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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

B••• C•••••• P••••••• L•

Former SEC-registered adviserSan Francisco, CaliforniaCRD 106226SEC 801-47995IAPD
Latest filing Mar 30, 2020
First filing on the tape Mar 29, 2012 · 27 filings
RAUM
$70.7M
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
12
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
$71.0M gross assets
History
27 filings and snapshots on the tape
RAUM$70.7M as of Mar 30, 2020
Mar 29, 2012$2.0B then
HNW client RAUM$0 as of Mar 30, 2020
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 29, 20120 then
Employees (5.A)12 as of Mar 30, 2020
Mar 28, 201321 then
Private funds6 as of Mar 30, 2020
Mar 29, 201216 then
RAUM -37% over the last fiscal year-39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$11.8MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-37%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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$70.7M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
6reported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      19 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••• C•••••• P••••••• C• L•••no longer reportedOther Private Fund$81.3M2Mar 29, 2012
      S•••••• C•••••• P••••••• L• L•••no longer reportedOther Private Fund$76.1M2Mar 29, 2012
      M••••••••• S••••• H•••• G••• L•••Private Equity Fund$54.8M11Mar 30, 2016
      B••• S•••••••• P••••••• I•• L•••Private Equity Fund$36.3M25Mar 29, 2012
      S•••••• C•••••• P••••••• •••• L•••no longer reportedOther Private Fund$33.5M9Mar 29, 2012
      B••• S•••••••• P••••••• I••• L•••Private Equity Fund$30.3M7Mar 29, 2012
      S•••••• C•••••• P•••••••• L•••no longer reportedHedge Fund$12.2M16Mar 29, 2012
      B••• S•••••••• H•••••••• L•••no longer reportedPrivate Equity Fund$8.6M10Mar 28, 2013
      B••• S•••••••• P••••••• I•• L•••no longer reportedPrivate Equity Fund$7.8M65Mar 29, 2012
      B•• A•• A••• L•••Other Private Fund$3.0M4Mar 29, 2012
      B••• S•••••••• P•••••••• L•••no longer reportedPrivate Equity Fund$1.3M53Mar 29, 2012
      B• C•••••• P••••••• I•• L•••no longer reportedHedge Fund$1.1M12Mar 29, 2012
      B••• S•••••••• P••••••• V• L•••Private Equity Fund$817,31714Mar 30, 2016
      B••• S•••••••• E••••• I••• L•••••Private Equity Fund$443,06325Mar 29, 2012
      B••• S•••••••• E••••• I•• L•••••Private Equity Fund$166,43124Mar 29, 2012
      B••• S•••••••• E•••••• L•••••no longer reportedPrivate Equity Fund$49,30833Mar 29, 2012
      B••• S•••••••• E••••• I•• L•••••no longer reportedPrivate Equity Fund$44,92227Mar 29, 2012
      B••• •••••• C••••••••• P•••••••• L•••no longer reportedOther Private Fund$3,7893Mar 29, 2012
      B••• S•••••••• P••••••• I• G••• K•no longer reportedPrivate Equity Fund$1,5634Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• R••••••• C•••••• · Chairmancontrol
        since 07/1994 · owns 75% or more
      • M•••• V•••••• A•• · Chief Financial Officer, Managing Partnercontrol
        since 03/2020 · owns less than 5%
      • M••••••••• L••••• · Chief Compliance Officercontrol
        since 12/2018 · owns less than 5%
      • W••••••• P••••• M•••• · Managing Partnercontrol
        since 12/2017 · owns less than 5%
      • B•••• R••••••• C•••••• · Chairmancontrol
        since 05/1985 · owns 75% or more of R•••••• C• B••• A•• A••••••••• I•••
      Entity owners
      • R•••••• C• B••• A•• A••••••••• I••• · General Partner Of Registrant
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • B•• A•• G• X• L•••
        pooled vehicle sponsorn
      • B•• A•• G• X• L•
        pooled vehicle sponsorn
      • B•• V• A•• G•• L•••
        pooled vehicle sponsorn
      • B•• V• A•• G•• L•••
        pooled vehicle sponsorn
      • B••• I••••••••• P•••••••• I•••
        investment adviserpooled vehicle sponsorn
      • B••• S•••••••• G• I••• L•••
        pooled vehicle sponsorn
      • B••• S•••••••• G• I••• L••
        pooled vehicle sponsorn
