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B••••• A•••• M•••••••••

Former SEC-registered adviserFormer SEC adviser1 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $108M of regulatory assets.

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

Last reported RAUM
$108M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 3 Form ADV filings for this adviser, the latest 13.8 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 144435 · SEC 801-73259 · 3 filingsShow
CRD 144435SEC 801-73259Legal name B••••• A•••• M••••••••• I•••First filing on the tape Feb 10, 2012, latest Jan 30, 2013IAPD
RAUM
$108M
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$125M gross assets
History
3 filings and snapshots on the tape
RAUM$108M as of Jan 30, 2013
Feb 10, 2012$125M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 5
Private funds1 as of Jan 30, 2013
Feb 10, 20121 then
Practice profile
derived from the filing of Jan 30, 2013; 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
$54.0MderivedRAUM 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
unknownderivedbetween 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
$108M, 2 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)
  • 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
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
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$108M for 2 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• L•••• M•••••• · Chief Compliance Officercontrol
        since 06/2006 · owns less than 5%
      • C•••• M••••• M••• · Directorcontrol
        since 04/2008 · owns less than 5%
      • H••••• W••••••• D••• · Directorcontrol
        since 04/2008 · owns less than 5%
      • M••••••••• M•••••• E•••••• · Chief Investment Officer/Managing Directorcontrol
        since 04/2008 · owns less than 5%
      • T••••••••• G••••••• D•••• · Directorcontrol
        since 06/2006 · owns less than 5%
      Entity owners
      • B••••• H••••••• I•• · Parent
        direct · owns 75% or more
      • B•••• L••••••••• D• C••••••• E•••••••• S••• · Shareholder
        indirect · owns 75% or more of B••••• H••••••• I••. · public reporting company
      Related persons
      Schedule D 7.A
      • B•••• L••••••••• D• C••••••• E••••••• S•••
        y
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 3.0
        Feb 13, 2012 to Jan 30, 2013
      • BD registered reps · unset to 0.0
        Feb 13, 2012 to Jan 30, 2013
      • Assets in custody · $125M to $108M
        Feb 13, 2012 to Jan 30, 2013
      • Employees · unset to 5.0
        Feb 13, 2012 to Jan 30, 2013
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Jan 30, 2013
      • Discretionary RAUM · $125M to $108M
        Feb 13, 2012 to Jan 30, 2013
      • RAUM · $125M to $108M
        Feb 13, 2012 to Jan 30, 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