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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

B••••• C•••••• M••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 143880SEC 801-67874IAPD
Latest filing Jun 11, 2019
First filing on the tape Mar 22, 2012 · 18 filings
RAUM
$695M
reported, Item 5.F
Discretionary
55%
of RAUM
Private clients
22%
$156M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$744M as of Mar 28, 2019
Mar 22, 2012$780M then
HNW client RAUM$181M as of Mar 28, 2019
Mar 29, 2018$293M then
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 22, 20120 then
Employees (5.A)12 as of Mar 28, 2019
Mar 21, 20137 then
Private funds7 as of Mar 29, 2018
Mar 22, 20126 then
RAUM -39% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 11, 2019; 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
$11.1MderivedHNW RAUM over HNW clients
Average account
$31.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
55%derivedof RAUM
Institutional
2.2%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
-35%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$375M54%
  • High-net-worth individuals$156M22%
  • Corporations and businesses$148M21%
  • Charitable organizations$15.5M2.2%
Individual clients
n/areported
HNW clients
14reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
22reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••••• •• A•• C•••••• A••••••••• L•••no longer reportedHedge Fund$30.2M2Mar 27, 2014
      B•• D•••••••• F••• L•no longer reportedHedge Fund$23.9M39Mar 22, 2012
      B•• D•••••••• O••••••• F••• L••no longer reportedHedge Fund$16.9M12Mar 22, 2012
      B•• C••••• O••••••••• O••••••• F••• L•no longer reportedHedge Fund$14.0M8Mar 22, 2012
      B•• C••••• O••••••••• F••• L•no longer reportedHedge Fund$14.0M19Mar 22, 2012
      D••••• B••••• T• F••• L••no longer reportedHedge Fund$10.6M1Mar 22, 2012
      D••••• B••••• F••• L••no longer reportedHedge Fund$7.7M1Mar 22, 2012
      S••••• A• A• S••••• O• B••••• •• A•• C•••••• A••••••••• L•••no longer reportedHedge Fund$00Mar 27, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• B••••••• R••• · Managing Member And Chief Executive Officercontrol
        since 03/2007 · owns 50% to 75%
      • W•••••• J••• C•••• · Member And Chief Operating Officercontrol
        since 03/2007 · owns 10% to 25%
      • G••••••• R••••••• E•••• · Chief Compliance Officer
        since 11/2017 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list B••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 24 to 22
        Mar 28, 2019 to Jun 11, 2019
      • Corporate clients · 4 to 3
        Mar 28, 2019 to Jun 11, 2019
      • HNW clients · 15 to 14
        Mar 28, 2019 to Jun 11, 2019
      • Discretionary RAUM · $325M to $379M
        Mar 28, 2019 to Jun 11, 2019
      • HNW RAUM · $181M to $156M
        Mar 28, 2019 to Jun 11, 2019
      • Non-discretionary RAUM · $419M to $316M
        Mar 28, 2019 to Jun 11, 2019
      • RAUM · $744M to $695M
        Mar 28, 2019 to Jun 11, 2019
      • Accounts · 41 to 24
        Apr 30, 2018 to Mar 28, 2019
      • BD registered reps · 4 to 3
        Apr 30, 2018 to Mar 28, 2019
      • Corporate clients · 6 to 4
        Apr 30, 2018 to Mar 28, 2019
      • HNW clients · 22 to 15
        Apr 30, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 7.0 to unset
        Apr 30, 2018 to Mar 28, 2019
      • Employees · 13 to 12
        Apr 30, 2018 to Mar 28, 2019
      • Private funds · 7 to unset
        Apr 30, 2018 to Mar 28, 2019
      • Discretionary RAUM · $522M to $325M
        Apr 30, 2018 to Mar 28, 2019
      • HNW RAUM · $293M to $181M
        Apr 30, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · $618M to $419M
        Apr 30, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · 117323000.0 to unset
        Apr 30, 2018 to Mar 28, 2019
      • RAUM · $1.1B to $744M
        Apr 30, 2018 to Mar 28, 2019
      • Related bank · true to false
        Apr 30, 2018 to Mar 28, 2019
      • Discretionary RAUM · $519M to $522M
        Mar 29, 2018 to Apr 30, 2018
      • Pooled vehicle RAUM · $115M to $117M
        Mar 29, 2018 to Apr 30, 2018
      • RAUM · $1.1B to $1.1B
        Mar 29, 2018 to Apr 30, 2018
      • Accounts · 44 to 41
        Dec 8, 2017 to Mar 29, 2018
      • Advisory employees · 16 to 4
        Dec 8, 2017 to Mar 29, 2018
      • BD registered reps · 6 to 4
        Dec 8, 2017 to Mar 29, 2018
      • Charity clients · unset to 2.0
        Dec 8, 2017 to Mar 29, 2018
      • HNW clients · 25 to 22
        Dec 8, 2017 to Mar 29, 2018
      • Pooled vehicle clients · 11 to 7
        Dec 8, 2017 to Mar 29, 2018
      • Employees · 16 to 13
        Dec 8, 2017 to Mar 29, 2018
      • Private funds · 8 to 7
        Dec 8, 2017 to Mar 29, 2018
      • Discretionary RAUM · $546M to $519M
        Dec 8, 2017 to Mar 29, 2018
      • HNW RAUM · $305M to $293M
        Dec 8, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $749M to $618M
        Dec 8, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · $518M to $115M
        Dec 8, 2017 to Mar 29, 2018
      • RAUM · $1.3B to $1.1B
        Dec 8, 2017 to Mar 29, 2018
      • Accounts · 48 to 44
        Jul 18, 2017 to Dec 8, 2017
      • Corporate clients · unset to 6.0
        Jul 18, 2017 to Dec 8, 2017
      • HNW clients · unset to 25.0
        Jul 18, 2017 to Dec 8, 2017
      • Pooled vehicle clients · unset to 11.0
        Jul 18, 2017 to Dec 8, 2017
      Signals
      1 dated events
      • B••••• C•••••• M••••••••• L•• reported RAUM $743.9M, down 35% from $1.1B (2018-04-30 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      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