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Former SEC-registered adviser

B•••••••• A•••• M••••••••• L••

Former SEC-registered adviserSan Rafael, CaliforniaCRD 147887SEC 801-76961IAPD
Latest filing Jul 29, 2014
First filing on the tape Jul 20, 2012 · 8 filings
RAUM
$52.5M
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
10
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$37.6M gross assets
History
8 filings and snapshots on the tape
RAUM$52.5M as of Jun 9, 2014
Apr 1, 2013$47.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Jun 9, 2014
Apr 1, 20135 then
Employees (5.A)10 as of Jun 9, 2014
Apr 1, 20138 then
Private funds4 as of Jun 9, 2014
Apr 1, 201311 then
RAUM +12% over the last fiscal yearIARs 5 to 4
Practice profile
derived from the filing of Jul 29, 2014; every figure names its basis
RAUM per advisor
$13.1MderivedRAUM 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
$519,960derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
1.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
-20%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 individuals, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, selection of other advisersreportedItem 5.G
Custody
$37.6M, 28 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
101reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$37.6M for 28 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
Every departureEvery arrival
Private funds
10 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
A•••••• T•••• Y•••• F•••• L••Hedge Fund$8.9M1Nov 15, 2012
B•••••••• M••••••••• M••••• F•••• L•Hedge Fund$2.5M3Jul 20, 2012
A•••••• T•••• C••••• F•••• L••Hedge Fund$1.0M2Nov 15, 2012
B•••••••• L••••• S••••••••• L••Hedge Fund$01Jul 20, 2012
B•••••••• V••••••••• A•••••••• F•••• L••Hedge Fund$01Nov 15, 2012
B•••••••• A••••••••• I••••• F•••• L••Hedge Fund$03Nov 15, 2012
B•••••••• I•••••••• V••••••••• F•••• L••Hedge Fund$08Nov 15, 2012
B•••••••• S••••••••• A•••••••• F•••• L••Hedge Fund$01Nov 15, 2012
A•••••• T•••• E•••••• L••Hedge Fund$01Nov 15, 2012
B•••••••• 2• A••••••••• I••••• F•••• L••Hedge Fund$01Nov 15, 2012
Owners and control persons
Schedule A and B, latest filing
  • C••••• J••• W•••••• · Managing Directorcontrol
    since 08/2011 · owns less than 5%
  • G•••••••• J••• B••• · Presidentcontrol
    since 02/2011 · owns less than 5%
  • K••••• J••••••• H••••• · Chief Financial Officercontrol
    since 10/2012 · owns less than 5%
  • P••••• K••••• D•••• · Ceo, Cio, Cco And Principalcontrol
    since 12/2010 · owns less than 5%
  • C••••• J••• W•••••• · Managing Director, Principalcontrol
    since 06/2011 · owns F of B•••••••• T•••••• L••
  • G•••••••• J•• · Managing Director, Principalcontrol
    since 02/2011 · owns 25% to 50% of B•••••••• T•••••• L••
  • H•••••• J•••••••• M•••• · Sr Portfolio Manager, Principalcontrol
    since 09/2012 · owns F of B•••••••• T•••••• L••
  • H••••• W••••• B•••• · Portfolio Manager, Principalcontrol
    since 07/2008 · owns F of B•••••••• T•••••• L••
  • K••••• J••••••• H••••• · Chief Financial Officercontrol
    since 10/2012 · owns F of B•••••••• T•••••• L••
  • P••••• K••••• D•••• · Ceo, Cio, Principalcontrol
    since 12/2010 · owns 25% to 50% of B•••••••• T•••••• L••
Entity owners
  • B•••••••• T•••••• L•• · Direct And Sole Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • B•••••••• I•••••••• A•••••• I•••
    real estaten
  • J•••••• H• K••••• C••• I•••
    insurancen
  • N•••••• P•••••• C•••••• L••
    bankn
Offices
Schedule D 1.F, the 25 largest
  • B••••••••, CA
  • San Diego, CA
What changed
consecutive filings, newest first
  • Accounts · 152 to 101
    Jan 9, 2014 to Jun 9, 2014
  • Advisory employees · 4 to 3
    Jan 9, 2014 to Jun 9, 2014
  • BD registered reps · 2 to 3
    Jan 9, 2014 to Jun 9, 2014
  • Assets in custody · $34.5M to $37.6M
    Jan 9, 2014 to Jun 9, 2014
  • Employees · 8 to 10
    Jan 9, 2014 to Jun 9, 2014
  • Insurance-licensed employees · 1 to 0
    Jan 9, 2014 to Jun 9, 2014
  • HQ city · N•••••• BEACH to SAN RAFAEL
    Jan 9, 2014 to Jun 9, 2014
  • State-registered IARs · 5 to 4
    Jan 9, 2014 to Jun 9, 2014
  • Private funds · 11 to 4
    Jan 9, 2014 to Jun 9, 2014
  • Discretionary RAUM · $47.0M to $52.5M
    Jan 9, 2014 to Jun 9, 2014
  • RAUM · $47.0M to $52.5M
    Jan 9, 2014 to Jun 9, 2014
  • Accounts · 237 to 152
    Mar 7, 2013 to Apr 1, 2013
  • Advisory employees · 8 to 4
    Mar 7, 2013 to Apr 1, 2013
  • BD registered reps · 1 to 2
    Mar 7, 2013 to Apr 1, 2013
  • Employees · 9 to 8
    Mar 7, 2013 to Apr 1, 2013
  • Discretionary RAUM · $49.4M to $47.0M
    Mar 7, 2013 to Apr 1, 2013
  • RAUM · $49.4M to $47.0M
    Mar 7, 2013 to Apr 1, 2013
  • Related adviser · true to false
    Mar 7, 2013 to Apr 1, 2013
  • Related insurance company · false to true
    Mar 7, 2013 to Apr 1, 2013
  • Accounts · 202 to 237
    Jul 20, 2012 to Nov 15, 2012
  • Advisory employees · unset to 8.0
    Jul 20, 2012 to Nov 15, 2012
  • BD registered reps · 0 to 1
    Jul 20, 2012 to Nov 15, 2012
  • Assets in custody · $9.9M to $34.5M
    Jul 20, 2012 to Nov 15, 2012
  • Employees · unset to 9.0
    Jul 20, 2012 to Nov 15, 2012
  • State-registered IARs · 0 to 5
    Jul 20, 2012 to Nov 15, 2012
  • Private funds · 2 to 11
    Jul 20, 2012 to Nov 15, 2012
  • Discretionary RAUM · $60.7M to $49.4M
    Jul 20, 2012 to Nov 15, 2012
  • RAUM · $60.7M to $49.4M
    Jul 20, 2012 to Nov 15, 2012
Signals
1 dated events
  • B•••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Jul 20, 2012 · First SEC registration · fact
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