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••••••• F•••••••• L••
Latest filing Mar 29, 2022
First filing on the tape Apr 2, 2012 · 15 filings
RAUM
$565M
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$6.6M gross assets
History
15 filings and snapshots on the tape
RAUM$565M as of Mar 29, 2022
Apr 2, 2012$107M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Apr 2, 20120 then
Employees (5.A)8 as of Mar 29, 2022
Apr 1, 201316 then
Private funds1 as of Mar 29, 2022
Apr 2, 20129 then
RAUM -32% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2022; 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
- $283MderivedRAUM 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
- -32%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 vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $6.6M, 1 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$559M99%
- Pooled investment vehicles$6.6M1.2%
- 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
- $6.6M for 1 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
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• S••••••••• O••••••••• F•••• L•no longer reported | Hedge Fund | $103M | 96 | Apr 1, 2013 |
| M••••••• O••••••••• F••• V•• S••••• D• L•no longer reported | Hedge Fund | $63.3M | 91 | Apr 2, 2012 |
| M••••••• O••••••••• F••• V•••• L•no longer reported | Hedge Fund | $42.7M | 84 | Apr 2, 2012 |
| S•••• S••••• F••• I• L•no longer reported | Hedge Fund | $12.7M | 80 | Apr 2, 2012 |
| C••••• P••• S••••••••• I••••••••• L• | Hedge Fund | $6.6M | 13 | Mar 29, 2016 |
| B•••• S•• R••• E••••• I•••••••• V•• L•no longer reported | Hedge Fund | $3.5M | 6 | Apr 2, 2012 |
| M••••••• O••••••••• F••• V••• S••••• B• L•no longer reported | Hedge Fund | $3.1M | 7 | Apr 2, 2014 |
| B•• C••• F•••• L•no longer reported | Private Equity Fund | $2.4M | 15 | Apr 2, 2012 |
| B•••• S•• R••• E••••• I•••••••• V••• L•no longer reported | Hedge Fund | $980,357 | 1 | Apr 2, 2012 |
| M••••••• O••••••••• F••• V•• L•no longer reported | Hedge Fund | $0 | 0 | Apr 2, 2012 |
| M••••••• O••••••••• F••• V• S••••• B• L•••no longer reported | Hedge Fund | $0 | 0 | Apr 2, 2012 |
| G••••• S•• F•••• L•no longer reported | Hedge Fund | $0 | 0 | Apr 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••• H•••••• B••• · Chief Executive Officer, President, Chief Investment Officercontrolsince 05/1994 · owns less than 5%
- G•••••••• T•••• R•••••• · Portfolio Managercontrolsince 05/2005 · owns less than 5%
- G••••••••• K•• · Chief Compliance Officercontrolsince 12/2012 · owns less than 5%
- P•••••• T•••••• S•••••• · Chief Financial Officer, Chief Operations Officer, Corporate Secretarycontrolsince 02/2003 · owns less than 5%
- T••••• G••••••• E••••• · Senior Portfolio Manager, Senior Vice Presidentcontrolsince 12/2010 · owns less than 5%
- A••••• H•••••• B••• · Membercontrolsince 10/2020 · owns 75% or more of B••••••• H••••••• C••••••• L••
Entity owners
- B••••••• F•••••••• G•• L•• · Memberdirect · owns 75% or more
- B••••••• H••••••• C••••••• L•• · Memberindirect · owns 75% or more of B••••••• F•••••••• G•• L••
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
- BD registered reps · 1 to 0Mar 31, 2021 to Mar 29, 2022
- Assets in custody · $5.8M to $6.6MMar 31, 2021 to Mar 29, 2022
- Employees · 9 to 8Mar 31, 2021 to Mar 29, 2022
- Discretionary RAUM · $832M to $565MMar 31, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $5.8M to $6.6MMar 31, 2021 to Mar 29, 2022
- RAUM · $832M to $565MMar 31, 2021 to Mar 29, 2022
- Advisory employees · 6 to 5Mar 31, 2020 to Mar 31, 2021
- Assets in custody · $5.0M to $5.8MMar 31, 2020 to Mar 31, 2021
- Employees · 10 to 9Mar 31, 2020 to Mar 31, 2021
- Discretionary RAUM · $662M to $832MMar 31, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $5.0M to $5.8MMar 31, 2020 to Mar 31, 2021
- RAUM · $662M to $832MMar 31, 2020 to Mar 31, 2021
- Advisory employees · 5 to 6Sep 27, 2019 to Mar 31, 2020
- BD registered reps · 0 to 1Sep 27, 2019 to Mar 31, 2020
- Assets in custody · $3.9M to $5.0MSep 27, 2019 to Mar 31, 2020
- Employees · 9 to 10Sep 27, 2019 to Mar 31, 2020
- State-registered IARs · 1 to 0Sep 27, 2019 to Mar 31, 2020
- Discretionary RAUM · $394M to $662MSep 27, 2019 to Mar 31, 2020
- Pooled vehicle RAUM · $3.9M to $5.0MSep 27, 2019 to Mar 31, 2020
- RAUM · $394M to $662MSep 27, 2019 to Mar 31, 2020
- BD registered reps · 1 to 0Mar 30, 2018 to Mar 22, 2019
- Assets in custody · $2.8M to $3.9MMar 30, 2018 to Mar 22, 2019
- Discretionary RAUM · $159M to $394MMar 30, 2018 to Mar 22, 2019
- Pooled vehicle RAUM · $2.8M to $3.9MMar 30, 2018 to Mar 22, 2019
- RAUM · $159M to $394MMar 30, 2018 to Mar 22, 2019
- Accounts · 3 to 2Mar 29, 2017 to Mar 30, 2018
- BD registered reps · 0 to 1Mar 29, 2017 to Mar 30, 2018
- Pooled vehicle clients · unset to 1.0Mar 29, 2017 to Mar 30, 2018
- Assets in custody · $2.4M to $2.8MMar 29, 2017 to Mar 30, 2018
- Employees · 11 to 9Mar 29, 2017 to Mar 30, 2018
- Other offices · unset to 0.0Mar 29, 2017 to Mar 30, 2018
- Discretionary RAUM · $79.1M to $159MMar 29, 2017 to Mar 30, 2018
- Pooled vehicle RAUM · unset to 2816632.0Mar 29, 2017 to Mar 30, 2018
- RAUM · $79.1M to $159MMar 29, 2017 to Mar 30, 2018
- Accounts · 4 to 3Mar 29, 2016 to Mar 29, 2017
- Advisory employees · 4 to 5Mar 29, 2016 to Mar 29, 2017
- Assets in custody · $3.3M to $2.4MMar 29, 2016 to Mar 29, 2017
- Employees · 13 to 11Mar 29, 2016 to Mar 29, 2017
- State-registered IARs · 0 to 1Mar 29, 2016 to Mar 29, 2017
- Private funds · 3 to 1Mar 29, 2016 to Mar 29, 2017
Signals
5 dated events
- B••••••• F•••••••• L•• reported RAUM $565.4M, down 32% from $831.5M (2021-03-31 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Charles David Allon (Senior Vice President) no longer on Schedule A of B••••••• F•••••••• L•• (listed 2021-03-31, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- B••••••• F•••••••• L•• reported RAUM $831.5M, up 26% from $662.0M (2020-03-31 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- B••••••• F•••••••• L•• reported RAUM $662.0M, up 68% from $394.1M (2019-09-27 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- B••••••• F•••••••• L•• reported RAUM $394.1M, up 148% from $159.1M (2018-03-30 to 2019-03-22)Mar 22, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- B••••••• F•••••••• L•• · Private Equityshared crd · organization
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