B.3)2 as of Feb 27, 2026
Mar 22, 20191 then
Employees (5.A)3 as of Feb 27, 2026
Mar 22, 20192 then
Private funds: no history
RAUM +12% over the last fiscal year+28% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Feb 27, 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
- RAUM per advisor
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $860,204derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- High-net-worth individuals$249M99%
- Individuals$3.2M1.3%
- Individual clients
- 9reported
- HNW clients
- 50reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 293reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• D••••••••• B••••••Chartered Financial Analyst | Coral Gables, Fl | Jan 13, 2021 | 25 y | 2 |
| M•••••• A•• T••••••••Certified Financial Planner | Concord, Ca | Jun 8, 2021 | 16 y | 0 |
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
- M•••••• D••••••••• B•••••• from B•••••• • C••••••• L••Jan 13, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• M••••••• D••••••••• · Managing Member, Chief Compliance Officercontrolsince 01/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Coral Gables, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 337 to 293Mar 28, 2025 to Feb 27, 2026
- Advisory employees · 1 to 2Mar 28, 2025 to Feb 27, 2026
- Individual clients · 8 to 9Mar 28, 2025 to Feb 27, 2026
- Employees · 2 to 3Mar 28, 2025 to Feb 27, 2026
- State-registered IARs · 1 to 2Mar 28, 2025 to Feb 27, 2026
- Discretionary RAUM · $214M to $241MMar 28, 2025 to Feb 27, 2026
- HNW RAUM · $223M to $249MMar 28, 2025 to Feb 27, 2026
- Individual RAUM · $1.8M to $3.2MMar 28, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $10.8M to $11.1MMar 28, 2025 to Feb 27, 2026
- RAUM · $225M to $252MMar 28, 2025 to Feb 27, 2026
- Accounts · 324 to 337Nov 22, 2024 to Mar 28, 2025
- HNW clients · 47 to 50Nov 22, 2024 to Mar 28, 2025
- Individual clients · 9 to 8Nov 22, 2024 to Mar 28, 2025
- Financial planning clients · 51-100 to 51-100Nov 22, 2024 to Mar 28, 2025
- HQ city · unset to Nov 22, 2024 to Mar 28, 2025
- HQ state · unset to Nov 22, 2024 to Mar 28, 2025
- Discretionary RAUM · $154M to $214MNov 22, 2024 to Mar 28, 2025
- HNW RAUM · $157M to $223MNov 22, 2024 to Mar 28, 2025
- Individual RAUM · $3.4M to $1.8MNov 22, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $6.6M to $10.8MNov 22, 2024 to Mar 28, 2025
- RAUM · $160M to $225MNov 22, 2024 to Mar 28, 2025
- Accounts · 290 to 324Feb 16, 2023 to Feb 2, 2024
- HNW clients · 60 to 47Feb 16, 2023 to Feb 2, 2024
- Individual clients · 6 to 9Feb 16, 2023 to Feb 2, 2024
- Discretionary RAUM · $118M to $154MFeb 16, 2023 to Feb 2, 2024
- HNW RAUM · $118M to $157MFeb 16, 2023 to Feb 2, 2024
- Individual RAUM · $1.3M to $3.4MFeb 16, 2023 to Feb 2, 2024
- Non-discretionary RAUM · $1.2M to $6.6MFeb 16, 2023 to Feb 2, 2024
- RAUM · $119M to $160MFeb 16, 2023 to Feb 2, 2024
- Succession · true to falseFeb 9, 2023 to Feb 16, 2023
- Accounts · 366 to 290Dec 1, 2022 to Feb 9, 2023
- HNW clients · 51 to 60Dec 1, 2022 to Feb 9, 2023
- Discretionary RAUM · $120M to $118MDec 1, 2022 to Feb 9, 2023
- HNW RAUM · $133M to $118MDec 1, 2022 to Feb 9, 2023
- Individual RAUM · $391,126 to $1.3MDec 1, 2022 to Feb 9, 2023
- Non-discretionary RAUM · $13.7M to $1.2MDec 1, 2022 to Feb 9, 2023
- RAUM · $134M to $119MDec 1, 2022 to Feb 9, 2023
- Succession · false to trueDec 1, 2022 to Feb 9, 2023
- Accounts · 269 to 366Nov 23, 2021 to Feb 2, 2022
- Discretionary RAUM · $120M to $120MNov 23, 2021 to Feb 2, 2022
Signals
2 dated events
- B•••••• • C•••••• P•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 23, 2018 · First SEC registration · fact
- B•••••• • C•••••• P•••••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 23, 2018 · Succession (Item 4) · 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
- Website
- b•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-655-5500reportedpublic record, Form ADV, Feb 27, 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
- $126Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026