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•••••••• A••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 109099SEC 801-56807IAPD
Latest filing Mar 30, 2020
First filing on the tape Dec 2, 2011 · 25 filings
RAUM
$8.9M
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
275
119 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$8.9M gross assets
History
25 filings and snapshots on the tape
RAUM$8.9M as of Mar 30, 2020
Mar 30, 2012$196M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 30, 20120 then
Employees (5.A)275 as of Mar 30, 2020
Mar 28, 201398 then
Private funds1 as of Mar 30, 2020
Mar 30, 20121 then
RAUM +13% over the last fiscal year-16% 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
$4.5MderivedRAUM 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
+13%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 pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$8.9M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••••••••• M•••••••• P••••••• I• L•••Private Equity Fund$8.9M46Mar 30, 2012
      B••••••••• M•••••••• P••••••• L•••no longer reportedPrivate Equity Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• M•••••• J•••• · Chief Legal Officercontrol
        since 02/2010 · owns less than 5%
      • B••••••••• P•••••••• ••••••• K• · Chief Compliance Officercontrol
        since 10/2019 · owns less than 5%
      • K••••• P•••• M••• · Chief Operating Officercontrol
        since 01/2019 · owns less than 5%
      • K•••••• K••••• M•••••• · Head Of Financecontrol
        since 03/2019 · owns less than 5%
      • S••••• D•••••• D••••• · Presidentcontrol
        since 06/2017 · owns less than 5%
      Entity owners
      • B••••••••• I••••••••• H••••• L••••• · L•••••• Partner
        direct · owns 75% or more
      • B••• A••••••• L••••• · General Partner
        direct · owns less than 5%
      • B••••••••• A••••••• P••••••• L••• · Sole Member
        indirect · owns 75% or more of B••••••••• I••••••••• H••••• L•••••
      • B••••••••• G•••• H••••••• L••• · L•••••• Partner
        indirect · owns 75% or more of B••••••••• A••••••• P••••••• L•••
      • B••••••••• H••••••• I• • I• G• L••••• · General Partner
        indirect · owns 50% to 75% of B••••••••• H••••••• I• L•••
      • B••••••••• H••••••• I• L••• · L•••••• Partner
        indirect · owns 75% or more of B••••••••• G•••• H••••••• L•••
      • B••••••••• I••••••••• H••••• L••••• · Sole Member
        indirect · owns 75% or more of B••• A••••••• L•••••
      • T•• B••••••••• G•••• I••• · Sole Member
        indirect · owns 75% or more of B••••••••• H••••••• I• • I• G• L••••• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list B••••••••• M•••••••• A••••••• L• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 101 to 119
        Nov 6, 2019 to Mar 30, 2020
      • BD registered reps · 25 to 27
        Nov 6, 2019 to Mar 30, 2020
      • Employees · 246 to 275
        Nov 6, 2019 to Mar 30, 2020
      • Discretionary RAUM · $7.9M to $8.9M
        Nov 6, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $7.9M to $8.9M
        Nov 6, 2019 to Mar 30, 2020
      • RAUM · $7.9M to $8.9M
        Nov 6, 2019 to Mar 30, 2020
      • Advisory employees · 103 to 101
        Oct 31, 2018 to Mar 30, 2019
      • BD registered reps · 22 to 25
        Oct 31, 2018 to Mar 30, 2019
      • Employees · 236 to 246
        Oct 31, 2018 to Mar 30, 2019
      • Private funds · 2 to 1
        Oct 31, 2018 to Mar 30, 2019
      • Discretionary RAUM · $7.6M to $7.9M
        Oct 31, 2018 to Mar 30, 2019
      • Pooled vehicle RAUM · $7.6M to $7.9M
        Oct 31, 2018 to Mar 30, 2019
      • RAUM · $7.6M to $7.9M
        Oct 31, 2018 to Mar 30, 2019
      • Accounts · 4 to 2
        Apr 11, 2017 to Mar 30, 2018
      • Advisory employees · 165 to 103
        Apr 11, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 2.0
        Apr 11, 2017 to Mar 30, 2018
      • Employees · 334 to 236
        Apr 11, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Apr 11, 2017 to Mar 30, 2018
      • Discretionary RAUM · $15.1M to $7.6M
        Apr 11, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 7574677.0
        Apr 11, 2017 to Mar 30, 2018
      • RAUM · $15.1M to $7.6M
        Apr 11, 2017 to Mar 30, 2018
      • Advisory employees · 157 to 165
        Dec 27, 2016 to Mar 29, 2017
      • BD registered reps · 20 to 22
        Dec 27, 2016 to Mar 29, 2017
      • Assets in custody · $156M to $0
        Dec 27, 2016 to Mar 29, 2017
      • Employees · 303 to 334
        Dec 27, 2016 to Mar 29, 2017
      • Discretionary RAUM · $156M to $15.1M
        Dec 27, 2016 to Mar 29, 2017
      • RAUM · $156M to $15.1M
        Dec 27, 2016 to Mar 29, 2017
      • Advisory employees · 159 to 157
        Mar 11, 2016 to Mar 29, 2016
      • BD registered reps · 25 to 20
        Mar 11, 2016 to Mar 29, 2016
      • Assets in custody · $229M to $156M
        Mar 11, 2016 to Mar 29, 2016
      • Employees · 259 to 303
        Mar 11, 2016 to Mar 29, 2016
      • Discretionary RAUM · $229M to $156M
        Mar 11, 2016 to Mar 29, 2016
      • RAUM · $229M to $156M
        Mar 11, 2016 to Mar 29, 2016
      • Advisory employees · 124 to 159
        May 8, 2014 to Mar 25, 2015
      • BD registered reps · 26 to 25
        May 8, 2014 to Mar 25, 2015
      • Assets in custody · $534M to $229M
        May 8, 2014 to Mar 25, 2015
      • Employees · 243 to 259
        May 8, 2014 to Mar 25, 2015
      • Discretionary RAUM · $320M to $229M
        May 8, 2014 to Mar 25, 2015
      • RAUM · $320M to $229M
        May 8, 2014 to Mar 25, 2015
      • Financial planning clients · 0 to unset
        Mar 31, 2014 to May 8, 2014
      Signals
      7 dated events
      • Jay Bennett Goodman (Founder) no longer on Schedule A of B••••••••• M•••••••• A••••••• L• (listed 2019-11-06, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • K. P•••••••• (T••••) B•••••••• (Chief Compliance Officer) appeared on Schedule A of B••••••••• M•••••••• A••••••• L•
        Nov 6, 2019 · Control person joined · fact
      • Elizabeth Susan Burkhardt (Chief Compliance Officer) no longer on Schedule A of B••••••••• M•••••••• A••••••• L• (listed 2019-03-30, absent 2019-07-15)
        Jul 15, 2019 · Control person left · inference
      • Mark Paul Kelly (Chief Operating Officer) appeared on Schedule A of B••••••••• M•••••••• A••••••• L•
        Mar 30, 2019 · Control person joined · fact
      • Michael Kevin Kresge (Head Of Finance) appeared on Schedule A of B••••••••• M•••••••• A••••••• L•
        Mar 30, 2019 · Control person joined · fact
      • I (Mi Only) George Fan (Chief Operating Officer) no longer on Schedule A of B••••••••• M•••••••• A••••••• L• (listed 2018-10-31, absent 2019-03-30)
        Mar 30, 2019 · Control person left · inference
      • Nmn Doris Lee-Silvestri (Chief Financial Officer) no longer on Schedule A of B••••••••• M•••••••• A••••••• L• (listed 2018-10-31, absent 2019-03-30)
        Mar 30, 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