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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

B•••• A••••••• P•• L••

CRD 288092

SYDNEY

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Search this name across graphsid dfx:ria:60962915-ead0-0f9b-8739-12fa7b492ca3

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 2
On other graphs: 0
Observed: Jul 5, 2017 to Mar 29, 2018
3 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: $0Item 5.F on the latest filing (2018-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 6
Advisory employees: 3
Offices

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• A••••••• G•••• L••••••	Owner	E	yes	01/2016	Aug 25, 2017	Mar 29, 2018
L••••• J•••• C••••••	Owner	E	yes	08/2015	Aug 25, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••• I••••••••• L••	n/a	n/a	n/a	N	yes	n/a
T•••••• R••••••••• S••••• L••••••	n/a	n/a	n/a	N	yes	n/a
W•••••••• A••••••• L••••••

Relationships

Controls (2)

← L••••• J•••• C••••••OwnerOWNER, ownership code E, individual
Aug 25, 2017 to presentfactForm ADV
← B•••• A••••••• G•••• L••••••OwnerOWNER, ownership code E, foreign entity
Aug 25, 2017 to presentfactForm ADV

Dated events

Occurred
Jun 2, 2025
Left the SEC roster
B•••• A••••••• P•• L•• no longer on the SEC adviser roster (last listed 2025-05-02)
Form ADVobserved 7 days ago
0 USD_RAUM
Occurred
Jul 5, 2017
First Form ADV filing
B•••• A••••••• P•• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:60962915-ead0-0f9b-8739-12fa7b492ca3
First observed: Jul 5, 2017
Last observed: Mar 29, 2018 103 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.