DFX Intelligence
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SEC-registered adviser
B•••• H••• C••••••
Legal name B•••• H••• C••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 22, 2012 · 14 filings
SEC status approved since Jul 27, 2018
RAUM
$402M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$402M as of Mar 30, 2026
Mar 22, 2012$80.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 22, 20120 then
Employees (5.A)1 as of Mar 30, 2026
Mar 19, 20191 then
Private funds1 as of Mar 30, 2026
Mar 22, 20121 then
RAUM +25% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $402MderivedRAUM 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
- +25%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
- $402M, 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
- 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)
- 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
- Pooled investment vehicles$402M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $402M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••• H••• P•••••••• L••• | Hedge Fund | $239M | 25 | Mar 22, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• S••••• J••••• · Manager, Chief Compliance Officercontrolsince 09/1998 · 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
- Assets in custody · $321M to $402MMar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $321M to $402MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $321M to $402MMar 31, 2025 to Mar 30, 2026
- RAUM · $321M to $402MMar 31, 2025 to Mar 30, 2026
- Assets in custody · $239M to $321MMar 27, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 31, 2025
- HQ city · unset to Mar 27, 2024 to Mar 31, 2025
- HQ state · unset to Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $239M to $321MMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $239M to $321MMar 27, 2024 to Mar 31, 2025
- RAUM · $239M to $321MMar 27, 2024 to Mar 31, 2025
- Assets in custody · $213M to $239MMar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $213M to $239MMar 28, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $213M to $239MMar 28, 2023 to Mar 27, 2024
- RAUM · $213M to $239MMar 28, 2023 to Mar 27, 2024
- Assets in custody · $160M to $213MMar 22, 2022 to Mar 28, 2023
- Discretionary RAUM · $160M to $213MMar 22, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $160M to $213MMar 22, 2022 to Mar 28, 2023
- RAUM · $160M to $213MMar 22, 2022 to Mar 28, 2023
- Assets in custody · $151M to $160MMar 23, 2021 to Mar 22, 2022
- Discretionary RAUM · $151M to $160MMar 23, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $151M to $160MMar 23, 2021 to Mar 22, 2022
- RAUM · $151M to $160MMar 23, 2021 to Mar 22, 2022
- Assets in custody · $162M to $151MMar 30, 2020 to Mar 23, 2021
- Financial planning clients · unset to 0Mar 30, 2020 to Mar 23, 2021
- Discretionary RAUM · $162M to $151MMar 30, 2020 to Mar 23, 2021
- Pooled vehicle RAUM · $162M to $151MMar 30, 2020 to Mar 23, 2021
- RAUM · $162M to $151MMar 30, 2020 to Mar 23, 2021
- Assets in custody · $364M to $162MMar 19, 2019 to Mar 30, 2020
- Discretionary RAUM · $364M to $162MMar 19, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $364M to $162MMar 19, 2019 to Mar 30, 2020
- RAUM · $364M to $162MMar 19, 2019 to Mar 30, 2020
- Assets in custody · $183M to $364MSep 11, 2018 to Mar 19, 2019
- Discretionary RAUM · $183M to $364MSep 11, 2018 to Mar 19, 2019
- Pooled vehicle RAUM · $183M to $364MSep 11, 2018 to Mar 19, 2019
- RAUM · $183M to $364MSep 11, 2018 to Mar 19, 2019
- Private funds · 2 to 1Jun 27, 2018 to Sep 11, 2018
- Advisory employees · unset to 1.0Jun 1, 2012 to Jun 27, 2018
- Pooled vehicle clients · unset to 1.0Jun 1, 2012 to Jun 27, 2018
- Assets in custody · $80.1M to $183MJun 1, 2012 to Jun 27, 2018
Signals
4 dated events
- B•••• H••• C•••••• reported RAUM $161.5M, down 56% from $364.2M (2019-03-19 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- B•••• H••• C•••••• reported RAUM $364.2M, up 99% from $183.1M (2018-09-11 to 2019-03-19)Mar 19, 2019 · RAUM change · derived
- B•••• H••• C•••••• reported RAUM $183.1M, up 129% from $80.1M (2012-06-01 to 2018-06-27)Jun 27, 2018 · RAUM change · derived
- B•••• H••• C•••••• filed its initial SEC registration (Form ADV)Jun 27, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B•••• H••• C•••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 415-474-7055reportedpublic record, Form ADV, Mar 30, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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