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•• R••••••••• S•••••••

Former SEC-registered adviserTampa, FloridaCRD 304266SEC 801-116888IAPD
Legal name B•• F•••••••• I••••••••• L••
Latest filing Aug 1, 2024
First filing on the tape May 31, 2019 · 25 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 12, 2024
Mar 25, 20203 then
Employees (5.A)8 as of Mar 12, 2024
Mar 25, 20204 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 8 to 7offices 4 to 3
Practice profile
derived from the filing of Aug 1, 2024; 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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
1.8derived4 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
n/areported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••• T•••••• L•••• · Ceo/Presidentcontrol
      since 09/2021 · owns less than 5%
    • E••••••• L•••• K•• · Chief Compliance Officercontrol
      since 09/2021 · owns less than 5%
    • H•••• B•••••••• L••••• · Chief Financial Officercontrol
      since 09/2021 · owns less than 5%
    • J•••••• K••••••• F•••••• · Managing Partner
      since 09/2021 · owns less than 5%
    Entity owners
    • T•• B•••••• G•••• F•••••••• S••••••• H•••••••• L•• · Owner
      direct · owns 75% or more
    • T•• B•••••• G•••• I•••••••• A••••••• S•••••••• H•••••••• L•• · Owner
      indirect · owns 75% or more of T•• B•••••• G•••• S••••••••• L••
    • T•• B•••••• G•••• S••••••••• L•• · Owner
      indirect · owns 75% or more of T•• B•••••• G•••• F•••••••• S••••••• H•••••••• L••
    • T•• B•••••• I•••••••• G•••• H•••••••• L•• · Owner
      indirect · owns 75% or more of T•• B•••••• G•••• I•••••••• A••••••• S•••••••• H•••••••• L••
    • T•• B•••••• I•••••••• G••••• I••• · Owner
      indirect · owns 25% to 50% of T•• B•••••• I•••••••• G•••• H•••••••• L•• · public reporting company
    Related persons
    Schedule D 7.A
    Advisers that list B•• R••••••••• S••••••• as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Oro Valley, Az000
    Offices
    Schedule D 1.F, the 25 largest
    • Houston, TX5 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Charity clients · unset to 1.0
      Feb 26, 2024 to Mar 12, 2024
    • Corporate clients · 111 to 314
      Feb 26, 2024 to Mar 12, 2024
    • Employees · 10 to 8
      Feb 26, 2024 to Mar 12, 2024
    • State-registered IARs · 8 to 7
      Feb 26, 2024 to Mar 12, 2024
    • Related broker-dealer · false to true
      Feb 26, 2024 to Mar 12, 2024
    • BD registered reps · 1 to 2
      Jun 16, 2023 to Oct 2, 2023
    • Other offices · 4 to 3
      Jun 16, 2023 to Oct 2, 2023
    • Advisory employees · 7 to 8
      Oct 20, 2022 to Mar 16, 2023
    • Charity clients · 2.0 to unset
      Oct 20, 2022 to Mar 16, 2023
    • Corporate clients · 62 to 111
      Oct 20, 2022 to Mar 16, 2023
    • Pension plan clients · 1.0 to unset
      Oct 20, 2022 to Mar 16, 2023
    • Employees · 7 to 10
      Oct 20, 2022 to Mar 16, 2023
    • Insurance-licensed employees · 0 to 1
      Oct 20, 2022 to Mar 16, 2023
    • State-registered IARs · 7 to 8
      Oct 20, 2022 to Mar 16, 2023
    • Advisory employees · 4 to 7
      Dec 20, 2021 to Mar 25, 2022
    • Employees · 4 to 7
      Dec 20, 2021 to Mar 25, 2022
    • Insurance-licensed employees · 1 to 0
      Dec 20, 2021 to Mar 25, 2022
    • State-registered IARs · 4 to 7
      Dec 20, 2021 to Mar 25, 2022
    • Other offices · 3 to 4
      Jul 22, 2021 to Sep 27, 2021
    • Advisory employees · 3 to 4
      Jul 22, 2021 to Sep 27, 2021
    • BD registered reps · 0 to 1
      Jul 22, 2021 to Sep 27, 2021
    • State-registered IARs · 3 to 4
      Jul 22, 2021 to Sep 27, 2021
    • HQ city · CLEARWATER to TAMPA
      Mar 22, 2021 to Jul 22, 2021
    • Other offices · 2 to 3
      Mar 22, 2021 to Jul 22, 2021
    • Corporate clients · 56 to 62
      May 7, 2020 to Mar 22, 2021
    • Pension plan clients · 2 to 1
      May 7, 2020 to Mar 22, 2021
    • Corporate clients · 63 to 56
      Nov 25, 2019 to Mar 25, 2020
    • Related adviser · false to true
      Nov 25, 2019 to Mar 25, 2020
    • Business name · B•• F•••••••• I••••••••• to B•• R••••••••• S•••••••
      Oct 10, 2019 to Oct 18, 2019
    Signals
    6 dated events
    • Lowry Loper Baldwin (Owner) no longer on Schedule A of B•• R••••••••• S••••••• (listed 2024-03-12, absent 2024-05-10)
      May 10, 2024 · Control person left · inference
    • S••••• K••• G••••••• left B•• R••••••••• S••••••• for C•••••• R••••••• • C••••••••• L•• (registered 2024-11-04)
      Jan 3, 2024 · Advisor changed firm · fact
    • Bradford Hale (Chief Financial Officer) appeared on Schedule A of B•• R••••••••• S•••••••
      Sep 27, 2021 · Control person joined · fact
    • Kim Lisa Estrada (Chief Compliance Officer) appeared on Schedule A of B•• R••••••••• S•••••••
      Sep 27, 2021 · Control person joined · fact
    • Trevor Baldwin (Ceo/President) appeared on Schedule A of B•• R••••••••• S•••••••
      Sep 27, 2021 · Control person joined · fact
    • B•• F•••••••• I••••••••• filed its initial SEC registration (Form ADV)
      May 31, 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.
    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