DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

C•••••• I•••••••• S••••••••• L••

CRD 299605

BALA CYNWYD, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7bb69776-8c0d-410b-999c-1903eb8a2a7d

Data as of Mar 14, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Nov 8, 2018 to Mar 14, 2019
2 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: $12.7MItem 5.F on the latest filing (2019-03-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $12.7M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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•••••• E•••• M•••••••	LIMITED PARTNER	E	yes	03/2005	Nov 8, 2018	Mar 14, 2019
C•••••• C•••••• P•••••••• L•	SOLE MEMBER	E	yes	11/2017	Nov 8, 2018

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•••••• B• C•••••• M••••••••• L•	n/a	Former SEC adviser	$153M	N	yes	n/a
C•• B• I••• L•	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 14, 2019	$12.7M	$12.7M	8	2	0	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$12.7M	n/a	n/a	n/a	n/a	8	n/a	0	n/a

Relationships

Affiliated with (1)

→ BHZ CAPITAL MANAGEMENT, LPRegistered adviserother investment adviser, common control
factForm ADV

Controls (8)

← B•••••• E•••• M•••••••OwnerLIMITED PARTNER, ownership code E, individual
Nov 8, 2018 to presentfactForm ADV
← S•••••• A•••••• J•••OwnerRISK MANAGER AND PORTFOLIO MANAGER, ownership code NA, individual
Nov 8, 2018 to presentfactForm ADV
← S•••••••• M•••••••• A••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual

Dated events

Occurred
Mar 14, 2019
Control person joined
David Derek Wood (Chief Compliance Officer) appeared on Schedule A of C•••••• I•••••••• S••••••••• L••
Form ADVobserved 7 days ago
Occurred
Nov 8, 2018
First Form ADV filing
C•••••• I•••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7bb69776-8c0d-410b-999c-1903eb8a2a7d
First observed: Nov 8, 2018
Last observed: Mar 14, 2019 91 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.