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Former SEC-registered adviser

B•• P•••••• C•••• S•••••••• F••••••••• S•••

Former SEC-registered adviserSantiago, CRD 116641SEC 801-60662IAPD
Latest filing Mar 29, 2017
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$90.0M
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
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$90.0M as of Mar 29, 2017
Mar 30, 2012$146M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Mar 30, 20120 then
Employees (5.A)5 as of Mar 29, 2017
Mar 28, 20136 then
Private funds: no history
RAUM -14% over the last fiscal year-32% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2017; 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
$30.0MderivedRAUM 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
-14%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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
3reported
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
      • A•••••• J••• G••••••••• V•••••• · Chairman
        since 11/2016 · owns less than 5%
      • M••••••• V••••••• · Chief Compliance Officer
        since 12/2006 · owns less than 5%
      Entity owners
      • B•• P•••••• C•••• S••• · Shareholder
        direct · owns 75% or more
      • B•••• B•• P•••••• S••• · Shareholder
        indirect · owns 75% or more of B•• P•••••• H•••••• I••••••••• S•••
      • B•• P•••••• C•••• S•• · Shareholder
        indirect · owns 75% or more of B•• P•••••• C•••• S•••••••• F••••••••• S•••
      • B•• P•••••• G• H•••••• S••• · Shareholder
        indirect · owns 75% or more of B•• P•••••• H•••••• S•••
      • B•• P•••••• H•••••• I••••••••• S••• · Shareholder
        indirect · owns 75% or more of B•• P•••••• C•••• S••
      • B•• P•••••• H•••••• S••• · Shareholder
        indirect · owns 75% or more of B•••• B•• P•••••• S•••
      Related persons
      Schedule D 7.A
      • B•••• B•• P•••••• C••••
        n
      • B•••• B•• P•••••• S•••
        y
      • B•• P•••••• A•••• M••••••••• S••• D•••
        investment advisern
      • B•• P•••••• C•••• S••• A••••••••• G•••••• D• F•••••
        investment adviserpooled vehicle sponsorn
      • B•• P•••••• C•••• S••• C••••••• D• S•••••• D• V•••
        real estaten
      • B•• P•••••• C•••• S••• C••••••••• D• B••••
        broker-dealern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 3
        Nov 10, 2016 to Mar 29, 2017
      • Discretionary RAUM · $105M to $90.0M
        Nov 10, 2016 to Mar 29, 2017
      • RAUM · $105M to $90.0M
        Nov 10, 2016 to Mar 29, 2017
      • Accounts · 1 to 2
        Mar 30, 2015 to Mar 30, 2016
      • Advisory activities · 2 to 1
        Mar 30, 2015 to Mar 30, 2016
      • Employees · 6 to 5
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $129M to $105M
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $129M to $105M
        Mar 30, 2015 to Mar 30, 2016
      • Accounts · 2 to 1
        Apr 2, 2014 to Mar 30, 2015
      • Advisory activities · 3 to 2
        Apr 2, 2014 to Mar 30, 2015
      • Business name · C••••• C•••••• to B•• P•••••• C•••• S•••••••• F••••••••• S•••
        Apr 2, 2014 to Mar 30, 2015
      • Legal name · C••••• C•••••• S•••••••• F••••••••• S.A. to B•• P•••••• C•••• S•••••••• F••••••••• S•••
        Apr 2, 2014 to Mar 30, 2015
      • Discretionary RAUM · $290M to $129M
        Apr 2, 2014 to Mar 30, 2015
      • RAUM · $290M to $129M
        Apr 2, 2014 to Mar 30, 2015
      • Accounts · 1 to 2
        Mar 28, 2013 to Apr 2, 2014
      • Discretionary RAUM · $199M to $290M
        Mar 28, 2013 to Apr 2, 2014
      • RAUM · $199M to $290M
        Mar 28, 2013 to Apr 2, 2014
      • Related adviser · false to true
        Mar 28, 2013 to Apr 2, 2014
      • Accounts · 2 to 1
        Mar 30, 2012 to Mar 28, 2013
      • Advisory employees · unset to 2.0
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 6.0
        Mar 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $0 to $199M
        Mar 30, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $146M to $0
        Mar 30, 2012 to Mar 28, 2013
      • RAUM · $146M to $199M
        Mar 30, 2012 to Mar 28, 2013
      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