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••••••• A••••••• L••
Latest filing Jun 22, 2026
First filing on the tape Apr 24, 2023 · 8 filings
SEC status approved since May 30, 2023
RAUM
$8.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$8.9M as of Jun 22, 2026
Mar 29, 2024$651,747 then
HNW client RAUM$0 as of Jun 22, 2026
Mar 29, 2024$0 then
State-registered IARs (5.B.3)0 as of Jun 22, 2026
Mar 29, 20240 then
Employees (5.A)2 as of Jun 22, 2026
Mar 29, 20242 then
Private funds: no history
RAUM +293% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 22, 2026; 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
- $29,999derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +293%derivedbetween 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, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$8.4M94%
- Insurance companies$519,8635.8%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 298reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• H•••••• J•••• · Chief Compliance Officersince 10/2023 · owns less than 5%
Entity owners
- B••••••• I••• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Redwood City, CA2 employees
What changed
consecutive filings, newest first
- Accounts · 54 to 298Sep 23, 2025 to Mar 30, 2026
- Corporate clients · 54 to 289Sep 23, 2025 to Mar 30, 2026
- Employees · 5 to 2Sep 23, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.3M to $8.9MSep 23, 2025 to Mar 30, 2026
- RAUM · $2.3M to $8.9MSep 23, 2025 to Mar 30, 2026
- Accounts · 22 to 54Mar 29, 2024 to Apr 21, 2025
- Advisory employees · 2 to 1Mar 29, 2024 to Apr 21, 2025
- Corporate clients · 22 to 54Mar 29, 2024 to Apr 21, 2025
- Employees · 2 to 5Mar 29, 2024 to Apr 21, 2025
- Financial planning clients · unset to Mar 29, 2024 to Apr 21, 2025
- Discretionary RAUM · $651,747 to $2.3MMar 29, 2024 to Apr 21, 2025
- RAUM · $651,747 to $2.3MMar 29, 2024 to Apr 21, 2025
- Accounts · 0 to 22Oct 30, 2023 to Mar 29, 2024
- Corporate clients · 0 to 22Oct 30, 2023 to Mar 29, 2024
- Employees · 3 to 2Oct 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $0 to $651,747Oct 30, 2023 to Mar 29, 2024
- RAUM · $0 to $651,747Oct 30, 2023 to Mar 29, 2024
Signals
2 dated events
- Elhance Pooja Garg (Chief Compliance Officer) no longer on Schedule A of B••••••• A••••••• L•• (listed 2023-10-30, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- B••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Apr 24, 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
- Website
- B•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 1-800-216-9619reportedpublic record, Form ADV, Jun 22, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026