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••••••• M•••• • P•••••••• I•••
Latest filing Apr 26, 2018
First filing on the tape Feb 14, 2012 · 11 filings
RAUM
$258M
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
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$258M gross assets
History
11 filings and snapshots on the tape
RAUM$258M as of Mar 29, 2018
Mar 25, 2013$729M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 25, 20130 then
Employees (5.A)7 as of Mar 29, 2018
Mar 25, 201312 then
Private funds5 as of Mar 29, 2018
Mar 25, 201310 then
RAUM -18% over the last fiscal year-27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 26, 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
- $51.6MderivedRAUM 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
- -18%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
- $258M, 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$258M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $258M 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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• M•••• • P••••••• F••• I•• A••• A••• L•••no longer reported | Private Equity Fund | $51.2M | 40 | Feb 14, 2012 |
| B••••••• M•••• • P••••••• F••• I•• A••• A•• U•• L•••no longer reported | Private Equity Fund | $41.4M | 17 | Feb 14, 2012 |
| B••••••• M•••• • P••••••• F••• I•• L••• | Private Equity Fund | $29.4M | 46 | Feb 14, 2012 |
| B••••••• M•••• • P••••••• F••• I••• L••• | Private Equity Fund | $28.5M | 62 | Feb 14, 2012 |
| B••••••• M•••• • P••••••• C•••••••• F••• I••• L••• | Private Equity Fund | $4.8M | 31 | Feb 14, 2012 |
| B••••••• M•••• • P••••••• C•••••••• F••• I•• L••• | Private Equity Fund | $1.4M | 19 | Feb 14, 2012 |
| B••••••• M•••• • P••••••• A•••••••• C•••••••• F•••• L••• | Private Equity Fund | $1,797 | 15 | Feb 14, 2012 |
| B••••••• M•••• • P••••••• F••• I•• A•• L•no longer reported | Private Equity Fund | $0 | 57 | Feb 14, 2012 |
| B••••••• M•••• • P••••••• A•••••••• C•••••••• F••• A•• L•no longer reported | Private Equity Fund | $0 | 5 | Feb 14, 2012 |
| B••••••• M•••• • P••••••• C•••••••• F••• I•• A•• L•no longer reported | Private Equity Fund | $0 | 29 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• B•••••• J•• · Vice President And Chief Financial Officercontrolsince 08/2000 · owns less than 5%
- B•••••••• P••••• C•••• · Managing Partner Of B••••••• M•••• • P•••••••• I•••controlsince 01/1998 · owns 50% to 75%
- K••••• P••••• W•••••• · Partner, General Counsel And Chief Compliance Officercontrolsince 01/2000 · owns less than 5%
- M••••• M••••••• E••••• · Managing Partner Of B••••••• M•••• • P•••••••• I•••controlsince 01/1998 · owns 50% to 75%
Related persons
Schedule D 7.A
- B••••••• M•••• • P••••••• M••••••••• I•• L•••pooled vehicle sponsorn
- B••••••• M•••• • P••••••• M••••••••• I••• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 8 to 6Mar 29, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 5.0Mar 29, 2017 to Mar 29, 2018
- Assets in custody · $312M to $258MMar 29, 2017 to Mar 29, 2018
- Employees · 9 to 7Mar 29, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 29, 2017 to Mar 29, 2018
- Discretionary RAUM · $313M to $258MMar 29, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 258155983.0Mar 29, 2017 to Mar 29, 2018
- RAUM · $313M to $258MMar 29, 2017 to Mar 29, 2018
- Assets in custody · $503M to $312MMar 29, 2016 to Mar 29, 2017
- Discretionary RAUM · $503M to $313MMar 29, 2016 to Mar 29, 2017
- RAUM · $503M to $313MMar 29, 2016 to Mar 29, 2017
- Advisory employees · 9 to 8May 27, 2015 to Mar 29, 2016
- Assets in custody · $676M to $503MMay 27, 2015 to Mar 29, 2016
- Employees · 10 to 9May 27, 2015 to Mar 29, 2016
- Private funds · 10 to 5May 27, 2015 to Mar 29, 2016
- Discretionary RAUM · $676M to $503MMay 27, 2015 to Mar 29, 2016
- RAUM · $676M to $503MMay 27, 2015 to Mar 29, 2016
- Assets in custody · $708M to $676MMay 2, 2014 to Mar 31, 2015
- Discretionary RAUM · $707M to $676MMay 2, 2014 to Mar 31, 2015
- RAUM · $707M to $676MMay 2, 2014 to Mar 31, 2015
- Advisory employees · 10 to 9Mar 25, 2013 to Mar 26, 2014
- Assets in custody · $789M to $708MMar 25, 2013 to Mar 26, 2014
- Employees · 12 to 10Mar 25, 2013 to Mar 26, 2014
- Discretionary RAUM · $729M to $707MMar 25, 2013 to Mar 26, 2014
- RAUM · $729M to $707MMar 25, 2013 to Mar 26, 2014
- Advisory employees · 12 to 10Nov 15, 2012 to Mar 25, 2013
- Employees · 14 to 12Nov 15, 2012 to Mar 25, 2013
- Discretionary RAUM · $789M to $729MNov 15, 2012 to Mar 25, 2013
- RAUM · $789M to $729MNov 15, 2012 to Mar 25, 2013
- Advisory employees · unset to 12.0Feb 14, 2012 to Nov 15, 2012
- BD registered reps · unset to 0.0Feb 14, 2012 to Nov 15, 2012
- Employees · unset to 14.0Feb 14, 2012 to Nov 15, 2012
- State-registered IARs · unset to 0.0Feb 14, 2012 to Nov 15, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- B••••••• M•••• • P•••••••• I••• · 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