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

C••••••••• R••• E••••• A••••••• L••

Former SEC-registered adviserHartford, ConnecticutCRD 106468SEC 801-51633IAPD
Legal name B•••••• R••• E••••• A••••••• L••
Latest filing Sep 28, 2016
First filing on the tape Mar 29, 2012 · 17 filings
RAUM
$33B
reported, Item 5.F
Discretionary
10%
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
261
127 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$33B as of Mar 28, 2016
Mar 29, 2012$22B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2016
Apr 1, 20130 then
Employees (5.A)261 as of Mar 28, 2016
Apr 1, 2013220 then
Private funds6 as of Mar 31, 2015
Mar 29, 20125 then
RAUM +7.9% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 28, 2016; 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
$638MderivedRAUM over accounts (5.F.2.f)
Discretionary
10%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived6 offices incl. principal (1.F.5)
RAUM growth, one year
+7.9%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 vehicles, portfolio management for investment companies, pension consulting, otherreportedItem 5.G
Custody
$297M, 35 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
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
52reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$297M for 35 clientsreported
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••••••••• E••••••• M••••••• F••• I• L•Real Estate Fund$313M6Mar 29, 2012
      C••••••••• C••• M•••••• F••• I• L•Real Estate Fund$173M6Mar 29, 2012
      C••••••••• C••• M••••••• V•••••• I• L•Real Estate Fund$160M3Apr 1, 2013
      B••••• M•••••••• R••••• I•••••••• L•Real Estate Fund$52.3M25Mar 29, 2012
      B••••• M•••••••• R••••• I•••••••• I• L•Real Estate Fund$15.7M3Mar 29, 2012
      M••••••••• C•••••• M•••••••• P••••••• I•• L•Real Estate Fund$251,59715Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• S••••• D•••• · Global President And Chief Executive Officer; Member Of The Board Of Managerscontrol
        since 01/2015 · owns less than 5%
      • C•••••••• E••••••••• W••• · Member Of The Board Of Managerscontrol
        since 06/2012 · owns less than 5%
      • C••••••• M•• T•••••• · Member Of The Board Of Managerscontrol
        since 07/2015 · owns less than 5%
      • C•••••••• R••••• W•••••• · Member Of The Board Of Managerscontrol
        since 07/2015 · owns less than 5%
      • F••••• T•••••• M•••••• · Member Of The Board Of Managerscontrol
        since 12/2007 · owns less than 5%
      • G•••••• W••••••• F•••••• · Member Of The Board Of Managerscontrol
        since 07/2015 · owns less than 5%
      • T•••••••• P•••• J••• · Member Of The Board Of Managerscontrol
        since 06/2012 · owns less than 5%
      • B•••••• W••••••• E••••• · Chief Compliance Officer
        since 04/2006 · owns less than 5%
      • K••••••••• C• · Global Chief Operating Officer & Chief Legal Officer
        since 10/2007 · owns less than 5%
      • M••••••• R•••••• E• · Chief Financial Officer
        since 06/2004 · owns less than 5%
      Entity owners
      • B•••••• L•• · Member
        direct · owns 75% or more
      • M••••••••• M••••• L••• I•••••••• C•••••• · Member
        indirect · owns 75% or more of M••••••••• H•••••• L••
      • M••••••••• H•••••• L•• · Sole Member
        indirect · owns 75% or more of M• A•••• M••••••••• H•••••• L••
      • M• A•••• M••••••••• H•••••• L•• · Sole Member
        indirect · owns 75% or more of B••••• Capital Managament LLC
      Related persons
      Schedule D 7.A
      • B••••• C•••••• C••••••••• A••• L••••••
        broker-dealerinvestment advisern
      • B••••• C•••••• S••••••••• L••
        broker-dealern
      • B•••••• L••
        investment adviserbankpooled vehicle sponsoryRAUM $393B
