DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

B••••••••• M•••••••• A••••••• L•

CRD 109099

NEW YORK, NY

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Search this name across graphsid dfx:ria:1f4386e9-d1e9-814d-5189-27ad1f801f82

Data as of Mar 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 75
Dated events: 7
On other graphs: 2
Observed: Dec 2, 2011 to Mar 30, 2020
25 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

B••••••••• M•••••••• A••••••• L•

Private equity manager · shared crd

Private Creditidentity

B••••••••• M•••••••• A••••••• L•

Private credit manager · shared crd

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: $8.9M••• Locked
Discretionary RAUM: $8.9M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 275
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B••••••••• M•••••••• P••••••• I• L•••	Private Equity Fund	$8.9M	Mar 30, 2020	46	Mar 30, 2012	reported	021-78549
B••••••••• M•••••••• P••••••• L•••	Private Equity Fund	$0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• M•••••• J••••	CHIEF LEGAL OFFICER	Na	yes	02/2010	Dec 2, 2011	Mar 30, 2020
B••••••••• A••••••• P••••••• L•••	SOLE MEMBER	E	yes	07/2011	Dec 2, 2011	Mar 30, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••••••• I•••• A••••••• L•••••	n/a	Institutional manager	$184B	N	yes	n/a
B••••••••• M••••••••• P••••••• L•••••	n/a	Asset manager	$146B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$8.9M	$7.9M	12.5%	$15.1M	-16.2%	275	246	0	0

Relationships

Affiliated with (60)

← B••••••••• R••• E••••• A••••••• I••••••••• L•••••Registered adviserother investment adviser, common control
factForm ADV
→ B••••••••• A••••••••• A•••• M••••••••• L•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ F•••• E•••• I••••••••• M••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ B••••••••• C••••••••• A••••••• I• L••Registered adviser

Dated events

Occurred
Mar 30, 2020
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 6, 2019
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Jul 15, 2019
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 30, 2019
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1f4386e9-d1e9-814d-5189-27ad1f801f82
First observed: Dec 2, 2011
Last observed: Mar 30, 2020 78 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.