DFX Intelligence

B•••••••• C•••••• A•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

B•••••••• C•••••• A•••••••• I•••

B•••••••• C•••••• A••••••• LLC, CRD 24534

NEW YORK, NY

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Search this name across graphsid dfx:ria:0982e96c-b3a4-a5c3-6ed0-21edd0ab550b

Data as of Jun 28, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to Jun 28, 2018
23 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $198M••• Locked
Discretionary RAUM: $194M
Private client RAUM: $195Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• L•••••••• A••	PRESIDENT; DIRECTOR; & TREASURER	Na	yes	01/2000	Mar 30, 2012	Jun 28, 2018
D••••• P•••• E•••••	Director	Na	yes	09/2017	Sep 6, 2017	Jun 28, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L••••••• A• D••••••	n/a	n/a	n/a	Y	no	n/a
N•••••••• A•••• M••••••••• L••	n/a	Former SEC adviser	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
GLEN ROCK	Nj	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$198M	$196M	1.2%	$220M	-3.5%	6	6	1	n/a

Relationships

Affiliated with (2)

← N•••••••• A•••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ N•••••••• A•••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (12)

← S••••• H•••••• E•••••OwnerDIRECTOR, ownership code NA, individual
Sep 6, 2017 to presentfactForm ADV
← H••••••••• R•••OwnerTRUSTEE, ownership code E, individual

Dated events

Occurred
Mar 29, 2018
Succession filed (Item 4)
B•••••••• C•••••• A•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0982e96c-b3a4-a5c3-6ed0-21edd0ab550b
First observed: Mar 30, 2012
Last observed: Jun 28, 2018 100 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.