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•••• S• B••••••• • A••••••••• I•••
Latest filing Mar 30, 2022
First filing on the tape Feb 14, 2012 · 17 filings
RAUM
$176M
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
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$176M gross assets
History
17 filings and snapshots on the tape
RAUM$176M as of Mar 30, 2022
Mar 27, 2013$721M then
HNW client RAUM$0 as of Mar 30, 2022
Jan 31, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 27, 20130 then
Employees (5.A)15 as of Mar 30, 2022
Mar 27, 201313 then
Private funds5 as of Mar 30, 2022
Mar 27, 20137 then
RAUM -23% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $35.1MderivedRAUM 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
- -23%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $174M, 5 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$176M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $174M for 5 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• R••• E••••• F••• I• L•••no longer reported | Hedge Fund | $343,190 | 55 | Feb 14, 2012 |
| B••••••• F••• I••• L•••no longer reported | Hedge Fund | $215,591 | 61 | Feb 14, 2012 |
| B••••••• R••• E••••• F••• I•• L•••no longer reported | Hedge Fund | $167,161 | 84 | Feb 14, 2012 |
| B••••••• F••• I•• L•••no longer reported | Hedge Fund | $126,814 | 81 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• B••••• S••••• · President, Shareholder Of Registrantcontrolsince 01/1993 · owns 75% or more
- E••••••••• M•••••• · Chief Compliance Officer, Treasurer Of Registrantcontrolsince 02/2012 · owns less than 5%
Related persons
Schedule D 7.A
- B••••••• C••••••••• F••• G•• L••pooled vehicle sponsory
- B••••••• F••• V• G•• L••pooled vehicle sponsorn
- B••••••• F••• V• G•• L••pooled vehicle sponsory
- B••••••• F••• V•• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $223M to $174MMar 31, 2021 to Mar 30, 2022
- HQ city · unset to GREENWICHMar 31, 2021 to Mar 30, 2022
- HQ state · unset to CTMar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $228M to $176MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $228M to $176MMar 31, 2021 to Mar 30, 2022
- RAUM · $228M to $176MMar 31, 2021 to Mar 30, 2022
- Accounts · 7 to 5Mar 26, 2020 to Mar 31, 2021
- Advisory employees · 9 to 8Mar 26, 2020 to Mar 31, 2021
- Pooled vehicle clients · 7 to 5Mar 26, 2020 to Mar 31, 2021
- Assets in custody · $311M to $223MMar 26, 2020 to Mar 31, 2021
- Employees · 21 to 15Mar 26, 2020 to Mar 31, 2021
- HQ city · NEW YORK to unsetMar 26, 2020 to Mar 31, 2021
- HQ state · NY to unsetMar 26, 2020 to Mar 31, 2021
- Private funds · 7 to 5Mar 26, 2020 to Mar 31, 2021
- Discretionary RAUM · $320M to $228MMar 26, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $320M to $228MMar 26, 2020 to Mar 31, 2021
- RAUM · $320M to $228MMar 26, 2020 to Mar 31, 2021
- Accounts · 8 to 7Mar 21, 2019 to Mar 26, 2020
- Advisory employees · 10 to 9Mar 21, 2019 to Mar 26, 2020
- Pooled vehicle clients · 8 to 7Mar 21, 2019 to Mar 26, 2020
- Assets in custody · $369M to $311MMar 21, 2019 to Mar 26, 2020
- Private funds · 8 to 7Mar 21, 2019 to Mar 26, 2020
- Discretionary RAUM · $369M to $320MMar 21, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $369M to $320MMar 21, 2019 to Mar 26, 2020
- RAUM · $369M to $320MMar 21, 2019 to Mar 26, 2020
- Accounts · 9 to 8Jan 31, 2018 to Mar 21, 2019
- Pooled vehicle clients · 9 to 8Jan 31, 2018 to Mar 21, 2019
- Assets in custody · $366M to $369MJan 31, 2018 to Mar 21, 2019
- Private funds · 9 to 8Jan 31, 2018 to Mar 21, 2019
- Discretionary RAUM · $366M to $369MJan 31, 2018 to Mar 21, 2019
- Pooled vehicle RAUM · $366M to $369MJan 31, 2018 to Mar 21, 2019
- RAUM · $366M to $369MJan 31, 2018 to Mar 21, 2019
- Accounts · 8 to 9Mar 17, 2017 to Jan 31, 2018
- Advisory employees · 11 to 10Mar 17, 2017 to Jan 31, 2018
- Charity clients · unset to 0.0Mar 17, 2017 to Jan 31, 2018
- Corporate clients · unset to 0.0Mar 17, 2017 to Jan 31, 2018
- HNW clients · unset to 0.0Mar 17, 2017 to Jan 31, 2018
- Individual clients · unset to 0.0Mar 17, 2017 to Jan 31, 2018
- Pension plan clients · unset to 0.0Mar 17, 2017 to Jan 31, 2018
- Pooled vehicle clients · unset to 9.0Mar 17, 2017 to Jan 31, 2018
Signals
1 dated events
- B•••• S• B••••••• • A••••••••• I••• reported RAUM $365.6M, down 30% from $522.3M (2017-03-17 to 2018-01-31)Jan 31, 2018 · RAUM change · derived
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
Across the graphs
B•••• S• B••••••• • A••••••••• I••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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