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.

Former SEC-registered adviser

Blackstone Clean Technology Advisors L.L.C.

Former SEC-registered adviserNew York, New YorkCRD 148943SEC 801-69847IAPD
Latest filing Mar 31, 2017
First filing on the tape Nov 11, 2011 · 14 filings
RAUM
$11.9M
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
203
157 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$11.9M gross assets
History
14 filings and snapshots on the tape
RAUM$11.9M as of Mar 31, 2017
Mar 30, 2012$44.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 30, 20120 then
Employees (5.A)203 as of Mar 31, 2017
Mar 28, 20139 then
Private funds1 as of Mar 31, 2017
Mar 30, 20121 then
RAUM -41% over the last fiscal year-29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
$11.9MderivedRAUM 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
-41%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-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • controlled by a public reporting company (10.A)
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      • Patrick Joseph Baratta · Global Head Of Private Equity
        since 01/2013 · owns less than 5%
      • Raoul Omar Rehman · Chief Compliance Officer
        since 05/2013 · owns less than 5%
      • Vikrant Sawhney · Chief Operating Officer
        since 01/2013 · owns less than 5%
      • Michael Christopher Striano · Chief Financial Officer
        since 01/2013 · owns less than 5%
      Entity owners
      • Blackstone Holdings I L.P. · Managing Member
        direct · owns 75% or more
      • Blackstone Holdings I / II Gp Inc. · General Partner
        indirect · owns F of Blackstone Holdings I L.P.
      • The Blackstone Group L.P. · Shareholder
        indirect · owns 75% or more of Blackstone Holdings I/II Gp Inc. · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Blackstone Clean Technology Advisors L.L.C. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 144 to 157
        Mar 30, 2016 to Mar 31, 2017
      • BD registered reps · 14 to 12
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 194 to 203
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $20.1M to $11.9M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $20.1M to $11.9M
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 140 to 144
        Oct 16, 2015 to Mar 30, 2016
      • Employees · 213 to 194
        Oct 16, 2015 to Mar 30, 2016
      • Discretionary RAUM · $21.8M to $20.1M
        Oct 16, 2015 to Mar 30, 2016
      • RAUM · $21.8M to $20.1M
        Oct 16, 2015 to Mar 30, 2016
      • Advisory employees · 116 to 140
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 175 to 213
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $32.9M to $21.8M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $32.9M to $21.8M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 2 to 1
        May 1, 2013 to Mar 31, 2014
      • Advisory employees · 4 to 116
        May 1, 2013 to Mar 31, 2014
      • BD registered reps · 6 to 14
        May 1, 2013 to Mar 31, 2014
      • Assets in custody · unset to 0.0
        May 1, 2013 to Mar 31, 2014
      • Custody of client assets · false to true
        May 1, 2013 to Mar 31, 2014
      • Employees · 9 to 175
        May 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $40.5M to $32.9M
        May 1, 2013 to Mar 31, 2014
      • RAUM · $40.5M to $32.9M
        May 1, 2013 to Mar 31, 2014
      • BD registered reps · 5 to 6
        Jan 3, 2013 to Mar 28, 2013
      • Discretionary RAUM · $44.0M to $40.5M
        Jan 3, 2013 to Mar 28, 2013
      • RAUM · $44.0M to $40.5M
        Jan 3, 2013 to Mar 28, 2013
      • Advisory employees · unset to 4.0
        Jun 11, 2012 to Jan 2, 2013
      • BD registered reps · unset to 5.0
        Jun 11, 2012 to Jan 2, 2013
      • Employees · unset to 9.0
        Jun 11, 2012 to Jan 2, 2013
      • Accounts · 1 to 2
        Nov 11, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 11, 2011 to Mar 30, 2012
      • Private funds · unset to 1
        Nov 11, 2011 to Mar 30, 2012
      • Discretionary RAUM · $96.5M to $44.0M
        Nov 11, 2011 to Mar 30, 2012
      • RAUM · $96.5M to $44.0M
        Nov 11, 2011 to Mar 30, 2012
      • Related bank · false to true
        Nov 11, 2011 to Mar 30, 2012
      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