DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

B••••• • C••••••• L••

Former SEC-registered adviserFormer SEC adviser· Garden City, New York

Former SEC-registered adviser, based in Garden City, New York, reporting $52.4M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$52.4M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-28%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $52.4M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 113376 · SEC 801-60404 · 12 filingsShow
CRD 113376SEC 801-60404First filing on the tape Mar 28, 2012, latest Mar 17, 2021IAPD
RAUM
$52.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$52.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$52.4M as of Mar 17, 2021
Mar 28, 2012$66.5M then
HNW client RAUM$46.3M as of Mar 17, 2021
Mar 27, 2018$58.4M then
State-registered IARs (5.B.3)0 as of Mar 17, 2021
Mar 28, 20120 then
Employees (5.A)3 as of Mar 17, 2021
Mar 21, 20133 then
Private funds: no history
RAUM -28% over the last fiscal year-5.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2021; 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
$2.3MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM 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
-28%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-11%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$46.3M88%
  • Individuals$6.1M12%
Individual clients
14reported
HNW clients
20reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
34reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• E•••••• P••• · Managing Membercontrol
        since 07/2001 · owns 75% or more
      • M•••••• V•••••••• A•• · Chief Compliance Officer
        since 04/2007 · owns less than 5%
      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
      • Accounts · 38 to 34
        Jul 29, 2020 to Mar 17, 2021
      • HNW clients · 25 to 20
        Jul 29, 2020 to Mar 17, 2021
      • Individual clients · 13 to 14
        Jul 29, 2020 to Mar 17, 2021
      • Discretionary RAUM · $73.3M to $52.4M
        Jul 29, 2020 to Mar 17, 2021
      • HNW RAUM · $68.8M to $46.3M
        Jul 29, 2020 to Mar 17, 2021
      • Individual RAUM · $4.5M to $6.1M
        Jul 29, 2020 to Mar 17, 2021
      • RAUM · $73.3M to $52.4M
        Jul 29, 2020 to Mar 17, 2021
      • HNW clients · 21 to 25
        Mar 21, 2019 to Mar 17, 2020
      • Individual clients · 17 to 13
        Mar 21, 2019 to Mar 17, 2020
      • Discretionary RAUM · $63.4M to $73.3M
        Mar 21, 2019 to Mar 17, 2020
      • HNW RAUM · $56.7M to $68.8M
        Mar 21, 2019 to Mar 17, 2020
      • Individual RAUM · $6.7M to $4.5M
        Mar 21, 2019 to Mar 17, 2020
      • RAUM · $63.4M to $73.3M
        Mar 21, 2019 to Mar 17, 2020
      • Accounts · 36 to 38
        Mar 27, 2018 to Mar 21, 2019
      • HNW clients · 23 to 21
        Mar 27, 2018 to Mar 21, 2019
      • Individual clients · 13 to 17
        Mar 27, 2018 to Mar 21, 2019
      • Discretionary RAUM · $62.7M to $63.4M
        Mar 27, 2018 to Mar 21, 2019
      • HNW RAUM · $58.4M to $56.7M
        Mar 27, 2018 to Mar 21, 2019
      • Individual RAUM · $4.3M to $6.7M
        Mar 27, 2018 to Mar 21, 2019
      • RAUM · $62.7M to $63.4M
        Mar 27, 2018 to Mar 21, 2019
      • Accounts · 35 to 36
        Mar 24, 2017 to Mar 27, 2018
      • Charity clients · unset to 0.0
        Mar 24, 2017 to Mar 27, 2018
      • Corporate clients · unset to 0.0
        Mar 24, 2017 to Mar 27, 2018
      • HNW clients · unset to 23.0
        Mar 24, 2017 to Mar 27, 2018
      • Individual clients · unset to 13.0
        Mar 24, 2017 to Mar 27, 2018
      • Pension plan clients · unset to 0.0
        Mar 24, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 24, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Mar 24, 2017 to Mar 27, 2018
      • Discretionary RAUM · $56.3M to $62.7M
        Mar 24, 2017 to Mar 27, 2018
      • HNW RAUM · unset to 58445529.0
        Mar 24, 2017 to Mar 27, 2018
      • Individual RAUM · unset to 4286213.0
        Mar 24, 2017 to Mar 27, 2018
      • RAUM · $56.3M to $62.7M
        Mar 24, 2017 to Mar 27, 2018
      • Accounts · 38 to 35
        Mar 23, 2016 to Mar 24, 2017
      • Discretionary RAUM · $61.6M to $56.3M
        Mar 23, 2016 to Mar 24, 2017
      • RAUM · $61.6M to $56.3M
        Mar 23, 2016 to Mar 24, 2017
      • Accounts · 39 to 38
        Mar 19, 2015 to Mar 23, 2016
      • Discretionary RAUM · $66.6M to $61.6M
        Mar 19, 2015 to Mar 23, 2016
      • RAUM · $66.6M to $61.6M
        Mar 19, 2015 to Mar 23, 2016
      • Accounts · 34 to 39
        Mar 24, 2014 to Mar 19, 2015
      • Discretionary RAUM · $61.3M to $66.6M
        Mar 24, 2014 to Mar 19, 2015
      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