DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

B••••••• C•••••• M••••••••• L•••••

CRD 138032

NEW YORK, NY

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Search this name across graphsid dfx:ria:9b29a70b-73f1-9579-21fa-1ab57f9d1183

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 6
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2026
26 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: asset managerderivedprivate_client_share=0.0 fund_share=0.78 institutional_share=0.22 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $2.8B••• Locked
Discretionary RAUM: $2.8B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B••••••• O••••••••• P•••••••• L•••	Hedge Fund	$1.5B	Mar 30, 2026	28	Mar 30, 2012	reported	021-133673
B••••••• F•••••••• F•••• L•••	Hedge Fund	$537M	Mar 30, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• S••••• B••••	CHIEF FINANCIAL OFFICER	Na	yes	01/2006	Mar 30, 2012	Mar 30, 2024
C••••••••• J•••••• M••••••	CHIEF COMPLIANCE OFFICER	Na	yes	10/2011	Mar 30, 2012	Mar 30, 2024

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Harrison	NY	United States	1	no

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.8B	$2.1B	35.4%	$2.0B	12.8%	16	17	0	0

Relationships

Advises (15)

→ B••••••• I••••••••• F•••• L•••Private fundHedge Fund, IA
Mar 31, 2021 to presentfactForm ADV
→ B••••••• F•••••••• F•••• L•••Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ B••••••• I••••••••• L••• O••• F•••• L•••Private fundHedge Fund, IA
Nov 26, 2021 to presentfactForm ADV
→ B••••••• F•••••••• L••• O••• F•••• L•••

Dated events

Occurred
Mar 30, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$739M
Occurred
Mar 30, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$858M
Occurred
Mar 30, 2026
Private fund gav change
••• Locked
Form ADVobserved today
$219M
Occurred
Mar 30, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9b29a70b-73f1-9579-21fa-1ab57f9d1183
First observed: Mar 30, 2012
Last observed: Mar 30, 2026 5 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.