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•••••••• I••••••••• P••••••• L••
Latest filing Aug 16, 2022
First filing on the tape Mar 22, 2018 · 9 filings
RAUM
$173M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$173M gross assets
History
9 filings and snapshots on the tape
RAUM$173M as of Mar 30, 2022
Mar 28, 2019$150M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 28, 20190 then
Employees (5.A)5 as of Mar 30, 2022
Mar 28, 20198 then
Private funds4 as of Mar 30, 2022
Mar 28, 20193 then
RAUM +41% over the last fiscal year+4.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 16, 2022; 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
- $43.2MderivedRAUM 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$173M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- 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
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••••••• P••••••• I•• L••• | Hedge Fund | $119M | 25 | Aug 15, 2012 |
| B•••••••• P•••••••• L•••no longer reported | Hedge Fund | $79.0M | 47 | Aug 15, 2012 |
| J•• S•••••• S••••••••• F•••• L• | Hedge Fund | $39.9M | 2 | Sep 16, 2019 |
| B•••••••• C••••• S••••••••• L•••no longer reported | Hedge Fund | $15.4M | 11 | Mar 22, 2018 |
| E••••• R••••••• P••••••• I• L•no longer reported | Hedge Fund | $15.3M | 38 | Mar 28, 2016 |
| B•••••••• C••••• A•••••••• L•• | Hedge Fund | $12.8M | 2 | Mar 28, 2016 |
| B•••••••• S•• 1• L•no longer reported | Private Equity Fund | $924,000 | 2 | Mar 31, 2014 |
| B•••••••• P•••••••• H•••••••• L•• | Private Equity Fund | $803,209 | 3 | Sep 16, 2019 |
Owners and control persons
Schedule A and B, latest filing
- L••••••••• K•••• G•••••• · Membercontrolsince 07/2011 · owns 50% to 75%
- M••••• J••••••• F• · Membercontrolsince 07/2011 · owns 50% to 75%
- S•••••••• R••••••• L• · Chief Compliance Officersince 09/2020 · owns less than 5%
Related persons
Schedule D 7.A
- B•••••••• P••••••• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Mar 30, 2022 to Aug 16, 2022
- Employees · 5 to 4Mar 30, 2022 to Aug 16, 2022
- Discretionary RAUM · $123M to $173MMar 25, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $123M to $173MMar 25, 2021 to Mar 30, 2022
- RAUM · $123M to $173MMar 25, 2021 to Mar 30, 2022
- Related bank · true to falseMar 25, 2021 to Mar 30, 2022
- Accounts · 5 to 4Oct 19, 2020 to Mar 25, 2021
- Pooled vehicle clients · 5 to 4Oct 19, 2020 to Mar 25, 2021
- Private funds · 5 to 4Oct 19, 2020 to Mar 25, 2021
- Discretionary RAUM · $139M to $123MOct 19, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · $139M to $123MOct 19, 2020 to Mar 25, 2021
- RAUM · $139M to $123MOct 19, 2020 to Mar 25, 2021
- Related bank · false to trueOct 19, 2020 to Mar 25, 2021
- Advisory employees · 4 to 3Mar 23, 2020 to Oct 19, 2020
- Discretionary RAUM · $133M to $139MSep 16, 2019 to Mar 23, 2020
- Pooled vehicle RAUM · $133M to $139MSep 16, 2019 to Mar 23, 2020
- RAUM · $133M to $139MSep 16, 2019 to Mar 23, 2020
- Accounts · 3 to 5Mar 28, 2019 to Sep 16, 2019
- Advisory employees · 7 to 4Mar 28, 2019 to Sep 16, 2019
- Pooled vehicle clients · 3 to 5Mar 28, 2019 to Sep 16, 2019
- Employees · 8 to 5Mar 28, 2019 to Sep 16, 2019
- Other offices · 1 to 0Mar 28, 2019 to Sep 16, 2019
- Private funds · 3 to 5Mar 28, 2019 to Sep 16, 2019
- Discretionary RAUM · $150M to $133MMar 28, 2019 to Sep 16, 2019
- Pooled vehicle RAUM · $150M to $133MMar 28, 2019 to Sep 16, 2019
- RAUM · $150M to $133MMar 28, 2019 to Sep 16, 2019
- Advisory employees · 6 to 7Mar 22, 2018 to Mar 28, 2019
- Employees · 7 to 8Mar 22, 2018 to Mar 28, 2019
- Private funds · 6 to 3Mar 22, 2018 to Mar 28, 2019
- Discretionary RAUM · $166M to $150MMar 22, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $166M to $150MMar 22, 2018 to Mar 28, 2019
- RAUM · $166M to $150MMar 22, 2018 to Mar 28, 2019
Signals
4 dated events
- L Richard Sadowsky (Chief Compliance Officer) appeared on Schedule A of B•••••••• I••••••••• P••••••• L••Oct 19, 2020 · Control person joined · fact
- Anthony Jonathan Marcus (Member, Class A, Chief Compliance Officer) no longer on Schedule A of B•••••••• I••••••••• P••••••• L•• (listed 2019-03-28, absent 2019-09-16)Sep 16, 2019 · Control person left · inference
- Scott Neil Subin (Member, Class A) no longer on Schedule A of B•••••••• I••••••••• P••••••• L•• (listed 2019-03-28, absent 2019-09-16)Sep 16, 2019 · Control person left · inference
- B•••••••• I••••••••• P••••••• L•• filed its initial SEC registration (Form ADV)Mar 22, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B•••••••• I••••••••• P••••••• L•• · Private Equityshared crd · organization
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