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Former SEC-registered adviser

B•••••• F••••••

Former SEC-registered adviserWhite Plains, New YorkCRD 157293SEC 801-73491IAPD
Legal name B•••••• F•••••• C•••••• M••••••••• L•••••
Latest filing Mar 31, 2018
First filing on the tape Feb 13, 2012 · 10 filings
RAUM
$306M
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$306M gross assets
History
10 filings and snapshots on the tape
RAUM$306M as of Mar 31, 2018
Mar 28, 2013$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2018
Mar 28, 20130 then
Employees (5.A)6 as of Mar 31, 2018
Mar 28, 20135 then
Private funds3 as of Mar 31, 2018
Mar 28, 20133 then
RAUM -32% over the last fiscal year-43% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$102MderivedRAUM 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
-32%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
$306M, 3 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
  • 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)
  • 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$306M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$306M for 3 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B•••••• F•••••• I•• L•••Private Equity Fund$70.0M3Feb 13, 2012
      B•••••• F•••••• I• C••••••••• F•••• L•••Private Equity Fund$70.0M3Feb 13, 2012
      B•••••• F•••••• I• L•••Private Equity Fund$1.0M2Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • J••••• C••••••• S•••••• · Managing Membercontrol
        since 10/2006 · owns 75% or more
      • K•••••• L••••• A•••• · Managing Director And Chief Financial Officercontrol
        since 11/2006 · owns less than 5%
      • S••••• J•••••••• D•••• · Managing Director, General Counsel And Chief Compliance Officercontrol
        since 04/2007 · owns less than 5%
      Related persons
      Schedule D 7.A
      • B•••••• F•••••• I• G•• L•••
        investment adviserpooled vehicle sponsory
      • B•••••• F•••••• I• G•• L•••
        investment adviserpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 31, 2018
      • Assets in custody · unset to 305848000.0
        Mar 31, 2017 to Mar 31, 2018
      • Custody of client assets · false to true
        Mar 31, 2017 to Mar 31, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 31, 2018
      • Discretionary RAUM · $452M to $306M
        Mar 31, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 305848000.0
        Mar 31, 2017 to Mar 31, 2018
      • RAUM · $452M to $306M
        Mar 31, 2017 to Mar 31, 2018
      • Discretionary RAUM · $810M to $452M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $810M to $452M
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $1.7B to $810M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $1.7B to $810M
        Mar 31, 2015 to Mar 30, 2016
      • Related adviser · false to true
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 5 to 6
        Mar 28, 2014 to Mar 31, 2015
      • Employees · 5 to 6
        Mar 28, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.7B to $1.7B
        Mar 28, 2014 to Mar 31, 2015
      • RAUM · $1.7B to $1.7B
        Mar 28, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.4B to $1.7B
        Mar 28, 2013 to Mar 28, 2014
      • RAUM · $1.4B to $1.7B
        Mar 28, 2013 to Mar 28, 2014
      • Advisory employees · unset to 5.0
        Apr 18, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Apr 18, 2012 to Mar 28, 2013
      • Employees · unset to 5.0
        Apr 18, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Apr 18, 2012 to Mar 28, 2013
      • Discretionary RAUM · $1.3B to $1.4B
        Apr 18, 2012 to Mar 28, 2013
      • RAUM · $1.3B to $1.4B
        Apr 18, 2012 to Mar 28, 2013
      • Discretionary RAUM · $1.3B to $1.3B
        Feb 13, 2012 to Feb 14, 2012
      • RAUM · $1.3B to $1.3B
        Feb 13, 2012 to Feb 14, 2012
      Signals
      1 dated events
      • B•••••• F•••••• reported RAUM $305.8M, down 32% from $452.1M (2017-03-31 to 2018-03-31)
        Mar 31, 2018 · RAUM change · derived
      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