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•••••• C•••••• C•••

Former SEC-registered adviserNew York, New YorkCRD 160081SEC 801-73436IAPD
Latest filing May 3, 2023
First filing on the tape Feb 13, 2012 · 19 filings
RAUM
$1.5B
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
23
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
10
$1.4B gross assets
History
19 filings and snapshots on the tape
RAUM$1.5B as of Mar 29, 2023
Mar 25, 2013$2.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Mar 25, 20130 then
Employees (5.A)23 as of Mar 29, 2023
Mar 25, 201321 then
Private funds10 as of Mar 29, 2023
Mar 25, 20137 then
RAUM -28% over the last fiscal year-12% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of May 3, 2023; 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
$110MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
6.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-28%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
$1.4B, 10 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)
  • 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$1.4B94%
  • Sovereign wealth funds$99.7M6.5%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
14reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.4B for 10 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
      15 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••• 7•• L•••no longer reportedHedge Fund$724M1Nov 24, 2014
      B•••••• P••••••• I• O•••••••• L•••Hedge Fund$423M14Feb 13, 2012
      B•••••• P••••••• V• L•••Hedge Fund$353M6Aug 26, 2020
      B•••••• P••••••• I•• L•••Hedge Fund$298M37Feb 13, 2012
      B•••••• C••••• P•••••••• L•••no longer reportedHedge Fund$254M2Feb 13, 2012
      B• I••••••••• F•••• L•••••no longer reportedHedge Fund$201M1Mar 25, 2013
      B•••••• P••••••• I••• L•••Hedge Fund$188M29Feb 13, 2012
      B•••••• I••••••••• P•••••••• L•••no longer reportedHedge Fund$139M17Feb 13, 2012
      B•••••• P••••••• I•• L•••Hedge Fund$114M44Feb 13, 2012
      D• I•••••••• F••• I•• L•••no longer reportedHedge Fund$39.4M6May 28, 2019
      D• I•••••••• F••• I•• L•••Hedge Fund$24.6M5Mar 30, 2020
      B•••••• P••••••• V•• L•••Hedge Fund$18.4M6Feb 16, 2021
      B•••••• P••••••• I• ••••••• L•••Hedge Fund$17.6M2Mar 31, 2014
      D• I•••••••• F••• I• L••Hedge Fund$2.8M18Mar 29, 2019
      D• I•••••••• F••• I••• L••Hedge Fund$1.3M5Feb 28, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • H•••• O•••• A••••• · Chief Compliance Officercontrol
        since 04/2023 · owns less than 5%
      • K•••••• M•••••••• A••••• · Principalcontrol
        since 11/1989 · owns 25% to 50%
      • S••••• R•••••• J••••• · Principalcontrol
        since 11/1989 · owns 25% to 50%
      • S•••••• L••••• J•• · Chief Financial Officer & Chief Operating Officercontrol
        since 01/2008 · owns less than 5%
      • K•••••• K••••• •••• · Trusteecontrol
        since 07/1997 · owns F of M••••••• A• K••••• 1••• G•••
      • S••••• K••••• R•••••• · Trusteecontrol
        since 07/1997 · owns F of R••••• J• S•••• 1••• G•••
      • K•••••• K••••• •••• · Trustee - M••••••• A• K••••• 1••• G•••
        since 07/1997 · owns 5% to 10%
      • S••••• K••••• R•••••• · Trustee - R••••• J• S•••• 1••• G•••
        since 07/1997 · owns 5% to 10%
      Entity owners
      • M••••••• A• K••••• 1••• G••• · Owner
        direct · owns 5% to 10%
      • R••••• J• S•••• 1••• G••• · Owner
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • B•••••• M••••••••• L•••••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Boca Raton, FL2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 14
        Mar 30, 2022 to Mar 29, 2023
      • Advisory employees · 12 to 11
        Mar 30, 2022 to Mar 29, 2023
      • Assets in custody · $2.1B to $1.4B
        Mar 30, 2022 to Mar 29, 2023
      • Employees · 25 to 23
        Mar 30, 2022 to Mar 29, 2023
