DFX Intelligence

B••••• C•••••• 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

B••••• C•••••• L••••••

CRD 138953

CENTRAL

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:98c207a3-10aa-f529-4dcf-ba8f773ab6fb

Data as of Jan 7, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 17, 2012 to Jan 7, 2013
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: $48.5M••• Locked
Discretionary RAUM: $48.5M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E••• O• S••• F•••	Hedge Fund	$48.5M	Jan 7, 2013	47	Apr 17, 2012	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• C•••••• M••••••••• L••••••	Shareholder	E	yes	05/2002	Apr 17, 2012	Jan 7, 2013
B•••••• J•••••••• W••••••	Shareholder	E	yes	05/2002	Apr 17, 2012	Jan 7, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••• C•••••• M••••••••• L••••••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Apr 17, 2012	$48.5M	$48.5M	n/a	n/a	n/a	1	$48.5M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$48.5M	n/a	n/a	n/a	n/a	5	n/a	n/a	n/a

Relationships

Advises (1)

→ E••• O• S••• F•••Private fundHedge Fund, IA
Apr 17, 2012 to presentfactForm ADV

Owns (2)

← A•••••••• T•••••• W••••••OwnerB••••• C•••••• M••••••••• L••••••, DIRECTOR, ownership code NA, individual
Apr 17, 2012 to presentfactForm ADV
← F•••• Y••• N••OwnerCCO, ownership code NA, individual
Apr 17, 2012 to presentfactForm ADV

Controls (2)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:98c207a3-10aa-f529-4dcf-ba8f773ab6fb
First observed: Apr 17, 2012
Last observed: Jan 7, 2013 166 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.