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•••••••• S••••••• A•• C•••••••••

Former SEC-registered adviserCRD 334060SEC 801-131639websiteIAPD
Legal name B•••••••• S•••••• L••
Latest filing Jun 26, 2025
First filing on the tape Nov 15, 2024 · 11 filings
SEC status 120-day approval since Dec 17, 2024
RAUM
$22.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
68%
$15.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$22.1M
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
11 filings and snapshots on the tape
RAUM$22.1M as of Jun 26, 2025
Mar 18, 2025$22.1M then
HNW client RAUM$13.0M as of Jun 26, 2025
Mar 18, 2025$13.0M then
State-registered IARs (5.B.3)1 as of Jun 26, 2025
Mar 18, 20251 then
Employees (5.A)1 as of Jun 26, 2025
Mar 18, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 26, 2025; every figure names its basis
RAUM per advisor
$22.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
6derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$13.0MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
32%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$13.0M59%
  • Charitable organizations$7.0M32%
  • Individuals$2.1M9.4%
Individual clients
5reported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
16reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D•••• M•••••• W•••Chartered Financial AnalystBurbank, CaNov 16, 202526 y3
Advisor movement
0 left, 1 joined in 12 months
net +1 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
    • W•••• D••••• M•••••• · Owner, Advisor, And Ccocontrol
      since 11/2024 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 3 to 2
      May 9, 2025 to Jun 26, 2025
    • Advisory activities · 4 to 3
      Mar 18, 2025 to May 9, 2025
    • Accounts · 0 to 16
      Dec 17, 2024 to Mar 18, 2025
    • Charity clients · unset to 1.0
      Dec 17, 2024 to Mar 18, 2025
    • HNW clients · unset to 1.0
      Dec 17, 2024 to Mar 18, 2025
    • Individual clients · unset to 5.0
      Dec 17, 2024 to Mar 18, 2025
    • HQ city · unset to
      Dec 17, 2024 to Mar 18, 2025
    • HQ state · unset to
      Dec 17, 2024 to Mar 18, 2025
    • Discretionary RAUM · $0 to $22.0M
      Dec 17, 2024 to Mar 18, 2025
    • HNW RAUM · unset to 13000000.0
      Dec 17, 2024 to Mar 18, 2025
    • Individual RAUM · unset to 2070000.0
      Dec 17, 2024 to Mar 18, 2025
    • Non-discretionary RAUM · $0 to $70,000
      Dec 17, 2024 to Mar 18, 2025
    • RAUM · $0 to $22.1M
      Dec 17, 2024 to Mar 18, 2025
    Signals
    2 dated events
    • B•••••••• S••••••• A•• C••••••••• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $22.1M)
      Sep 2, 2025 · Left the SEC roster · derived
    • B•••••••• S••••••• A•• C••••••••• filed its initial SEC registration (Form ADV)
      Nov 15, 2024 · 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
    D••••W•••CFA.COMreportedpublic record, Form ADV, Sep 18, 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
    $22.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026