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••••••••• L••
Legal name B•• S••••••••• L•••••
Latest filing Sep 27, 2012
First filing on the tape Nov 7, 2011 · 6 filings
RAUM
$21.4M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$21.4M gross assets
History
6 filings and snapshots on the tape
RAUM$21.4M as of Sep 27, 2012
Nov 7, 2011$25.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds1 as of Sep 27, 2012
Mar 30, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 27, 2012; 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
- $21.4MderivedRAUM 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
- unknownderivedbetween 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
- $21.4M, 1 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $21.4M for 1 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•• S••••••••• F•••• L•••• S••••• A• | Hedge Fund | $108M | 41 | Mar 30, 2016 |
| B•• S••••••••• F•••• L••• | Hedge Fund | $25.5M | 16 | Mar 30, 2012 |
| B•• S••••••••• F•••• L•••• S••••• E• | Hedge Fund | $10.4M | 46 | Mar 30, 2016 |
| B•• S••••••••• F•••• L•••• S••••• G• | Hedge Fund | $3.7M | 20 | Mar 30, 2016 |
| B•• S••••••••• F•••• L•••• S••••• I• | Hedge Fund | $1.0M | 11 | Mar 31, 2019 |
| B•• S••••••••• F•••• L•••• S••••• H• | Hedge Fund | $826,246 | 10 | Mar 31, 2018 |
Owners and control persons
Schedule A and B, latest filing
- W••••••• J••••• B••••• · Cco, Manager And Membercontrolsince 03/2011 · owns 10% to 25%
- W••••••• R•••••• L•••••• · Managing Director And Membercontrolsince 03/2011 · owns 50% to 75%
- C••••• E••••••••• E••• · Membersince 03/2011 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Legal name · B•• S••••••••• L•• to B•• S••••••••• L•••••Sep 20, 2012 to Sep 27, 2012
- Assets in custody · $21.3M to $21.4MMar 30, 2012 to Jun 28, 2012
- Discretionary RAUM · $21.3M to $21.4MMar 30, 2012 to Jun 28, 2012
- RAUM · $21.3M to $21.4MMar 30, 2012 to Jun 28, 2012
- Accounts · 11 to 1Nov 7, 2011 to Mar 30, 2012
- Assets in custody · unset to 21250000.0Nov 7, 2011 to Mar 30, 2012
- Custody of client assets · false to trueNov 7, 2011 to Mar 30, 2012
- Insurance-licensed employees · unset to 0.0Nov 7, 2011 to Mar 30, 2012
- Private funds · unset to 1Nov 7, 2011 to Mar 30, 2012
- Discretionary RAUM · $0 to $21.3MNov 7, 2011 to Mar 30, 2012
- Non-discretionary RAUM · $25.5M to $0Nov 7, 2011 to Mar 30, 2012
- RAUM · $25.5M to $21.3MNov 7, 2011 to Mar 30, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- B•• S••••••••• 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