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••••• C•••••• M••••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 160775SEC 801-77908IAPD
Latest filing Sep 15, 2017
First filing on the tape Apr 1, 2013 · 11 filings
RAUM
$53.5M
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
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$101M gross assets
History
11 filings and snapshots on the tape
RAUM$53.5M as of Mar 27, 2017
Mar 19, 2014$315M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 27, 2017
Mar 19, 20142 then
Employees (5.A)3 as of Mar 27, 2017
Mar 19, 20144 then
Private funds4 as of Mar 27, 2017
Mar 19, 20143 then
RAUM -62% over the last fiscal year-45% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 15, 2017; every figure names its basis
RAUM per advisor
$53.5MderivedRAUM 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
$13.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-62%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, 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
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
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B•••• S••••• C•••••• L•••no longer reportedHedge Fund$128M7Apr 27, 2012
      B•••• S••••• C••••••• L•••Hedge Fund$47.0M15Apr 27, 2012
      B•••• S••••• C•••••• O•••••••• L•••Hedge Fund$37.4M10Mar 19, 2014
      B•••• S••••• C•••••• U•• L•••Hedge Fund$9.7M6Mar 19, 2014
      B••••••••• S••• L•••Hedge Fund$6.4M2Mar 27, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• J•••••• M•••••• · Chief Financial Officer & Chief Compliance Officercontrol
        since 09/2011 · owns less than 5%
      • P•••••••• V•••• · Executive Committee Membercontrol
        since 09/2009 · owns 75% or more
      • M••••••••• S••••• · Member
        since 01/2013 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • B•••• S••••• C•••••• G• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Private funds · 3 to 4
        Oct 28, 2016 to Mar 27, 2017
      • Discretionary RAUM · $142M to $53.5M
        Oct 28, 2016 to Mar 27, 2017
      • RAUM · $142M to $53.5M
        Oct 28, 2016 to Mar 27, 2017
      • HQ city · NEW YORK to LOS ANGELES
        Oct 26, 2016 to Oct 28, 2016
      • HQ state · NY to CA
        Oct 26, 2016 to Oct 28, 2016
      • HQ city · LOS ANGELES to NEW YORK
        Mar 29, 2016 to Oct 26, 2016
      • HQ state · CA to NY
        Mar 29, 2016 to Oct 26, 2016
      • Advisory employees · 2 to 1
        Mar 12, 2015 to Mar 29, 2016
      • Employees · 4 to 3
        Mar 12, 2015 to Mar 29, 2016
      • State-registered IARs · 2 to 1
        Mar 12, 2015 to Mar 29, 2016
      • Discretionary RAUM · $224M to $142M
        Mar 12, 2015 to Mar 29, 2016
      • RAUM · $224M to $142M
        Mar 12, 2015 to Mar 29, 2016
      • Discretionary RAUM · $315M to $224M
        Mar 19, 2014 to Mar 12, 2015
      • RAUM · $315M to $224M
        Mar 19, 2014 to Mar 12, 2015
      • Accounts · 2 to 4
        Apr 1, 2013 to Mar 19, 2014
      • Advisory activities · 1 to 2
        Apr 1, 2013 to Mar 19, 2014
      • Assets in custody · 148160000.0 to unset
        Apr 1, 2013 to Mar 19, 2014
      • Custody of client assets · true to false
        Apr 1, 2013 to Mar 19, 2014
      • Employees · 3 to 4
        Apr 1, 2013 to Mar 19, 2014
      • Private funds · 4 to 3
        Apr 1, 2013 to Mar 19, 2014
      • Discretionary RAUM · $148M to $315M
        Apr 1, 2013 to Mar 19, 2014
      • RAUM · $148M to $315M
        Apr 1, 2013 to Mar 19, 2014
      • Related bank · false to true
        Apr 1, 2013 to Mar 19, 2014
      Signals
      1 dated events
      • B•••• S••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 1, 2013 · First SEC registration · fact
      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