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.

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Former SEC-registered adviser

B•••••••• C•••••• M••••••••• L••••••

Former SEC-registered adviserSt Helier, CRD 148823SEC 801-69758IAPD
Latest filing Jun 6, 2018
First filing on the tape Mar 30, 2012 · 21 filings
RAUM
$87B
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
$107M gross assets
History
21 filings and snapshots on the tape
RAUM$87B as of Mar 29, 2018
Mar 30, 2012$64B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 28, 20130 then
Employees (5.A)0 as of Mar 29, 2018
Mar 28, 20135 then
Private funds7 as of Mar 29, 2018
Mar 30, 201216 then
RAUM +39% over the last fiscal year-7.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 6, 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
$3.2BderivedRAUM 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
+39%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$87B, 20 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$87B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
27reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$87B for 20 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
      15 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B•••••••• V••••••••• A•••••••• M••••• F••• L••••••no longer reportedHedge Fund$4.9B17Mar 30, 2012
      B••••••• I••••••••• F••• L••••••no longer reportedHedge Fund$3.2B6Mar 30, 2012
      B•••••••• Q••••••••• E••••• M••••• F••• L••••••no longer reportedHedge Fund$1.4B10Jan 2, 2015
      B•••••••• V•••••• F•••••• M••••• F••• L••••••no longer reportedHedge Fund$129M2Mar 30, 2012
      A•••••• L••••••Hedge Fund$57.2M286Mar 30, 2012
      B•••••••• M•••• S••••••• C••••• M••••• F••• L••••••Hedge Fund$36.7M10Mar 30, 2012
      B•••••••• C•••••• I••••••••• M••••• F••• L••••••Hedge Fund$6.3M103Mar 30, 2012
      A•••••• L•••Hedge Fund$4.7M39Mar 30, 2012
      B•••••••• S•••••••• L••••••no longer reportedHedge Fund$3.3M95Mar 30, 2012
      B•••••••• S•••••• S••••••••• M••••• F••• L••••••no longer reportedHedge Fund$2.9M31Mar 30, 2012
      B•••••••• M••••••••• M••••• F••• L••••••Hedge Fund$2.2M9Mar 30, 2012
      B•••••••• A• M••••• F••• L••••••no longer reportedHedge Fund$900,7991Mar 30, 2012
      B•••••••• E••••• S••••••••• M••••• F••• L••••••Hedge Fund$01Mar 31, 2014
      B•••••••• E••••••• M•••••• M••••• F••• L••••••Hedge Fund$01Mar 30, 2012
      B•••••••• S•••••••• A•••• F•••••• F••• L••••••no longer reportedHedge Fund$011Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • P••••• M••••••• E••••• · Shareholdercontrol
        since 03/2018 · owns 25% to 50%
      • P••••• M••••••• E••••• · L•••••• Partnercontrol
        since 07/2015 · owns 75% or more of B•• C••••• L•
      • C••• P••••• A•••••• · Group Chief Operating Officer
        since 12/2008 · owns less than 5%
      • D•••••••• P•••• J•• · Group Chief Legal Officer
        since 12/2008 · owns less than 5%
      • D•••• A•••••• M•••••• · Group Chief Financial Officer, Board Member
        since 12/2008 · owns less than 5%
      • H••••••••• R•••••• J••• · Board Member
        since 02/2013 · owns less than 5%
      • M•••••••• M••••••••• R••••••• · Group Chief Compliance Officer
        since 02/2012 · owns less than 5%
      Entity owners
      • A••••• S••••••• ••••••••• L•••••• · Trustee
        indirect · owns F of B• C••••• C••••••••• T••••
      • B• C••••• C••••••••• T•••• · Shareholder
        indirect · owns 75% or more of B•••••••• C•••••• M••••••••• C••••• H••••••• L••••••
      • B•• C••••• L••• · Shareholder
        indirect · owns 75% or more of W•• I••••••••• L••••••
      • B•••••••• C•••••• M••••••••• C••••• H••••••• L•••••• · Shareholder
        indirect · owns 75% or more of B•••••••• C•••••• M••••••••• C••••• L••••••
      • B•••••••• C•••••• M••••••••• C••••• L•••••• · General Partner
        indirect · owns F of B•• C••••• L•
      • B•• C••••• L• · Shareholder
        direct · owns 25% to 50%
      • W•• I••••••••• L•••••• · Shareholder
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • B•••••••• C•••••• L••
