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•• P•••••• A•••• M••••••••• S•••••••• L••••••

Former SEC-registered adviserS••••••••, CRD 161262SEC 801-74477IAPD
Latest filing Mar 27, 2018
First filing on the tape Feb 29, 2012 · 21 filings
RAUM
$292M
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
20
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$292M as of Mar 27, 2018
Apr 1, 2013$2.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2018
Apr 1, 20130 then
Employees (5.A)20 as of Mar 27, 2018
Apr 1, 201322 then
Private funds: no history
RAUM -80% over the last fiscal year-40% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
$146MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%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
-80%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Sovereign wealth funds$292M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• C•••••••• · Chief Executive Officer, Directorcontrol
        since 09/2016 · owns less than 5%
      • C••••••• S••••••••• N•••••• R••••• · Directorcontrol
        since 12/2017 · owns less than 5%
      • F••• W•••••• S••• W•• · Head Of Compliance - S•••••••• Regulatory Matterscontrol
        since 05/2010 · owns less than 5%
      • K•••••••• S•••••• M•••••• · Chief Operating Officercontrol
        since 09/2010 · owns less than 5%
      • M••••••• R••••• S•• · Chief Compliance Officer - US Regulatory Matterscontrol
        since 01/2012 · owns less than 5%
      • M•••••• J••••••• · Chief Financial Officercontrol
        since 09/2011 · owns less than 5%
      • P••••• B•••••• J••••• M••••• · Directorcontrol
        since 08/2017 · owns less than 5%
      Entity owners
      • B•• P•••••• A•••• M••••••••• H•••••• S• · Direct Owner
        direct · owns 75% or more
      • B•• P•••••• F••••• S••• · Shareholder
        indirect · owns 25% to 50% of B•• P•••••• A•••• M••••••••• H•••••• S•
      • B•• P•••••• S••• · Shareholder
        indirect · owns 75% or more of B•• P•••••• A•••• M••••••••• H•••••• S• · public reporting company
      • B•• P•••••• S••• · Shareholder
        indirect · owns 75% or more of B•• P•••••• F••••• S••• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list B•• P•••••• A•••• M••••••••• S•••••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 2
        Aug 16, 2017 to Mar 27, 2018
      • Advisory employees · 5 to 0
        Aug 16, 2017 to Mar 27, 2018
      • Advisory activities · 2 to 1
        Aug 16, 2017 to Mar 27, 2018
      • Employees · 28 to 20
        Aug 16, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Aug 16, 2017 to Mar 27, 2018
      • Discretionary RAUM · $1.5B to $292M
        Aug 16, 2017 to Mar 27, 2018
      • RAUM · $1.5B to $292M
        Aug 16, 2017 to Mar 27, 2018
      • Business name · B•• P•••••• I••••••••• P••••••• S•••••••• L•••••• to B•• P•••••• A•••• M••••••••• S•••••••• L••••••
        Jun 1, 2017 to Jul 27, 2017
      • Legal name · B•• P•••••• I••••••••• P••••••• S•••••••• L•••••• to B•• P•••••• A•••• M••••••••• S•••••••• L••••••
        Jun 1, 2017 to Jul 27, 2017
      • Accounts · 10 to 13
        Sep 9, 2016 to Mar 29, 2017
      • Advisory employees · 4 to 5
        Sep 9, 2016 to Mar 29, 2017
      • Employees · 26 to 28
        Sep 9, 2016 to Mar 29, 2017
      • Discretionary RAUM · $957M to $1.5B
        Sep 9, 2016 to Mar 29, 2017
      • RAUM · $957M to $1.5B
        Sep 9, 2016 to Mar 29, 2017
      • Accounts · 9 to 10
        May 6, 2015 to Mar 28, 2016
      • Advisory employees · 3 to 4
        May 6, 2015 to Mar 28, 2016
      • Employees · 25 to 26
        May 6, 2015 to Mar 28, 2016
      • Discretionary RAUM · $1.4B to $957M
        May 6, 2015 to Mar 28, 2016
      • RAUM · $1.4B to $957M
        May 6, 2015 to Mar 28, 2016
      • Accounts · 8 to 9
        Jul 16, 2014 to Mar 26, 2015
      • Employees · 20 to 25
        Jul 16, 2014 to Mar 26, 2015
      • Discretionary RAUM · $1.5B to $1.4B
        Jul 16, 2014 to Mar 26, 2015
      • RAUM · $1.5B to $1.4B
        Jul 16, 2014 to Mar 26, 2015
      • Accounts · 13 to 8
        Dec 11, 2013 to Mar 27, 2014
      • Advisory employees · 4 to 3
        Dec 11, 2013 to Mar 27, 2014
      • Employees · 22 to 20
        Dec 11, 2013 to Mar 27, 2014
      • Discretionary RAUM · $2.5B to $1.5B
        Dec 11, 2013 to Mar 27, 2014
      • Non-discretionary RAUM · $17.3M to $0
        Dec 11, 2013 to Mar 27, 2014
      • RAUM · $2.5B to $1.5B
        Dec 11, 2013 to Mar 27, 2014
      • Accounts · 14 to 13
        Nov 15, 2012 to Apr 1, 2013
      • Advisory employees · 6 to 4
        Nov 15, 2012 to Apr 1, 2013
      • Employees · 24 to 22
        Nov 15, 2012 to Apr 1, 2013
      • Discretionary RAUM · $1.5B to $2.5B
        Nov 15, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $321M to $17.3M
        Nov 15, 2012 to Apr 1, 2013
      • RAUM · $1.9B to $2.5B
        Nov 15, 2012 to Apr 1, 2013
      • Advisory employees · unset to 6.0
        Aug 27, 2012 to Nov 15, 2012
      • BD registered reps · unset to 0.0
        Aug 27, 2012 to Nov 15, 2012
      • Employees · unset to 24.0
        Aug 27, 2012 to Nov 15, 2012
      • State-registered IARs · unset to 0.0
        Aug 27, 2012 to Nov 15, 2012
      • Succession · true to false
        Feb 29, 2012 to Apr 18, 2012
      Signals
      2 dated events
      • B•• P•••••• A•••• M••••••••• S•••••••• L•••••• reported RAUM $292.3M, down 80% from $1.5B (2017-08-16 to 2018-03-27)
        Mar 27, 2018 · RAUM change · derived
      • B•• P•••••• I••••••••• P••••••• S•••••••• L•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Feb 29, 2012 · Succession (Item 4) · 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