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••••••••• P•••••••
Legal name B••••••••• A••••••• P•••••••• L••
Latest filing Jul 11, 2024
First filing on the tape Sep 11, 2019 · 20 filings
SEC status approved since Oct 15, 2019
RAUM
$853M
reported, Item 5.F
Discretionary
43%
of RAUM
Private clients
100%
$853M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$853M as of Mar 29, 2024
Feb 12, 2020$194M then
HNW client RAUM$853M as of Mar 29, 2024
Feb 12, 2020$194M then
State-registered IARs (5.B.3)6 as of Mar 29, 2024
Feb 12, 20206 then
Employees (5.A)12 as of Mar 29, 2024
Feb 12, 20206 then
Private funds: no history
RAUM +14% over the last fiscal year+35% a year over threeIARs 7 to 6offices 2 to 1
Practice profile
derived from the filing of Jul 11, 2024; every figure names its basis
- RAUM per advisor
- $142MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.4MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 43%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.9%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $271M, 72 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$853M100%
- Individuals$393,2090.0%
- Individual clients
- 6reported
- HNW clients
- 102reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 486reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $271M for 72 clientsreported
- 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
- P••• R•• K•••••••• to P•••••••Mar 27, 2025 · RIA to RIA
- J••••• C• B••••••• to P•••••••Mar 6, 2025 · RIA to RIA
- A•••••• C••• H••••• to C•••••• A•••• M••••••••• L••Jun 17, 2024 · RIA to RIA
- L••••• P•• W••••• to C•••••• A•••• M••••••••• L••Apr 29, 2024 · RIA to RIA
Joined, latest
- L••••• P•• W••••• from C•••••• A•••• M••••••••• L••Mar 7, 2022 · RIA to RIA
- J••••• C• B••••••• from J••• M••••• S••••••••• L••Nov 19, 2020 · Wirehouse to independent RIA
- P••• R•• K•••••••• from W•• P•••••••• L••Nov 12, 2019 · RIA to a newly registered adviser
- A•••••• C••• H••••• from W•• P•••••••• L••Nov 12, 2019 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•• P•••••••• L••Nov 26, 2019 · Towson, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• J•••••• C• · Membercontrolsince 08/2020 · owns 25% to 50%
- K••••••••• P•••• R•• · Managing Membercontrolsince 11/2019 · owns 25% to 50%
- P••••••• R•••• D•••• · Member And Chief Compliance Officercontrolsince 11/2019 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Baltimore, Md · principal | 0 | 0 | 0 | ||
| Mclean, Va | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Mclean, VA1 employees
What changed
consecutive filings, newest first
- Other offices · 2 to 1Mar 29, 2024 to Jul 11, 2024
- Accounts · 452 to 486Apr 19, 2023 to Mar 29, 2024
- Advisory employees · 7 to 6Apr 19, 2023 to Mar 29, 2024
- HNW clients · 100 to 102Apr 19, 2023 to Mar 29, 2024
- Individual clients · 9 to 6Apr 19, 2023 to Mar 29, 2024
- Employees · 14 to 12Apr 19, 2023 to Mar 29, 2024
- State-registered IARs · 7 to 6Apr 19, 2023 to Mar 29, 2024
- Discretionary RAUM · $334M to $368MApr 19, 2023 to Mar 29, 2024
- HNW RAUM · $747M to $853MApr 19, 2023 to Mar 29, 2024
- Individual RAUM · $511,334 to $393,209Apr 19, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $414M to $485MApr 19, 2023 to Mar 29, 2024
- RAUM · $748M to $853MApr 19, 2023 to Mar 29, 2024
- Accounts · 324 to 452Oct 7, 2022 to Mar 28, 2023
- HNW clients · 78 to 100Oct 7, 2022 to Mar 28, 2023
- Individual clients · 6 to 9Oct 7, 2022 to Mar 28, 2023
