DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

B•• P•••••• A•••• M••••••••• I•••

Former SEC-registered adviserBoston, MassachusettsCRD 105085SEC 801-14882IAPD
Latest filing May 6, 2015
First filing on the tape Jan 9, 2012 · 10 filings
RAUM
$16B
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
169
55 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$16B as of Mar 26, 2015
Mar 28, 2012$21B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2015
Apr 1, 20130 then
Employees (5.A)169 as of Mar 26, 2015
Apr 1, 2013120 then
Private funds: no history
RAUM -9.0% over the last fiscal year-8.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 6, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$420MderivedRAUM over accounts (5.F.2.f)
Discretionary
51%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-9.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
38reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••••••• J•••• J••••• · Chief Financial Officer, Treasurercontrol
    since 11/2004 · owns less than 5%
  • B••••••• P••••• · Chairman, Directorcontrol
    since 06/2012 · owns less than 5%
  • D••••••• C•••••••• · Directorcontrol
    since 12/2011 · owns less than 5%
  • H•••••••• R•••••• T••••• · Director, Chief Executive Officer, Presidentcontrol
    since 04/2012 · owns less than 5%
  • K••••• D•••••• A••••• · Director, Vice Presidentcontrol
    since 08/2011 · owns less than 5%
  • M••••••• R••••• S•• · Chief Compliance Officer, Chief Legal And Operational Risk Officer, Secretarycontrol
    since 03/2010 · owns less than 5%
Entity owners
  • B•• P•••••• S••• · Shareholder
    indirect · owns 75% or more of P•••••• N•••• A•••••• I••• · public reporting company
  • P•••••• N•••• A•••••• I••• · Shareholder
    indirect · owns 75% or more of B•• P•••••• I••••••••• P••••••• U•• H••••••• I•••
  • B•• P•••••• I••••••••• P••••••• U•• H••••••• I••• · Direct Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • B•• P•••••• A•••• M••••••••• B••••• L•••
    investment advisern
  • B•• P•••••• A•••• M••••••••• L•••••••••
    investment advisern
  • B•• P•••••• A•••• M••••••••• S••
    investment advisern
  • B•• P•••••• I••••••••• P••••••• B•••••• S•
    investment advisern
  • B•• P•••••• I••••••••• P••••••• N••••••••• N•
    investment advisern
  • B•• P•••••• I••••••••• P••••••• S•• S••••
    investment advisern
  • B•• P•••••• Asset Management S•••••••• L••••••
    investment advisernRAUM $292M
  • B•• P•••••• I••••••••• P••••••• T•••• C••••••
    n
  • B•• P•••••• Asset Management Uk L••••••
    investment advisernRAUM $54B
  • B•• P•••••• S•••
    y
  • B•• P•••••• S••••••••• S•••••••
    custodiann
  • F•••••• F•••••• T•••• • W•••• U• L••••••
    investment advisernRAUM $5.1B
  • B•• P•••••• Asset Management USA, Inc.
    investment adviserbanknRAUM $48B
  • S•••••• B•• P•••••• A•••• M••••••••• C••• L•••
    investment advisern
  • T•• B•• P•••••• I••••••••• P••••••• J••
    investment advisern
Advisers that list B•• P•••••• A•••• M••••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
  • New York, NY
What changed
consecutive filings, newest first
  • Accounts · 43 to 38
    Jul 16, 2014 to Mar 26, 2015
  • Advisory employees · 48 to 55
    Jul 16, 2014 to Mar 26, 2015
  • Advisory activities · 3 to 2
    Jul 16, 2014 to Mar 26, 2015
  • Employees · 160 to 169
    Jul 16, 2014 to Mar 26, 2015
  • Discretionary RAUM · $9.3B to $8.2B
    Jul 16, 2014 to Mar 26, 2015
  • Non-discretionary RAUM · $8.3B to $7.8B
    Jul 16, 2014 to Mar 26, 2015
  • RAUM · $18B to $16B
    Jul 16, 2014 to Mar 26, 2015
  • Accounts · 76 to 43
    Apr 1, 2013 to Mar 27, 2014
  • Advisory employees · 35 to 48
    Apr 1, 2013 to Mar 27, 2014
  • BD registered reps · 5 to 6
    Apr 1, 2013 to Mar 27, 2014
  • Employees · 120 to 160
    Apr 1, 2013 to Mar 27, 2014
  • Discretionary RAUM · $13B to $9.3B
    Apr 1, 2013 to Mar 27, 2014
  • Non-discretionary RAUM · $6.7B to $8.3B
    Apr 1, 2013 to Mar 27, 2014
  • RAUM · $20B to $18B
    Apr 1, 2013 to Mar 27, 2014
  • Accounts · 65 to 76
    Jun 22, 2012 to Apr 1, 2013
  • Advisory employees · unset to 35.0
    Jun 22, 2012 to Apr 1, 2013
  • BD registered reps · unset to 5.0
    Jun 22, 2012 to Apr 1, 2013
  • Employees · unset to 120.0
    Jun 22, 2012 to Apr 1, 2013
  • State-registered IARs · unset to 0.0
    Jun 22, 2012 to Apr 1, 2013
  • Discretionary RAUM · $14B to $13B
    Jun 22, 2012 to Apr 1, 2013
  • Non-discretionary RAUM · $7.1B to $6.7B
    Jun 22, 2012 to Apr 1, 2013
  • RAUM · $21B to $20B
    Jun 22, 2012 to Apr 1, 2013
  • Accounts · 83 to 65
    Jan 10, 2012 to Mar 28, 2012
  • Discretionary RAUM · $18B to $14B
    Jan 10, 2012 to Mar 28, 2012
  • Non-discretionary RAUM · $162M to $7.1B
    Jan 10, 2012 to Mar 28, 2012
  • RAUM · $18B to $21B
    Jan 10, 2012 to Mar 28, 2012
  • Business name · F••••• I••••••••• to B•• P•••••• A•••• M••••••••• I•••
    Jan 9, 2012 to Jan 10, 2012
  • Legal name · F••••• INVESTMENT MANAGEMENT USA, INC. to B•• P•••••• A•••• M••••••••• I•••
    Jan 9, 2012 to Jan 10, 2012
  • Succession · true to false
    Jan 9, 2012 to Jan 10, 2012
Signals
1 dated events
  • F••••• I••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Jan 9, 2012 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026