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••••• C•••••• H•••••••
Legal name B•• S••••• C•••••• H••••••• L••
Latest filing Nov 3, 2023
First filing on the tape Apr 26, 2022 · 11 filings
RAUM
$75.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
27%
$20.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
$9.9M gross assets
History
11 filings and snapshots on the tape
RAUM$75.9M as of Nov 3, 2023
Apr 26, 2022$33.0M then
HNW client RAUM$5.3M as of Nov 3, 2023
Apr 26, 2022$5.0M then
State-registered IARs (5.B.3)4 as of Nov 3, 2023
Apr 26, 20224 then
Employees (5.A)12 as of Nov 3, 2023
Apr 26, 202214 then
Private funds1 as of Nov 3, 2023
Mar 22, 20231 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 3, 2023; every figure names its basis
- RAUM per advisor
- $19.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 125derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $151,800derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 65%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 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, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consultingreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- the adviser acts as qualified custodian (9.D.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$49.0M65%
- Individuals$15.4M20%
- Pooled investment vehicles$5.5M7.2%
- High-net-worth individuals$5.3M7.0%
- Pension and profit-sharing plans$661,0000.9%
- Individual clients
- 494reported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 500reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- 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
- E••••• S• A•••••••• to P•••••• C••••• I•••••••••Apr 10, 2024 · RIA to a state-registered adviser
- D•••••• A•••••• to P•••••• C••••• I•••••••••Apr 10, 2024 · RIA to a state-registered adviser
- L•••• E•• I••• to F• C•••••• G••••Aug 10, 2020 · RIA to a state-registered adviser
Joined, latest
- L•••• E•• I••• from F• C•••••• G••••Oct 8, 2019 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P•••••• C••••• I•••••••••Apr 10, 2024 · Fremont, Ca
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•• P••• F••• I• | Real Estate Fund | $9.9M | 6 | Mar 22, 2023 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• W••••••• L•••• · Cio, Ccocontrolsince 08/2018 · owns 75% or more
Related persons
Schedule D 7.A
- A•• P••• F••• I• G•• L••pooled vehicle sponsorcustodiany
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lemon Grove, Ca | 0 | 0 | 0 | ||
| Fremont, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Venice, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 225 to 500Oct 16, 2023 to Nov 3, 2023
- Individual clients · 263 to 494Oct 16, 2023 to Nov 3, 2023
- Discretionary RAUM · $41.9M to $75.9MOct 16, 2023 to Nov 3, 2023
- RAUM · $41.9M to $75.9MOct 16, 2023 to Nov 3, 2023
- Advisory activities · 4 to 5Aug 3, 2023 to Oct 16, 2023
- HNW clients · 60 to 5Aug 3, 2023 to Oct 16, 2023
- Individual clients · 165 to 263Aug 3, 2023 to Oct 16, 2023
- Pooled vehicle clients · unset to 1.0Aug 3, 2023 to Oct 16, 2023
- Discretionary RAUM · $33.0M to $41.9MAug 3, 2023 to Oct 16, 2023
- HNW RAUM · $13.0M to $5.3MAug 3, 2023 to Oct 16, 2023
- Individual RAUM · $5.0M to $15.4MAug 3, 2023 to Oct 16, 2023
- Non-discretionary RAUM · $450M to $0Aug 3, 2023 to Oct 16, 2023
- Pension RAUM · unset to 661000.0Aug 3, 2023 to Oct 16, 2023
- Pooled vehicle RAUM · unset to 5500000.0Aug 3, 2023 to Oct 16, 2023
- RAUM · $483M to $41.9MAug 3, 2023 to Oct 16, 2023
- Employees · 4 to 12Mar 10, 2023 to Mar 22, 2023
- Private funds · unset to 1Mar 10, 2023 to Mar 22, 2023
- Accounts · 61 to 225Feb 10, 2023 to Feb 13, 2023
- Advisory activities · 5 to 4Feb 10, 2023 to Feb 13, 2023
- HNW clients · 5 to 60Feb 10, 2023 to Feb 13, 2023
- Individual clients · 60 to 165Feb 10, 2023 to Feb 13, 2023
- Employees · 14 to 4Feb 10, 2023 to Feb 13, 2023
- Financial planning clients · 11-25 to 101-250Feb 10, 2023 to Feb 13, 2023
- Discretionary RAUM · $17.0M to $33.0MFeb 10, 2023 to Feb 13, 2023
- HNW RAUM · $5.0M to $13.0MFeb 10, 2023 to Feb 13, 2023
- Individual RAUM · $12.0M to $5.0MFeb 10, 2023 to Feb 13, 2023
- Non-discretionary RAUM · $16.0M to $450MFeb 10, 2023 to Feb 13, 2023
- RAUM · $33.0M to $483MFeb 10, 2023 to Feb 13, 2023
Signals
5 dated events
- D•••••• A•••••• left B•• S••••• C•••••• H••••••• for P•••••• C••••• I••••••••• (registered 2024-05-17)Apr 10, 2024 · Advisor changed firm · fact
- 2 advisors left B•• S••••• C•••••• H••••••• (Fremont, CA) for P•••••• C••••• I••••••••• on the same dayApr 10, 2024 · Team lift-out · derived
- E••••• S• A•••••••• left B•• S••••• C•••••• H••••••• for P•••••• C••••• I••••••••• (registered 2024-05-17)Apr 10, 2024 · Advisor changed firm · fact
- B•• S••••• C•••••• H••••••• reported RAUM $41.9M, down 91% from $483.0M (2023-08-03 to 2023-10-16)Oct 16, 2023 · RAUM change · derived
- B•• S••••• C•••••• H••••••• filed its initial SEC registration (Form ADV)Apr 26, 2022 · 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
Across the graphs
B•• S••••• C•••••• H••••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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