      • Other offices · 0 to 1
        Mar 30, 2022 to Mar 29, 2023
      • Discretionary RAUM · $2.1B to $1.5B
        Mar 30, 2022 to Mar 29, 2023
      • Pooled vehicle RAUM · $2.1B to $1.4B
        Mar 30, 2022 to Mar 29, 2023
      • RAUM · $2.1B to $1.5B
        Mar 30, 2022 to Mar 29, 2023
      • Assets in custody · $2.1B to $2.1B
        Mar 31, 2021 to Mar 30, 2022
      • Discretionary RAUM · $2.1B to $2.1B
        Mar 31, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $2.1B to $2.1B
        Mar 31, 2021 to Mar 30, 2022
      • RAUM · $2.1B to $2.1B
        Mar 31, 2021 to Mar 30, 2022
      • Accounts · 9 to 10
        Feb 16, 2021 to Mar 31, 2021
      • Advisory employees · 11 to 12
        Feb 16, 2021 to Mar 31, 2021
      • Pooled vehicle clients · 9 to 10
        Feb 16, 2021 to Mar 31, 2021
      • Assets in custody · $2.3B to $2.1B
        Feb 16, 2021 to Mar 31, 2021
      • Employees · 23 to 25
        Feb 16, 2021 to Mar 31, 2021
      • Private funds · 11 to 10
        Feb 16, 2021 to Mar 31, 2021
      • Discretionary RAUM · $2.3B to $2.1B
        Feb 16, 2021 to Mar 31, 2021
      • Pooled vehicle RAUM · $2.3B to $2.1B
        Feb 16, 2021 to Mar 31, 2021
      • RAUM · $2.3B to $2.1B
        Feb 16, 2021 to Mar 31, 2021
      • Private funds · 10 to 11
        Aug 26, 2020 to Feb 16, 2021
      • Private funds · 9 to 10
        Mar 30, 2020 to Aug 26, 2020
      • Accounts · 7 to 9
        Feb 28, 2020 to Mar 30, 2020
      • Advisory employees · 12 to 11
        Feb 28, 2020 to Mar 30, 2020
      • Pooled vehicle clients · 7 to 9
        Feb 28, 2020 to Mar 30, 2020
      • Assets in custody · $3.3B to $2.3B
        Feb 28, 2020 to Mar 30, 2020
      • Employees · 24 to 23
        Feb 28, 2020 to Mar 30, 2020
      • Private funds · 10 to 9
        Feb 28, 2020 to Mar 30, 2020
      • Discretionary RAUM · $3.3B to $2.3B
        Feb 28, 2020 to Mar 30, 2020
      • Pooled vehicle RAUM · $3.3B to $2.3B
        Feb 28, 2020 to Mar 30, 2020
      • RAUM · $3.3B to $2.3B
        Feb 28, 2020 to Mar 30, 2020
      • Private funds · 9 to 10
        May 28, 2019 to Feb 28, 2020
      • Private funds · 8 to 9
        Mar 29, 2019 to May 28, 2019
      • Advisory employees · 13 to 12
        Jan 8, 2018 to Mar 29, 2019
      • Assets in custody · $4.4B to $3.3B
        Jan 8, 2018 to Mar 29, 2019
      • Employees · 25 to 24
        Jan 8, 2018 to Mar 29, 2019
      • Private funds · 7 to 8
        Jan 8, 2018 to Mar 29, 2019
      • Discretionary RAUM · $4.4B to $3.3B
        Jan 8, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $4.4B to $3.3B
        Jan 8, 2018 to Mar 29, 2019
      Signals
      7 dated events
      • Benjamin David Metzman (General Counsel/Chief Compliance Officer) no longer on Schedule A of B•••••• C•••••• C••• (listed 2023-03-29, absent 2023-05-03)
        May 3, 2023 · Control person left · inference
      • Andrew Omoy Hall (Chief Compliance Officer) appeared on Schedule A of B•••••• C•••••• C•••
        May 3, 2023 · Control person joined · fact
      • B•••••• C•••••• C••• reported RAUM $1.5B, down 28% from $2.1B (2022-03-30 to 2023-03-29)
        Mar 29, 2023 · RAUM change · derived
      • (Nmn) Richard Grossman (General Counsel/Chief Compliance Officer) no longer on Schedule A of B•••••• C•••••• C••• (listed 2021-02-16, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • Benjamin David Metzman (General Counsel/Chief Compliance Officer) appeared on Schedule A of B•••••• C•••••• C•••
        Mar 31, 2021 · Control person joined · fact
      • B•••••• C•••••• C••• reported RAUM $2.3B, down 32% from $3.3B (2020-02-28 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • B•••••• C•••••• C••• reported RAUM $3.3B, down 25% from $4.4B (2018-01-08 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.
      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