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•••••• G•••••••• F•••••••• A••••••• L••

Former SEC-registered adviserFoothill Ranch, CaliforniaCRD 317002SEC 801-122680IAPD
Latest filing Mar 22, 2022
First filing on the tape Oct 12, 2021 · 5 filings
RAUM
$13.5M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
95%
$12.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$6.8M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$13.5M as of Mar 22, 2022
Oct 12, 2021$0 then
HNW client RAUM$12.8M as of Mar 22, 2022
Feb 22, 2022$12.8M then
State-registered IARs (5.B.3)1 as of Mar 22, 2022
Oct 12, 20211 then
Employees (5.A)1 as of Mar 22, 2022
Oct 12, 20211 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 22, 2022; every figure names its basis
RAUM per advisor
$6.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$712,047derivedHNW RAUM over HNW clients
Average account
$330,276derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.5derivedItem 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
  • 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$12.8M95%
  • Pension and profit-sharing plans$724,4775.4%
Individual clients
n/areported
HNW clients
18reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
41reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
V•••••• C•••••• B••••••Foothill Ranch, CaMay 9, 202225 y2
M•••••• D••• K•••Foothill Ranch, CaFeb 12, 202519 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••• V••••••• C•••••• · President & Chief Compliance Officercontrol
      since 10/2021 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Foothill Ranch, Ca · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 41
      Nov 12, 2021 to Feb 22, 2022
    • Advisory activities · 4 to 2
      Nov 12, 2021 to Feb 22, 2022
    • HNW clients · unset to 18.0
      Nov 12, 2021 to Feb 22, 2022
    • Pension plan clients · unset to 1.0
      Nov 12, 2021 to Feb 22, 2022
    • HNW RAUM · unset to 12816854.0
      Nov 12, 2021 to Feb 22, 2022
    • Non-discretionary RAUM · $0 to $13.5M
      Nov 12, 2021 to Feb 22, 2022
    • Pension RAUM · unset to 724477.0
      Nov 12, 2021 to Feb 22, 2022
    • RAUM · $0 to $13.5M
      Nov 12, 2021 to Feb 22, 2022
    Signals
    1 dated events
    • B•••••• G•••••••• F•••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
      Oct 12, 2021 · 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.
    How to reach
    public business contact points only, each with its source
    Website
    bwm-cpas.comreportedpublic record, Form ADV, Sep 19, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $6.8Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026