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.

Former SEC-registered adviser

B•••••• A••••••• U• L••••••

Former SEC-registered adviserLondon, CRD 159701SEC 801-72989IAPD
Latest filing Mar 26, 2013
First filing on the tape Dec 19, 2011 · 6 filings
RAUM
$227M
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
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$235M gross assets
History
6 filings and snapshots on the tape
RAUM$227M as of Jan 29, 2013
Mar 26, 2012$235M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 4
Private funds2 as of Jan 29, 2013
Mar 26, 20122 then
RAUM -3.6% over the last fiscal year
Practice profile
derived from the filing of Mar 26, 2013; 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
$113MderivedRAUM 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
-3.6%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
$227M, 2 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$227M for 2 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
      C•••• M••••••• L•Other Private Fund$28.1M3Dec 19, 2011
      K••••• M••••••• L•Other Private Fund$27.7M3Dec 19, 2011
      S••••• M••••••• L•••••• P•••••••••Other Private Fund$184,7561Jan 23, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • N••••• J••••• B••••• · Directorcontrol
        since 10/2010 · owns less than 5%
      • P••••••• I•••••• M••• · Directorcontrol
        since 10/2010 · owns less than 5%
      • P••••••• S••••• A••••• · Member Of E•••• R••••••••• S•••••• P••• C••• 1••control
        since 12/2010 · owns 75% or more of E•••• R••••••••• S•••••• P••• C••• 1••
      • P••••• J•••••• D•••• · Shareholder Of E••••••• I••••••••• S•••control
        since 12/2010 · owns 75% or more of E••••••• I••••••••• S•••
      Entity owners
      • B•••••• L•••••• · Sole Shareholder
        direct · owns 75% or more
      • A••••• L•••••• · Shareholder Of B••••••• G•••• L••••••
        indirect · owns 75% or more of B••••••• G•••• L••••••
      • E•••• I••••••••• S••• · Shareholder Of A••••• L••••••
        indirect · owns 25% to 50% of A••••• L••••••
      • E•••• R••••••••• S•••••• P••• C••• 1•• · Shareholder Of E•••• I••••••••• S•••
        indirect · owns 75% or more of E•••• I••••••••• S•••
      • E••••••• I••••••••• S••• · Shareholder Of A••••• L••••••
        indirect · owns 25% to 50% of A••••• L••••••
      • B••••••• G•••• L•••••• · Shareholder Of B•••••• L••••••
        indirect · owns 75% or more of B•••••• L••••••
      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
      • Business name · B••••••• A••••••• U• L•••••• to B•••••• A••••••• U• L••••••
        Jan 29, 2013 to Mar 26, 2013
      • Advisory employees · unset to 2.0
        Mar 26, 2012 to Jan 29, 2013
      • BD registered reps · unset to 0.0
        Mar 26, 2012 to Jan 29, 2013
      • Assets in custody · $235M to $227M
        Mar 26, 2012 to Jan 29, 2013
      • Employees · unset to 4.0
        Mar 26, 2012 to Jan 29, 2013
      • State-registered IARs · unset to 0.0
        Mar 26, 2012 to Jan 29, 2013
      • Legal name · B••••••• A••••••• U• L•••••• to B•••••• A••••••• U• L••••••
        Mar 26, 2012 to Jan 29, 2013
      • Discretionary RAUM · $235M to $227M
        Mar 26, 2012 to Jan 29, 2013
      • RAUM · $235M to $227M
        Mar 26, 2012 to Jan 29, 2013
      Signals
      No event on the tape.
      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