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••••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 299027SEC 801-114193IAPD
Latest filing Dec 16, 2019
First filing on the tape Sep 26, 2018 · 15 filings
RAUM
$45.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$45.9M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$22.9M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$45.9M as of Dec 16, 2019
Sep 26, 2018$50.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Dec 16, 2019
Sep 26, 20181 then
Employees (5.A)2 as of Dec 16, 2019
Sep 26, 20181 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 16, 2019; every figure names its basis
RAUM per advisor
$22.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$849,929derivedRAUM 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
2.0derived1 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, 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$45.9M100%
Individual clients
54reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
54reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T•••• P••••• C••••••Sausalito, CaFeb 28, 201925 y4
A•••• T••••• L••••Sausalito, CaJan 2, 202629 y3
Advisor movement
0 left, 1 joined in 12 months
net +1 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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••••• T••••• P••••• · Co President/Managing Director/Ccocontrol
      since 11/2018 · owns 50% to 75%
    • L••••• A••••• T••••• · Co President
      since 08/2018 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Sausalito, Ca210
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 80 to 54
      Oct 9, 2019 to Nov 16, 2019
    • Individual clients · 80 to 54
      Oct 9, 2019 to Nov 16, 2019
    • Employees · 1 to 2
      Oct 9, 2019 to Nov 16, 2019
    • Discretionary RAUM · $50.0M to $45.9M
      Oct 9, 2019 to Nov 16, 2019
    • Individual RAUM · $50.0M to $45.9M
      Oct 9, 2019 to Nov 16, 2019
    • RAUM · $50.0M to $45.9M
      Oct 9, 2019 to Nov 16, 2019
    • Advisory activities · 1 to 2
      Mar 26, 2019 to Oct 9, 2019
    • Legal name · B•••• S••••• A•••• M••••••••• to B•••• S••••• A•••• M••••••••• L••
      Jan 10, 2019 to Jan 10, 2019
    • Business name · B•••• S••••• A•••• M••••••••• to B•••• S••••• A•••• M••••••••• L••
      Sep 26, 2018 to Sep 27, 2018
    Signals
    1 dated events
    • B•••• S••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)
      Sep 26, 2018 · 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
    $22.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026