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Former SEC-registered adviser

B••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 135746SEC 801-65362IAPD
Latest filing Mar 29, 2018
First filing on the tape Mar 22, 2012 · 11 filings
RAUM
$485M
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
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$485M gross assets
History
11 filings and snapshots on the tape
RAUM$485M as of Mar 29, 2018
Mar 22, 2012$1.2B then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 25, 20130 then
Employees (5.A)8 as of Mar 29, 2018
Mar 25, 201313 then
Private funds6 as of Mar 29, 2018
Mar 22, 20129 then
RAUM -43% over the last fiscal year-27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$80.8MderivedRAUM 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
-43%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
$485M, 6 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$485M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$485M for 6 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
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••••• C•••••• E•••• F•••• L••Hedge Fund$109M8Mar 22, 2012
      B••••• C••••• O••••••••• F•••• L••no longer reportedHedge Fund$66.1M9Mar 22, 2012
      B••••• C••••• O••••••••• F•••• L•no longer reportedHedge Fund$55.4M29Mar 22, 2012
      B••••• C•••••• A••• ••••••••• L••Hedge Fund$48.2M37Mar 21, 2012
      B••••• E••••••• M••••••• F•••• L•no longer reportedHedge Fund$37.3M1Mar 18, 2014
      B••••• E••••••• M••••••• F•••• L•••no longer reportedHedge Fund$35.6M1Mar 18, 2014
      B••••• C•••••• G•••••• C•••• L••Hedge Fund$17.5M7Mar 21, 2012
      B••••• I•••••••• D•••••••• F•••• L••Hedge Fund$7.1M6Mar 22, 2012
      B••••• C•••••• A••• ••••••••• O••••••• F••• L••Hedge Fund$5.6M7Apr 17, 2015
      B••••• C•••••• P•••••••• L•Hedge Fund$4.0M34Mar 22, 2012
      B••••• C•••••• F•••• L••Hedge Fund$1.8M15Mar 22, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• R•••••• B•••••• · Managing Membercontrol
        since 07/2000 · owns 25% to 50%
      • F•••••••• I•••••••• A•••••••• · Chief Compliance Officercontrol
        since 02/2017 · owns less than 5%
      • F••••••• L••••• M••••• · Managing Member/Chief Financial Officercontrol
        since 05/2002 · owns 5% to 10%
      • P•••••••• K•••••••• K••••• · Managing Member/President/Chief Operating Officercontrol
        since 01/2011 · owns 10% to 25%
      • S•••••• R••••••• T•••••• · Managing Membercontrol
        since 04/2003 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • B••••• C•••••• M••••••••• G•• L•••
        investment adviserpooled vehicle sponsorn
      • B••••• C••••••• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 6
        Aug 29, 2017 to Mar 29, 2018
      • Advisory employees · 10 to 6
        Aug 29, 2017 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Aug 29, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        Aug 29, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Aug 29, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Aug 29, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Aug 29, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 6.0
        Aug 29, 2017 to Mar 29, 2018
      • Assets in custody · $870M to $485M
        Aug 29, 2017 to Mar 29, 2018
      • Employees · 12 to 8
        Aug 29, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Aug 29, 2017 to Mar 29, 2018
      • Private funds · 9 to 6
        Aug 29, 2017 to Mar 29, 2018
      • Discretionary RAUM · $870M to $485M
        Aug 29, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 0.0
        Aug 29, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 0.0
        Aug 29, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 0.0
        Aug 29, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 485094764.0
        Aug 29, 2017 to Mar 29, 2018
      • RAUM · $870M to $485M
        Aug 29, 2017 to Mar 29, 2018
      • Assets in custody · $848M to $870M
        Mar 27, 2017 to Aug 29, 2017
      • Discretionary RAUM · $848M to $870M
        Mar 27, 2017 to Aug 29, 2017
      • RAUM · $848M to $870M
        Mar 27, 2017 to Aug 29, 2017
      • Advisory employees · 7 to 10
        Feb 22, 2017 to Mar 27, 2017
      • Accounts · 7 to 9
        Feb 22, 2017 to Mar 27, 2017
      • Assets in custody · $964M to $848M
        Feb 22, 2017 to Mar 27, 2017
      • Employees · 13 to 12
        Feb 22, 2017 to Mar 27, 2017
      • Private funds · 10 to 9
        Feb 22, 2017 to Mar 27, 2017
      • Discretionary RAUM · $964M to $848M
        Feb 22, 2017 to Mar 27, 2017
      • RAUM · $964M to $848M
        Feb 22, 2017 to Mar 27, 2017
      • Assets in custody · $1.3B to $964M
        Mar 18, 2015 to Mar 17, 2016
      • Private funds · 7 to 10
        Mar 18, 2015 to Mar 17, 2016
      • Discretionary RAUM · $1.3B to $964M
        Mar 18, 2015 to Mar 17, 2016
      • RAUM · $1.3B to $964M
        Mar 18, 2015 to Mar 17, 2016
      • Accounts · 9 to 7
        Mar 18, 2014 to Mar 18, 2015
      • Assets in custody · $1.4B to $1.3B
        Mar 18, 2014 to Mar 18, 2015
      • Private funds · 9 to 7
        Mar 18, 2014 to Mar 18, 2015
      • Discretionary RAUM · $1.4B to $1.3B
        Mar 18, 2014 to Mar 18, 2015
      • RAUM · $1.4B to $1.3B
        Mar 18, 2014 to Mar 18, 2015
      • Assets in custody · $1.3B to $1.4B
        Mar 27, 2013 to Mar 18, 2014
      • Discretionary RAUM · $1.3B to $1.4B
        Mar 27, 2013 to Mar 18, 2014
      • RAUM · $1.3B to $1.4B
        Mar 27, 2013 to Mar 18, 2014
      Signals
      1 dated events
      • B••••• C•••••• M••••••••• L•• reported RAUM $485.1M, down 44% from $869.6M (2017-08-29 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      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