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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

BLX GROUP LLC

CRD 111923

LOS ANGELES, CA

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:ffa1a230-6d93-9fbe-664b-2936af784c99

Data as of Jul 25, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Jul 25, 2017
17 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 40
Advisory employees: 9
Custody, client assets: $0
SEC number: 801-60588
CRD: 111923
Filings on the tape: 17
First filed: Mar 28, 2012
Latest filed: Jul 25, 2017
Organised: Limited Liability Company, Delaware

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
CHU, ERIC, HYUNGSON	MANAGING DIRECTOR/ADVISORY REP	Na	yes	09/2000	Mar 28, 2012	Jul 25, 2017
ORRICK, HERRINGTON AND SUTCLIFFE, LLP	SOLE OWNER	E	yes	09/2000	Mar 28, 2012	Jul 25, 2017
ROBERTSON, WILLIAM, GORDON	CHIEF COMPLIANCE OFFICER	Na	yes	03/2010	Mar 28, 2012	Jul 25, 2017
STALLINGS, SANDRA, FULLER	MANAGING DIRECTOR/ADVISORY REP	Na	yes	09/2000	Mar 28, 2012	Jul 25, 2017
UNDERWOOD, ANTHONY, CRAIG	CEO/DESIGNATED PRINCIPAL	Na	yes	09/2000	Mar 28, 2012	Jul 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
ORRICK, HERRINGTON AND SUTCLIFFE, LLP	n/a	n/a	n/a	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no
n/a	n/a	n/a	n/a	no

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
2016	Mar 27, 2017	n/a	n/a	40	15	n/a	n/a	n/a
2015	Mar 4, 2016	$1.2B	$684M	42	21	n/a	n/a	n/a
2014	Mar 27, 2015	$1.0B	$696M	46	20	n/a	n/a	n/a
2013	Mar 28, 2014	$1.1B	$695M	51	23	n/a	n/a	n/a
2012	Mar 28, 2013	$1.1B	$708M	55	24	n/a	n/a	n/a
2011	Mar 28, 2012	$1.1B	$692M	n/a	n/a	n/a	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
2016	n/a	$1.2B	n/a	$1.1B	n/a	40	42	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PTMA INVESTMENT ADVISORS	2	Apr 7, 2016	Apr 7, 2016	LOS ANGELES, CA	Team lift out	Other	100.0%

Relationships

Controls (5)

← ROBERTSON, WILLIAM, GORDONOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← STALLINGS, SANDRA, FULLEROwnerMANAGING DIRECTOR/ADVISORY REP, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← UNDERWOOD, ANTHONY, CRAIGOwnerCEO/DESIGNATED PRINCIPAL, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← CHU, ERIC, HYUNGSONOwnerMANAGING DIRECTOR/ADVISORY REP, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← ORRICK, HERRINGTON AND SUTCLIFFE, LLPOwnerSOLE OWNER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV

Moved with (1)

→ PTMA INVESTMENT ADVISORSRegistered adviser2 advisors, team lift out, same day
Apr 7, 2016 to Apr 7, 2016factForm ADV

Registered with (6)

← Mark John CregerAdvisorregistration: previous registration
Oct 29, 2001 to Apr 7, 2016factForm ADV
← Manuel Norman San LuisAdvisorregistration: previous registration
May 2, 2009 to Apr 7, 2016factForm ADV
← EDWARD HERSCHEL MCROBERTSAdvisorregistration: previous registration
May 7, 2001 to Mar 9, 2005factForm ADV
← MARCIA QUIROZAdvisorregistration: previous registration
Jun 23, 2003 to Jan 20, 2005factForm ADV
← JEFFREY STANLEY SMITHAdvisorregistration: previous registration
Jun 6, 2001 to Oct 19, 2004factForm ADV
← DEREK R DEVENSAdvisorregistration: previous registration
Mar 28, 2003 to Apr 1, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ffa1a230-6d93-9fbe-664b-2936af784c99
First observed: Mar 28, 2012
Last observed: Jul 25, 2017 111 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.

BLX GROUP LLC

CRD 111923

LOS ANGELES, CA

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:ffa1a230-6d93-9fbe-664b-2936af784c99

Data as of Jul 25, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:28 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHU, ERIC, HYUNGSON

MANAGING DIRECTOR/ADVISORY REP

yes

09/2000

Mar 28, 2012

Jul 25, 2017

ORRICK, HERRINGTON AND SUTCLIFFE, LLP

SOLE OWNER

yes

09/2000

Mar 28, 2012

Jul 25, 2017

ROBERTSON, WILLIAM, GORDON

CHIEF COMPLIANCE OFFICER

yes

03/2010

Mar 28, 2012

Jul 25, 2017

STALLINGS, SANDRA, FULLER

MANAGING DIRECTOR/ADVISORY REP

yes

09/2000

Mar 28, 2012

Jul 25, 2017

UNDERWOOD, ANTHONY, CRAIG

CEO/DESIGNATED PRINCIPAL

yes

09/2000

Mar 28, 2012

Jul 25, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ORRICK, HERRINGTON AND SUTCLIFFE, LLP

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 27, 2017

n/a

2015

Mar 4, 2016

$1.2B

$684M

n/a

2014

Mar 27, 2015

$1.0B

$696M

n/a

2013

Mar 28, 2014

$1.1B

$695M

n/a

2012

Mar 28, 2013

$1.1B

$708M

n/a

2011

Mar 28, 2012

$1.1B

$692M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

n/a

$1.2B

n/a

$1.1B

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PTMA INVESTMENT ADVISORS

Apr 7, 2016

LOS ANGELES, CA

Team lift out

Other

100.0%