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•••• R•• C••••••

Former SEC-registered adviserNew York, New YorkCRD 157167SEC 801-72954IAPD
Legal name B•••• R•• C•••••• A•••••••• L•
Latest filing Aug 6, 2021
First filing on the tape Dec 8, 2011 · 30 filings
RAUM
$269M
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
2
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
3
$269M gross assets
History
30 filings and snapshots on the tape
RAUM$269M as of Mar 29, 2021
Mar 29, 2012$247M then
HNW client RAUM$0 as of Mar 29, 2021
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 29, 2021
Mar 28, 20130 then
Employees (5.A)2 as of Mar 29, 2021
Mar 28, 20133 then
Private funds3 as of Mar 29, 2021
Mar 29, 20124 then
RAUM -27% over the last fiscal year-8.0% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Aug 6, 2021; 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
$89.6MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-27%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, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$269M, 3 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$269M100%
Individual clients
0reported
HNW clients
n/areported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$269M for 3 clientsreported
Compensation
% of AUM, fixed, 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
      12 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B•••• R•• C•••••• P•••••••• L•Hedge Fund$186M9Dec 8, 2011
      W••••• B••• L•Hedge Fund$46.3M5Dec 8, 2011
      E••• B••• L•no longer reportedHedge Fund$36.6M8Mar 31, 2014
      T•••• B••• L•Hedge Fund$36.4M3Mar 28, 2013
      P••• B••• L•no longer reportedHedge Fund$32.2M4Mar 31, 2014
      O•••••• I• B••• L•no longer reportedOther Private Fund$17.9M18Dec 8, 2011
      E•••••• B••• L•no longer reportedHedge Fund$10.8M2Mar 31, 2014
      P•••••• B••• L•no longer reportedHedge Fund$9.9M3Mar 31, 2014
      O•••••• I• B••• L•no longer reportedOther Private Fund$7.7M5Dec 8, 2011
      C•••••• B••• L•no longer reportedHedge Fund$6.1M5Mar 28, 2013
      P••• B••• L•no longer reportedHedge Fund$3.0M5Mar 31, 2014
      W•••••• B••• L•no longer reportedHedge Fund$2.5M5Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• C•••• · Chief Compliance Officercontrol
        since 09/2011 · owns less than 5%
      • B•••••••• D•••••• G••••• · Managercontrol
        since 05/2006 · owns 50% to 75%
      • S••••• G••••••• H••••• · Managercontrol
        since 05/2006 · owns 50% to 75%
      • B•••••••• D•••••• G••••• · Managercontrol
        since 12/2013 · owns 50% to 75% of B•• A••••••• G•• L••
      • S••••• G••••••• H••••• · Managercontrol
        since 12/2013 · owns 50% to 75% of B•• A••••••• G•• L••
      Entity owners
      • B•• A••••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • B•••• R•• C•••••• G•• L••
        investment adviserpooled vehicle sponsory
      • T•••• B•• G•• L••
        investment adviserpooled vehicle sponsory
      • W••••• B•• G•• L••
        investment adviserpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Assets in custody · $367M to $269M
        Nov 3, 2020 to Mar 29, 2021
      • Discretionary RAUM · $367M to $269M
        Nov 3, 2020 to Mar 29, 2021
      • Pooled vehicle RAUM · $367M to $269M
        Nov 3, 2020 to Mar 29, 2021
      • RAUM · $367M to $269M
        Nov 3, 2020 to Mar 29, 2021
      • Other offices · 1 to 2
        Jun 30, 2020 to Aug 20, 2020
      • Assets in custody · $366M to $367M
        Mar 30, 2020 to Apr 29, 2020
      • Discretionary RAUM · $366M to $367M
        Mar 30, 2020 to Apr 29, 2020
      • Pooled vehicle RAUM · $366M to $367M
        Mar 30, 2020 to Apr 29, 2020
      • RAUM · $366M to $367M
        Mar 30, 2020 to Apr 29, 2020
      • Advisory employees · 2 to 1
        May 6, 2019 to Mar 30, 2020
      • Assets in custody · $326M to $366M
        May 6, 2019 to Mar 30, 2020
      • Employees · 3 to 2
        May 6, 2019 to Mar 30, 2020
      • Discretionary RAUM · $326M to $366M
        May 6, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $326M to $366M
        May 6, 2019 to Mar 30, 2020
      • RAUM · $326M to $366M
        May 6, 2019 to Mar 30, 2020
      • Assets in custody · $326M to $326M
        Apr 18, 2019 to May 6, 2019
      • Discretionary RAUM · $326M to $326M
        Apr 18, 2019 to May 6, 2019
      • Pooled vehicle RAUM · $326M to $326M
        Apr 18, 2019 to May 6, 2019
      • RAUM · $326M to $326M
        Apr 18, 2019 to May 6, 2019
      • Accounts · 5 to 3
        May 1, 2018 to Mar 29, 2019
      • Advisory employees · 3 to 2
        May 1, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 5 to 3
        May 1, 2018 to Mar 29, 2019
      • Assets in custody · $346M to $326M
        May 1, 2018 to Mar 29, 2019
      • Employees · 4 to 3
        May 1, 2018 to Mar 29, 2019
      • Private funds · 5 to 3
        May 1, 2018 to Mar 29, 2019
      • Discretionary RAUM · $346M to $326M
        May 1, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $346M to $326M
        May 1, 2018 to Mar 29, 2019
      • RAUM · $346M to $326M
        May 1, 2018 to Mar 29, 2019
      • Assets in custody · $346M to $346M
        Mar 28, 2018 to Apr 30, 2018
      • Discretionary RAUM · $346M to $346M
        Mar 28, 2018 to Apr 30, 2018
      • Pooled vehicle RAUM · $346M to $346M
        Mar 28, 2018 to Apr 30, 2018
      • RAUM · $346M to $346M
        Mar 28, 2018 to Apr 30, 2018
      • Accounts · 9 to 5
        Aug 7, 2017 to Mar 28, 2018
      • Advisory employees · 4 to 3
        Aug 7, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        Aug 7, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        Aug 7, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        Aug 7, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 5.0
        Aug 7, 2017 to Mar 28, 2018
      • Assets in custody · $366M to $346M
        Aug 7, 2017 to Mar 28, 2018
      • Employees · 5 to 4
        Aug 7, 2017 to Mar 28, 2018
      Signals
      1 dated events
      • B•••• R•• C•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jan 2, 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