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Former SEC-registered adviser

B•••• C•••••• P••••••• A••• M••••••••• I• L•••••• P•••••••••

Former SEC-registered adviserMilwaukee, WisconsinCRD 147255SEC 801-69238IAPD
Latest filing Mar 31, 2021
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$2.1M
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
15
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$1.4M gross assets
History
13 filings and snapshots on the tape
RAUM$2.1M as of Mar 31, 2021
Mar 30, 2012$29.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 31, 2021
Mar 15, 20133 then
Employees (5.A)15 as of Mar 31, 2021
Mar 15, 20135 then
Private funds2 as of Mar 31, 2021
Mar 30, 20122 then
RAUM -92% over the last fiscal year-59% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
RAUM per advisor
$417,400derivedRAUM 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
$695,667derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-92%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 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
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.5M70%
  • Investment companies$623,00030%
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 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B•••• C•••••• P••••••• A••• I• L•••••• P•••••••••Private Equity Fund$1.4M60Mar 30, 2012
      B•••• C•••••• P••••••• A••• I• ••••••• L•••••• P•••••••••Private Equity Fund$9,9005Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••• A•••••• M•••• · Chief Compliance Officercontrol
        since 03/2014 · owns less than 5%
      • B••••• S•••••• G•••••• · Investment Committee Member
        since 01/2014 · owns less than 5%
      • P••• G•••••• G••••• · Investment Committee Member
        since 05/2008 · owns less than 5%
      • S••••••• P•••• L•• · Vice President And Chief Legal Officer
        since 05/2008 · owns less than 5%
      • T•••••• B••••••• H• · Investment Committee Member
        since 08/2020 · owns less than 5%
      Entity owners
      • B••• I• ••••••• P••••••• L•••••• · G•••••• Partner
        direct · owns less than 5%
      • R••••• W• B•••• • C•• I••••••••• · L•••••• Partner
        direct · owns 75% or more
      • B•••• F•••••••• C••••••••• · Shareholder
        indirect · owns 75% or more of R••••• W• B•••• • C•• I•••••••••
      • B•••• F•••••••• G••••• I••• · Shareholder
        indirect · owns 75% or more of B•••• F•••••••• C•••••••••
      • R••••• W• B•••• • C•• I••••••••• · Shareholder
        indirect · owns 75% or more of B••• I• ••••••• P••••••• L••••••
      Related persons
      Schedule D 7.A
      Advisers that list B•••• C•••••• P••••••• A••• M••••••••• I• L•••••• P••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL1 employees
      What changed
      consecutive filings, newest first
      • BD registered reps · 4 to 5
        Mar 23, 2020 to Mar 31, 2021
      • Employees · 8 to 15
        Mar 23, 2020 to Mar 31, 2021
      • State-registered IARs · 4 to 5
        Mar 23, 2020 to Mar 31, 2021
      • Discretionary RAUM · $27.7M to $2.1M
        Mar 23, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $19.5M to $1.5M
        Mar 23, 2020 to Mar 31, 2021
      • RAUM · $27.7M to $2.1M
        Mar 23, 2020 to Mar 31, 2021
      • Related bank · false to true
        Mar 23, 2020 to Mar 31, 2021
      • BD registered reps · 3 to 4
        Mar 25, 2019 to Mar 23, 2020
      • State-registered IARs · 3 to 4
        Mar 25, 2019 to Mar 23, 2020
      • Discretionary RAUM · $28.0M to $27.7M
        Mar 25, 2019 to Mar 23, 2020
      • Pooled vehicle RAUM · $19.8M to $19.5M
        Mar 25, 2019 to Mar 23, 2020
      • RAUM · $28.0M to $27.7M
        Mar 25, 2019 to Mar 23, 2020
      • Employees · 7 to 8
        Mar 21, 2018 to Mar 25, 2019
      • Discretionary RAUM · $31.3M to $28.0M
        Mar 21, 2018 to Mar 25, 2019
      • Pooled vehicle RAUM · $22.1M to $19.8M
        Mar 21, 2018 to Mar 25, 2019
      • RAUM · $31.3M to $28.0M
        Mar 21, 2018 to Mar 25, 2019
      • BD registered reps · 4 to 3
        Mar 14, 2017 to Mar 21, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 14, 2017 to Mar 21, 2018
      • Employees · 8 to 7
        Mar 14, 2017 to Mar 21, 2018
      • State-registered IARs · 4 to 3
        Mar 14, 2017 to Mar 21, 2018
      • Other offices · unset to 1.0
        Mar 14, 2017 to Mar 21, 2018
      • Discretionary RAUM · $48.4M to $31.3M
        Mar 14, 2017 to Mar 21, 2018
      • Pooled vehicle RAUM · unset to 22118000.0
        Mar 14, 2017 to Mar 21, 2018
      • RAUM · $48.4M to $31.3M
        Mar 14, 2017 to Mar 21, 2018
      • BD registered reps · 3 to 4
        Mar 18, 2016 to Mar 14, 2017
      • Employees · 5 to 8
        Mar 18, 2016 to Mar 14, 2017
      • State-registered IARs · 3 to 4
        Mar 18, 2016 to Mar 14, 2017
      • Discretionary RAUM · $73.3M to $48.4M
        Mar 18, 2016 to Mar 14, 2017
      • RAUM · $73.3M to $48.4M
        Mar 18, 2016 to Mar 14, 2017
      • Discretionary RAUM · $60.4M to $73.3M
        Jun 24, 2015 to Mar 18, 2016
      • RAUM · $60.4M to $73.3M
        Jun 24, 2015 to Mar 18, 2016
      • Advisory employees · 2 to 1
        Mar 25, 2014 to Mar 26, 2015
      • Discretionary RAUM · $64.7M to $60.4M
        Mar 25, 2014 to Mar 26, 2015
      • RAUM · $64.7M to $60.4M
        Mar 25, 2014 to Mar 26, 2015
      • Discretionary RAUM · $66.4M to $64.7M
        Jul 26, 2013 to Mar 25, 2014
      • RAUM · $66.4M to $64.7M
        Jul 26, 2013 to Mar 25, 2014
      • Discretionary RAUM · $66.3M to $66.4M
        Apr 2, 2013 to Jul 26, 2013
      • RAUM · $66.3M to $66.4M
        Apr 2, 2013 to Jul 26, 2013
      • Advisory employees · unset to 2.0
        Mar 30, 2012 to Mar 15, 2013
      • BD registered reps · unset to 3.0
        Mar 30, 2012 to Mar 15, 2013
      Signals
      No event on the tape.
      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