      • B••• S•••••••• G• I•• L•••
        pooled vehicle sponsorn
      • B••• S•••••••• G• I•• L••
        pooled vehicle sponsorn
      • B••• S•••••••• G• V• L•••
        pooled vehicle sponsorn
      • B••• S•••••••• G• V• L••
        pooled vehicle sponsorn
      • B•• I•• G•• L••
        pooled vehicle sponsorn
      • C•••••••• M•• I•• G•• L••
        pooled vehicle sponsorn
      • M••••••••• S••••• H•••• G•• L••
        pooled vehicle sponsorn
      • P•••• M•••• W••••••
        pooled vehicle sponsory
      • R•••••• C• B••• A•• A••••••••• I•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Washington, DC1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 6
        Mar 30, 2019 to Mar 30, 2020
      • Advisory employees · 4 to 3
        Mar 30, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 5 to 6
        Mar 30, 2019 to Mar 30, 2020
      • Employees · 15 to 12
        Mar 30, 2019 to Mar 30, 2020
      • Private funds · 7 to 6
        Mar 30, 2019 to Mar 30, 2020
      • Discretionary RAUM · $113M to $70.7M
        Mar 30, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $113M to $70.7M
        Mar 30, 2019 to Mar 30, 2020
      • RAUM · $113M to $70.7M
        Mar 30, 2019 to Mar 30, 2020
      • Accounts · 7 to 5
        Jan 17, 2019 to Mar 30, 2019
      • Advisory employees · 5 to 4
        Jan 17, 2019 to Mar 30, 2019
      • Pooled vehicle clients · 7 to 5
        Jan 17, 2019 to Mar 30, 2019
      • Employees · 19 to 15
        Jan 17, 2019 to Mar 30, 2019
      • Private funds · 10 to 7
        Jan 17, 2019 to Mar 30, 2019
      • Discretionary RAUM · $294M to $113M
        Jan 17, 2019 to Mar 30, 2019
      • Pooled vehicle RAUM · $294M to $113M
        Jan 17, 2019 to Mar 30, 2019
      • RAUM · $294M to $113M
        Jan 17, 2019 to Mar 30, 2019
      • Discretionary RAUM · $348M to $294M
        May 8, 2018 to Jul 20, 2018
      • Pooled vehicle RAUM · $348M to $294M
        May 8, 2018 to Jul 20, 2018
      • RAUM · $348M to $294M
        May 8, 2018 to Jul 20, 2018
      • Advisory employees · 9 to 5
        Mar 31, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 7.0
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 22 to 19
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $312M to $348M
        Mar 31, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 347571744.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $312M to $348M
        Mar 31, 2017 to Mar 30, 2018
      • Advisory employees · 7 to 9
        Jun 28, 2016 to Mar 31, 2017
      • Employees · 18 to 22
        Jun 28, 2016 to Mar 31, 2017
      • Discretionary RAUM · $412M to $312M
        Jun 28, 2016 to Mar 31, 2017
      • RAUM · $412M to $312M
        Jun 28, 2016 to Mar 31, 2017
      • Accounts · 6 to 7
        Oct 23, 2015 to Mar 30, 2016
      • Assets in custody · 821959759.0 to unset
        Oct 23, 2015 to Mar 30, 2016
      Signals
      6 dated events
      • Jerome Murray Mccabe (Managing Partner) no longer on Schedule A of B••• C•••••• P••••••• L• (listed 2019-03-30, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Brock Robert Mcdonald (Chief Financial Officer) no longer on Schedule A of B••• C•••••• P••••••• L• (listed 2019-03-30, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Ann Verett Mims (Chief Financial Officer, Managing Partner) appeared on Schedule A of B••• C•••••• P••••••• L•
        Mar 30, 2020 · Control person joined · fact
      • B••• C•••••• P••••••• L• reported RAUM $112.6M, down 62% from $294.5M (2019-01-17 to 2019-03-30)
        Mar 30, 2019 · RAUM change · derived
      • Lusine Moshkounian (Chief Compliance Officer) appeared on Schedule A of B••• C•••••• P••••••• L•
        Jan 17, 2019 · Control person joined · fact
      • Ann Carrie Farina Bigness (Chief Compliance Officer) no longer on Schedule A of B••• C•••••• P••••••• L• (listed 2018-10-12, absent 2019-01-17)
        Jan 17, 2019 · Control person left · inference
      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