        pooled vehicle sponsorn
      • B•••••••• C•••••• M••••••••• ••• Y•••• L•
        investment adviserbankn
      • B•••••••• C•••••• M••••••••• ••••••••• P••• L••
        investment adviserbankn
      • B•••••••• C•••••• M••••••••• ••• L••
        investment adviserbanknRAUM $87B
      • B•••••••• C•••••• M••••••••• G••••••• L•
        investment adviserbankn
      • B•••••••• C•••••• M••••••••• J••••• L••••••
        investment adviserbankn
      • B•••••••• G• I• L••••••
        pooled vehicle sponsorn
      • B•••••••• G• I• L••••••
        pooled vehicle sponsorn
      • B•••••••• G• I• L••••••
        pooled vehicle sponsorn
      • G••••• E•••••••• L••••••
        broker-dealern
      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
      • Pooled vehicle clients · unset to 27.0
        Sep 28, 2017 to Mar 29, 2018
      • Assets in custody · $91B to $87B
        Sep 28, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Sep 28, 2017 to Mar 29, 2018
      • Discretionary RAUM · $91B to $87B
        Sep 28, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 86644351099.0
        Sep 28, 2017 to Mar 29, 2018
      • RAUM · $91B to $87B
        Sep 28, 2017 to Mar 29, 2018
      • Related insurance company · true to false
        Sep 28, 2017 to Mar 29, 2018
      • Assets in custody · $91B to $91B
        Aug 1, 2017 to Sep 28, 2017
      • Assets in custody · $62B to $91B
        Feb 21, 2017 to Aug 1, 2017
      • Discretionary RAUM · $62B to $91B
        Feb 21, 2017 to Aug 1, 2017
      • RAUM · $62B to $91B
        Feb 21, 2017 to Aug 1, 2017
      • Accounts · 35 to 27
        Mar 30, 2016 to Feb 21, 2017
      • Assets in custody · $9.7B to $62B
        Mar 30, 2016 to Feb 21, 2017
      • Private funds · 10 to 7
        Mar 30, 2016 to Feb 21, 2017
      • Discretionary RAUM · $60B to $62B
        Mar 30, 2016 to Feb 21, 2017
      • RAUM · $60B to $62B
        Mar 30, 2016 to Feb 21, 2017
      • Assets in custody · $111B to $9.7B
        Oct 26, 2015 to Mar 30, 2016
      • Private funds · 11 to 10
        Oct 26, 2015 to Mar 30, 2016
      • Discretionary RAUM · $111B to $60B
        Oct 26, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $15.4M to $0
        Oct 26, 2015 to Mar 30, 2016
      • RAUM · $111B to $60B
        Oct 26, 2015 to Mar 30, 2016
      • Accounts · 52 to 35
        Sep 17, 2014 to Jan 2, 2015
      • Advisory employees · 3 to 0
        Sep 17, 2014 to Jan 2, 2015
      • Assets in custody · $116B to $111B
        Sep 17, 2014 to Jan 2, 2015
      • Employees · 10 to 0
        Sep 17, 2014 to Jan 2, 2015
      • HQ city · ST. P•••• PORT to ST HELIER
        Sep 17, 2014 to Jan 2, 2015
      • Private funds · 14 to 11
        Sep 17, 2014 to Jan 2, 2015
      • Discretionary RAUM · $118B to $111B
        Sep 17, 2014 to Jan 2, 2015
      • Non-discretionary RAUM · $19.5M to $15.4M
        Sep 17, 2014 to Jan 2, 2015
      • RAUM · $118B to $111B
        Sep 17, 2014 to Jan 2, 2015
      • Organization form · Limited Liability Partnership to Other (specify)
        Mar 31, 2014 to Jul 1, 2014
      • Succession · false to true
        Mar 31, 2014 to Jul 1, 2014
      • Business name · B•••••••• C•••••• M••••••••• L•• to B•••••••• C•••••• M••••••••• L••••••
        Jul 1, 2014 to Jul 1, 2014
      • Legal name · B•••••••• C•••••• M••••••••• L•• to B•••••••• C•••••• M••••••••• L••••••
        Jul 1, 2014 to Jul 1, 2014
      • Succession · true to false
        Jul 1, 2014 to Jul 1, 2014
      • Assets in custody · $128B to $116B
        Jan 7, 2014 to Mar 31, 2014
      • Employees · 5 to 10
        Jan 7, 2014 to Mar 31, 2014
      • Private funds · 13 to 14
        Jan 7, 2014 to Mar 31, 2014
      • Advisory employees · 0 to 3
        Jan 7, 2014 to Mar 31, 2014
      • Discretionary RAUM · $130B to $118B
        Jan 7, 2014 to Mar 31, 2014
      Signals
      1 dated events
      • B•••••••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jul 1, 2014 · Succession (Item 4) · 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