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••• M••• C•••••• M••••••••• I•••

Former SEC-registered adviserB••• M•••, PennsylvaniaCRD 106197SEC 801-41364IAPD
Legal name B••• M••• C•••••• M••••••••• I••
Latest filing Mar 30, 2015
First filing on the tape Jan 31, 2012 · 4 filings
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
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
26
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$899M gross assets
History
4 filings and snapshots on the tape
RAUM$1.7B as of Mar 30, 2015
Jan 31, 2012$3.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Apr 1, 20130 then
Employees (5.A)26 as of Mar 30, 2015
Apr 1, 201326 then
Private funds4 as of Mar 30, 2015
Jan 31, 20126 then
RAUM -43% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$249MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-43%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, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••Hedge Fund$286M27Jan 31, 2012
      G•••Hedge Fund$273M22Jan 31, 2012
      F•••Hedge Fund$224M6Jan 31, 2012
      A•••Hedge Fund$186M1Jan 31, 2012
      R•••Hedge Fund$155M6Jan 31, 2012
      W•••Hedge Fund$51.7M9Jan 31, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• R••••• J• · Vice President & Managing Directorcontrol
        since 01/2008 · owns less than 5%
      • E•••••• M•••• B•••• · Vice President & Managing Directorcontrol
        since 01/2008 · owns less than 5%
      • G•••• J••• K••••••• B••••••• · Presidentcontrol
        since 01/1991 · owns less than 5%
      • H••••••••• C••••••••• M••••• · Vice President & Managing Directorcontrol
        since 01/2008 · owns less than 5%
      • W••••• S••••••• L•••• · Vice President & Managing Directorcontrol
        since 01/1995 · owns less than 5%
      • G•••• J••• K••••••• B••••••• · Shareholder Class Acontrol
        since 08/2005 · owns 50% to 75% of B••• M••• C•••••• H••••••• I•••
      • W••••• S••••••• L•••• · Shareholder Class Acontrol
        since 08/2005 · owns 25% to 50% of B••• M••• C•••••• H••••••• I•••
      • F•••••••• M••••••• W••••• · Vice President, Managing Director & Chief Compliance Officer
        since 10/2001 · owns less than 5%
      • K••••• M••••••• J•••• · Vice President, Managing Director, Coo & Cfo
        since 08/2006 · owns less than 5%
      Entity owners
      • B••• M••• C•••••• H••••••• I••• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 7
        Mar 31, 2014 to Mar 30, 2015
      • Advisory employees · 14 to 13
        Mar 31, 2014 to Mar 30, 2015
      • Employees · 27 to 26
        Mar 31, 2014 to Mar 30, 2015
      • Private funds · 6 to 4
        Mar 31, 2014 to Mar 30, 2015
      • Discretionary RAUM · $3.1B to $1.7B
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $3.1B to $1.7B
        Mar 31, 2014 to Mar 30, 2015
      • Accounts · 11 to 12
        Apr 1, 2013 to Mar 31, 2014
      • Employees · 26 to 27
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $2.9B to $3.1B
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $2.9B to $3.1B
        Apr 1, 2013 to Mar 31, 2014
      • Accounts · 12 to 11
        Jan 31, 2012 to Apr 1, 2013
      • Advisory employees · unset to 14.0
        Jan 31, 2012 to Apr 1, 2013
      • Employees · unset to 26.0
        Jan 31, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Jan 31, 2012 to Apr 1, 2013
      • Discretionary RAUM · $3.9B to $2.9B
        Jan 31, 2012 to Apr 1, 2013
      • RAUM · $3.9B to $2.9B
        Jan 31, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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