      • C••••••••• R••• E••••• A••••••• E••••• F•••••• L••
        investment adviserinvestment companypooled vehicle sponsorreal estatey
      • C••••••••• R••• E••••• A••••••• I•••
        investment companyy
      • C••••••••• R••• E••••• A••••••• J•••• K•••
        investment advisery
      • M••••••••• M••••• L••• I•••••••• C••••••
        bankreal estatey
      • O••••••••• I••
        investment adviserbankpooled vehicle sponsornRAUM $827,684
      Advisers that list C••••••••• R••• E••••• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL
      • El Segundo, CA
      • Glastonbury, CT
      • Newport Beach, CA
      • Stamford, CT
      What changed
      consecutive filings, newest first
      • Legal name · C••••••••• R••• E••••• A••••••• L•• to B•••••• R••• E••••• A••••••• L••
        Sep 20, 2016 to Sep 28, 2016
      • Accounts · 83 to 52
        Oct 2, 2015 to Mar 28, 2016
      • BD registered reps · 8 to 9
        Oct 2, 2015 to Mar 28, 2016
      • Assets in custody · $154M to $297M
        Oct 2, 2015 to Mar 28, 2016
      • Private funds · 6 to unset
        Oct 2, 2015 to Mar 28, 2016
      • Discretionary RAUM · $3.8B to $3.4B
        Oct 2, 2015 to Mar 28, 2016
      • Non-discretionary RAUM · $27B to $30B
        Oct 2, 2015 to Mar 28, 2016
      • RAUM · $31B to $33B
        Oct 2, 2015 to Mar 28, 2016
      • Accounts · 116 to 83
        Dec 9, 2014 to Mar 31, 2015
      • Advisory employees · 118 to 127
        Dec 9, 2014 to Mar 31, 2015
      • Advisory activities · 4 to 5
        Dec 9, 2014 to Mar 31, 2015
      • BD registered reps · 7 to 8
        Dec 9, 2014 to Mar 31, 2015
      • Assets in custody · $258M to $154M
        Dec 9, 2014 to Mar 31, 2015
      • Employees · 234 to 261
        Dec 9, 2014 to Mar 31, 2015
      • Discretionary RAUM · $2.2B to $3.8B
        Dec 9, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $24B to $27B
        Dec 9, 2014 to Mar 31, 2015
      • RAUM · $26B to $31B
        Dec 9, 2014 to Mar 31, 2015
      • Accounts · 123 to 116
        Apr 30, 2013 to Mar 28, 2014
      • Advisory employees · 109 to 118
        Apr 30, 2013 to Mar 28, 2014
      • BD registered reps · 6 to 7
        Apr 30, 2013 to Mar 28, 2014
      • Assets in custody · $206M to $258M
        Apr 30, 2013 to Mar 28, 2014
      • Employees · 220 to 234
        Apr 30, 2013 to Mar 28, 2014
      • Discretionary RAUM · $2.1B to $2.2B
        Apr 30, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $23B to $24B
        Apr 30, 2013 to Mar 28, 2014
      • RAUM · $25B to $26B
        Apr 30, 2013 to Mar 28, 2014
      • Accounts · 62 to 123
        Nov 29, 2012 to Apr 1, 2013
      • Advisory employees · 107 to 109
        Nov 29, 2012 to Apr 1, 2013
      • BD registered reps · 8 to 6
        Nov 29, 2012 to Apr 1, 2013
      • Assets in custody · $223M to $206M
        Nov 29, 2012 to Apr 1, 2013
      • Employees · 215 to 220
        Nov 29, 2012 to Apr 1, 2013
      • Private funds · 5 to 6
        Nov 29, 2012 to Apr 1, 2013
      • Discretionary RAUM · $19B to $2.1B
        Nov 29, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $2.8B to $23B
        Nov 29, 2012 to Apr 1, 2013
      • RAUM · $22B to $25B
        Nov 29, 2012 to Apr 1, 2013
      • Advisory employees · unset to 107.0
        Aug 27, 2012 to Nov 29, 2012
      • BD registered reps · unset to 8.0
        Aug 27, 2012 to Nov 29, 2012
      • Employees · unset to 215.0
        Aug 27, 2012 to Nov 29, 2012
      • State-registered IARs · unset to 0.0
        Aug 27, 2012 to Nov 29, 2012
      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
      Across the graphs

      C••••••••• R••• E••••• A••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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