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••••••• L•••••

Former SEC-registered adviserNew York, New YorkCRD 158265SEC 801-73823IAPD
Latest filing Mar 28, 2018
First filing on the tape Feb 14, 2012 · 9 filings
RAUM
$8.0B
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
55
12 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
4
$8.0B gross assets
History
9 filings and snapshots on the tape
RAUM$8.0B as of Mar 28, 2018
Mar 28, 2013$12B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2018
Mar 28, 20130 then
Employees (5.A)55 as of Mar 28, 2018
Mar 28, 201360 then
Private funds4 as of Mar 28, 2018
Mar 28, 20133 then
RAUM -36% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 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
$2.0BderivedRAUM 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
-36%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
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$8.0B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••• R•••• L••• M••••• F•••• L•Hedge Fund$294M35Mar 30, 2016
      6•• P••••••• F•••• L•••Hedge Fund$177M22Feb 14, 2012
      B••• R•••• L•••••• P•••••••••Hedge Fund$57.3M162Feb 14, 2012
      B••• R•••• O••••••• M••••• L•••••• P•••••••••Hedge Fund$33.1M40Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• R••••••• S•••• · Chief Operating Officercontrol
        since 07/1996 · owns less than 5%
      • C••••• M••••••• C•••• · Chief Compliance Officercontrol
        since 02/2012 · owns less than 5%
      • G••••••• J•••• A•••••• · Chief Executive Officercontrol
        since 07/1996 · owns 75% or more
      • O•••••••• T•••••••• J•••• · General Counselcontrol
        since 08/2009 · owns less than 5%
      • S••••• H••••• J••••••• · Director Of Finance And Taxcontrol
        since 01/2003 · owns less than 5%
      • S••••••• P••••••• · Chief Financial Officercontrol
        since 01/2010 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list B••• R•••• C••••••• L••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Columbus, OH1 employees
      • Tarrytown, NY1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 14 to 12
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 4.0
        Mar 30, 2017 to Mar 28, 2018
      • Employees · 68 to 55
        Mar 30, 2017 to Mar 28, 2018
      • Other offices · unset to 2.0
        Mar 30, 2017 to Mar 28, 2018
      • Discretionary RAUM · $12B to $8.0B
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 7979000000.0
        Mar 30, 2017 to Mar 28, 2018
      • RAUM · $12B to $8.0B
        Mar 30, 2017 to Mar 28, 2018
      • Advisory employees · 13 to 14
        May 31, 2016 to Mar 30, 2017
      • Employees · 65 to 68
        May 31, 2016 to Mar 30, 2017
      • Discretionary RAUM · $14B to $12B
        May 31, 2016 to Mar 30, 2017
      • RAUM · $14B to $12B
        May 31, 2016 to Mar 30, 2017
      • Related adviser · true to false
        May 31, 2016 to Mar 30, 2017
      • Accounts · 3 to 4
        Mar 30, 2015 to Mar 30, 2016
      • Advisory employees · 12 to 13
        Mar 30, 2015 to Mar 30, 2016
      • Private funds · 3 to 4
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $14B to $14B
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $14B to $14B
        Mar 30, 2015 to Mar 30, 2016
      • Advisory employees · 10 to 12
        Mar 31, 2014 to Mar 30, 2015
      • Employees · 62 to 65
        Mar 31, 2014 to Mar 30, 2015
      • Discretionary RAUM · $15B to $14B
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $15B to $14B
        Mar 31, 2014 to Mar 30, 2015
      • Advisory employees · 12 to 10
        Jul 2, 2013 to Mar 31, 2014
      • Employees · 60 to 62
        Jul 2, 2013 to Mar 31, 2014
      • Discretionary RAUM · $12B to $15B
        Jul 2, 2013 to Mar 31, 2014
      • RAUM · $12B to $15B
        Jul 2, 2013 to Mar 31, 2014
      • Advisory employees · unset to 12.0
        Feb 14, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Business name · B••• R•••• C••••••• L•••• to B••• R•••• C••••••• L•••••
        Feb 14, 2012 to Mar 28, 2013
      • Assets in custody · $11B to $0
        Feb 14, 2012 to Mar 28, 2013
      • Custody of client assets · true to false
        Feb 14, 2012 to Mar 28, 2013
      • Employees · unset to 60.0
        Feb 14, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Legal name · B••• R•••• C••••••• L•••• to B••• R•••• C••••••• L•••••
        Feb 14, 2012 to Mar 28, 2013
      • Discretionary RAUM · $11B to $12B
        Feb 14, 2012 to Mar 28, 2013
      • RAUM · $11B to $12B
        Feb 14, 2012 to Mar 28, 2013
      Signals
      1 dated events
      • B••• R•••• C••••••• L••••• reported RAUM $8.0B, down 36% from $12.4B (2017-03-30 to 2018-03-28)
        Mar 28, 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