- Assets in custody · $376M to $271MOct 7, 2022 to Mar 28, 2023
- Employees · 11 to 14Oct 7, 2022 to Mar 28, 2023
- Financial planning clients · 51-100 to 101-250Oct 7, 2022 to Mar 28, 2023
- Discretionary RAUM · $375M to $334MOct 7, 2022 to Mar 28, 2023
- HNW RAUM · $691M to $747MOct 7, 2022 to Mar 28, 2023
- Individual RAUM · $432,246 to $511,334Oct 7, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $316M to $414MOct 7, 2022 to Mar 28, 2023
- RAUM · $692M to $748MOct 7, 2022 to Mar 28, 2023
- Other offices · 1 to 2Mar 30, 2022 to Oct 6, 2022
- Accounts · 269 to 324Mar 30, 2021 to Mar 30, 2022
- Advisory employees · 6 to 7Mar 30, 2021 to Mar 30, 2022
- Advisory activities · 5 to 3Mar 30, 2021 to Mar 30, 2022
- Charity clients · 12 to 0Mar 30, 2021 to Mar 30, 2022
- HNW clients · 63 to 78Mar 30, 2021 to Mar 30, 2022
- Individual clients · 0 to 6Mar 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 4 to 0Mar 30, 2021 to Mar 30, 2022
- Assets in custody · $345M to $376MMar 30, 2021 to Mar 30, 2022
- Employees · 6 to 11Mar 30, 2021 to Mar 30, 2022
- State-registered IARs · 6 to 7Mar 30, 2021 to Mar 30, 2022
- Other offices · 0 to 1Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $345M to $375MMar 30, 2021 to Mar 30, 2022
- HNW RAUM · $336M to $691MMar 30, 2021 to Mar 30, 2022
- Individual RAUM · $346,009 to $432,246Mar 30, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $0 to $316MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $7.4M to $0Mar 30, 2021 to Mar 30, 2022
Signals
14 dated events
- B••••••••• P••••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $853.1M)May 2, 2025 · Left the SEC roster · derived
- P••• R•• K•••••••• left B••••••••• P••••••• for Pitcairn (registered 2025-04-04)Mar 27, 2025 · Advisor changed firm · fact
- J••••• C• B••••••• left B••••••••• P••••••• for Pitcairn (registered 2025-03-20)Mar 6, 2025 · Advisor changed firm · fact
- C••• A•••••• H••••• (Member) no longer on Schedule A of B••••••••• P••••••• (listed 2024-03-29, absent 2024-07-11)Jul 11, 2024 · Control person left · inference
- A•••••• C••• H••••• left B••••••••• P••••••• for C•••••• A•••• M••••••••• L•• (registered 2024-08-27)Jun 17, 2024 · Advisor changed firm · fact
- L••••• P•• W••••• left B••••••••• P••••••• for C•••••• A•••• M••••••••• L•• (registered 2024-06-20)Apr 29, 2024 · Advisor changed firm · fact
- B••••••••• P••••••• reported RAUM $691.6M, up 101% from $344.6M (2021-03-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- B••••••••• P••••••• reported RAUM $344.6M, up 77% from $194.3M (2020-07-31 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- C. J••••• B••••••• (Member) appeared on Schedule A of B••••••••• P•••••••Mar 30, 2021 · Control person joined · fact
- Adam Daniel Bernstein (Chief Compliance Officer) no longer on Schedule A of B••••••••• P••••••• (listed 2019-09-12, absent 2019-11-12)Nov 12, 2019 · Control person left · inference
- C••• A•••••• H••••• (Member) appeared on Schedule A of B••••••••• P•••••••Nov 12, 2019 · Control person joined · fact
- Roy Pace Kessenich (Managing Member) appeared on Schedule A of B••••••••• P•••••••Nov 12, 2019 · Control person joined · fact
- David Ryan Pollard (Member And Chief Compliance Officer) appeared on Schedule A of B••••••••• P•••••••Nov 12, 2019 · Control person joined · fact
- O•••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Sep 11, 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