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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SEC-registered adviser
B•• F•••••••• A•••••••
Legal name B•• F•••••••• A••••••• U••• L••
Latest filing Mar 30, 2026
First filing on the tape Aug 16, 2023 · 10 filings
SEC status approved since Oct 12, 2023
RAUM
$144M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.3%
$4.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$144M
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
10 filings and snapshots on the tape
RAUM$144M as of Mar 30, 2026
Mar 22, 2024$112M then
HNW client RAUM$3.8M as of Mar 30, 2026
Mar 22, 2024$0 then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 22, 20241 then
Employees (5.A)2 as of Mar 30, 2026
Mar 22, 20242 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $144MderivedRAUM 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
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $37.7MreportedItem 5.I
- 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)
- 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)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Banks and thrifts$106M96%
- High-net-worth individuals$3.8M3.4%
- Individuals$1.0M0.9%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 103reported
- Financial planning clients
- reported
- Wrap fee programs
- $37.7M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.03 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Y•••••• C•••••• | Miami, Fl | Dec 1, 2023 | 11 y | 1 |
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
Joined, latest
- Y•••••• C•••••• from I••••••• A••••••• S•••••••• L••Dec 1, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• R••••••• R•••• · Chief Executive Officercontrolsince 06/2021 · owns less than 5%
- C••••••• Y•••••• · Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
Entity owners
- B•• S••••••••• H••••••• U••• L•• · Managing Member / Ownerdirect · owns 75% or more
- E•••••• G•••••• D• I••••••••• S••• · Shareholderindirect · owns 50% to 75% of G•••• F••••••••• B•• S•••
- G•••• F••••••••• B•• S••• · Shareholderindirect · owns 75% or more of B•• S••••••••• H••••••• U••• L••
Related persons
Schedule D 7.A
- B•••• G•••••• ••••• R••••• S•••n
- B•••• G•••••• ••••••••• I•••n
- B•••• G••••••• S•••n
- B• I••••••••• C••investment advisern
- B• V••••••• S•••broker-dealerinvestment advisern
- B•• S••••••••• U••• L••broker-dealern
- G•••••• D• S••••••• S•••real estaten
- P••••••••LP sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 30, 2026institutional share of RAUM moved from 95.0% to 74.0% between the annual amendments of 2025-02-27 and 2026-03-30peers: other advisers, $100M to $500M (212)
What changed
consecutive filings, newest first
- Accounts · 12 to 103Feb 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $119M to $144MFeb 27, 2025 to Mar 30, 2026
- HNW RAUM · $255,491 to $3.8MFeb 27, 2025 to Mar 30, 2026
- Individual RAUM · $119,428 to $1.0MFeb 27, 2025 to Mar 30, 2026
- RAUM · $119M to $144MFeb 27, 2025 to Mar 30, 2026
- Wrap assets (sponsor) · $0 to $37.7MFeb 27, 2025 to Mar 30, 2026
- Accounts · 1 to 12May 1, 2024 to Feb 27, 2025
- HNW clients · 0.0 to unsetMay 1, 2024 to Feb 27, 2025
- Individual clients · 0.0 to unsetMay 1, 2024 to Feb 27, 2025
- Financial planning clients · unset to May 1, 2024 to Feb 27, 2025
- Discretionary RAUM · $112M to $119MMay 1, 2024 to Feb 27, 2025
- HNW RAUM · $0 to $255,491May 1, 2024 to Feb 27, 2025
- Individual RAUM · $0 to $119,428May 1, 2024 to Feb 27, 2025
- RAUM · $112M to $119MMay 1, 2024 to Feb 27, 2025
- Discretionary RAUM · $121M to $112MFeb 9, 2024 to Mar 22, 2024
- RAUM · $121M to $112MFeb 9, 2024 to Mar 22, 2024
- Accounts · 0 to 1Dec 6, 2023 to Feb 9, 2024
- State-registered IARs · 0 to 1Dec 6, 2023 to Feb 9, 2024
- Discretionary RAUM · $0 to $121MDec 6, 2023 to Feb 9, 2024
- RAUM · $0 to $121MDec 6, 2023 to Feb 9, 2024
Signals
1 dated events
- B•• F•••••••• A••••••• filed its initial SEC registration (Form ADV)Aug 16, 2023 · 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
- Principal office phone
- 305-615-2101reportedpublic record, Form ADV, Mar 30, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $144Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026