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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
B••••••••• C••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 14, 2012 · 19 filings
SEC status approved since Mar 30, 2012
RAUM
$445M
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
12
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$445M as of Mar 30, 2026
Mar 28, 2013$173M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20130 then
Employees (5.A)12 as of Mar 30, 2026
Mar 28, 20138 then
Private funds2 as of Mar 30, 2026
Mar 28, 20131 then
RAUM -16% over the last fiscal year+4.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $89.1MderivedRAUM 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
- -16%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
- $399M, 2 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$445M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $399M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••••• M••••• F•••• L••• | Hedge Fund | $248M | 36 | Feb 14, 2012 |
| B••••••••• B••••••• F•••• L•••no longer reported | Hedge Fund | $66.7M | 5 | Mar 29, 2019 |
Owners and control persons
Schedule A and B, latest filing
- B••••• E•••••• D•••••• · Managing Member And Portfolio Managercontrolsince 07/2009 · owns 75% or more
- K••••••• M••••••• A•• · Chief Compliance Officer / Chief Financial Officer / Chief Operating Officercontrolsince 11/2009 · owns less than 5%
Related persons
Schedule D 7.A
- B••••••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 8 to 7May 23, 2025 to Mar 30, 2026
- Assets in custody · $358M to $399MMay 23, 2025 to Mar 30, 2026
- Employees · 13 to 12May 23, 2025 to Mar 30, 2026
- Discretionary RAUM · $528M to $445MMay 23, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $528M to $445MMay 23, 2025 to Mar 30, 2026
- RAUM · $528M to $445MMay 23, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 23, 2025
- Accounts · 4 to 5Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 4 to 5Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $248M to $358MMar 28, 2024 to Mar 28, 2025
- Private funds · 1 to 2Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $365M to $528MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $365M to $528MMar 28, 2024 to Mar 28, 2025
- RAUM · $365M to $528MMar 28, 2024 to Mar 28, 2025
- Assets in custody · $329M to $248MMar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $393M to $365MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $393M to $365MMar 30, 2023 to Mar 28, 2024
- RAUM · $393M to $365MMar 30, 2023 to Mar 28, 2024
- Assets in custody · $314M to $329MOct 25, 2022 to Mar 30, 2023
- Employees · 12 to 13Oct 25, 2022 to Mar 30, 2023
- Discretionary RAUM · $359M to $393MOct 25, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $359M to $393MOct 25, 2022 to Mar 30, 2023
- RAUM · $359M to $393MOct 25, 2022 to Mar 30, 2023
- Accounts · 5 to 4Mar 30, 2021 to Mar 31, 2022
- Pooled vehicle clients · 5 to 4Mar 30, 2021 to Mar 31, 2022
- Assets in custody · $503M to $314MMar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $570M to $359MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $570M to $359MMar 30, 2021 to Mar 31, 2022
- RAUM · $570M to $359MMar 30, 2021 to Mar 31, 2022
- Accounts · 8 to 5Mar 30, 2020 to Mar 30, 2021
- Pooled vehicle clients · 8 to 5Mar 30, 2020 to Mar 30, 2021
- Assets in custody · $555M to $503MMar 30, 2020 to Mar 30, 2021
- Employees · 13 to 12Mar 30, 2020 to Mar 30, 2021
- Private funds · 2 to 1Mar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $789M to $570MMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $789M to $570MMar 30, 2020 to Mar 30, 2021
- RAUM · $789M to $570MMar 30, 2020 to Mar 30, 2021
- Advisory employees · 9 to 8Mar 29, 2019 to Mar 30, 2020
- Assets in custody · $478M to $555MMar 29, 2019 to Mar 30, 2020
- Employees · 16 to 13Mar 29, 2019 to Mar 30, 2020
Signals
4 dated events
- B••••••••• C••••••• L•• reported RAUM $528.5M, up 45% from $365.3M (2024-03-28 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- B••••••••• C••••••• L•• reported RAUM $359.1M, down 37% from $570.5M (2021-03-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- B••••••••• C••••••• L•• reported RAUM $570.5M, down 28% from $789.2M (2020-03-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- B••••••••• C••••••• L•• reported RAUM $710.6M, up 50% from $473.6M (2018-03-29 to 2019-03-29)Mar 29, 2019 · 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.
How to reach
public business contact points only, each with its source
- Website
- B•••••••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-612-3130reportedpublic record, Form ADV, Mar 30, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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