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•••••• C•••••• M••••••••• L••
Latest filing Mar 29, 2024
First filing on the tape May 28, 2014 · 13 filings
SEC status approved since Jun 4, 2014
RAUM
$124M
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
0
beyond the principal office
Private funds
2
$124M gross assets
History
13 filings and snapshots on the tape
RAUM$124M as of Mar 29, 2024
Mar 27, 2015$300M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 27, 20150 then
Employees (5.A)3 as of Mar 29, 2024
Mar 27, 201510 then
Private funds2 as of Mar 29, 2024
Mar 27, 20151 then
RAUM -53% over the last fiscal year-35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2024; 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
- $12.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -53%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
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$124M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- 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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••••• A••• M••••• F•••• L•• | Hedge Fund | $66.4M | 31 | Mar 27, 2017 |
| B•••••• M••••• F•••• L•• | Hedge Fund | $57.4M | 43 | Mar 29, 2012 |
| B•••••• O••••••• F•••• L•••no longer reported | Hedge Fund | $56.0M | 14 | Mar 29, 2012 |
| B•••••• O••••••• F••• ••••••••• L•••no longer reported | Hedge Fund | $43.0M | 6 | Mar 29, 2012 |
| B•••••• P•••••••• L•no longer reported | Hedge Fund | $15.0M | 22 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• E•••• A••• · Chief Operating Officer/Chief Financial Officer/Chief Compliance Officercontrolsince 09/2011 · owns less than 5%
- R••••••••• D•••• · Managing Membercontrolsince 07/2011 · owns 75% or more
Related persons
Schedule D 7.A
- B•••••• C•••••• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 11 to 10Oct 9, 2023 to Mar 29, 2024
- Advisory employees · 3 to 1Oct 9, 2023 to Mar 29, 2024
- Employees · 6 to 3Oct 9, 2023 to Mar 29, 2024
- Discretionary RAUM · $261M to $124MOct 9, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $261M to $124MOct 9, 2023 to Mar 29, 2024
- RAUM · $261M to $124MOct 9, 2023 to Mar 29, 2024
- Discretionary RAUM · $416M to $261MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $416M to $261MMar 30, 2022 to Mar 30, 2023
- RAUM · $416M to $261MMar 30, 2022 to Mar 30, 2023
- Advisory employees · 4 to 3Mar 30, 2021 to Mar 30, 2022
- Employees · 7 to 6Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $459M to $416MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $459M to $416MMar 30, 2021 to Mar 30, 2022
- RAUM · $459M to $416MMar 30, 2021 to Mar 30, 2022
- HQ city · NEW YORK to MIAMIMar 30, 2020 to Mar 30, 2021
- HQ state · NY to FLMar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $417M to $459MMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $417M to $459MMar 30, 2020 to Mar 30, 2021
- RAUM · $417M to $459MMar 30, 2020 to Mar 30, 2021
- RAUM · $301M to $417MMar 28, 2019 to Mar 30, 2020
- Accounts · 10 to 11Mar 28, 2019 to Mar 30, 2020
- Pooled vehicle clients · 10 to 11Mar 28, 2019 to Mar 30, 2020
- Discretionary RAUM · $301M to $417MMar 28, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $301M to $417MMar 28, 2019 to Mar 30, 2020
- Accounts · 8 to 10Mar 28, 2018 to Mar 28, 2019
- Pooled vehicle clients · 8 to 10Mar 28, 2018 to Mar 28, 2019
- Discretionary RAUM · $287M to $301MMar 28, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $287M to $301MMar 28, 2018 to Mar 28, 2019
- RAUM · $287M to $301MMar 28, 2018 to Mar 28, 2019
- Advisory employees · 5 to 4Mar 27, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 8.0Mar 27, 2017 to Mar 28, 2018
- Custody of client assets · true to falseMar 27, 2017 to Mar 28, 2018
- Employees · 8 to 7Mar 27, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Mar 27, 2017 to Mar 28, 2018
- Discretionary RAUM · $377M to $287MMar 27, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 287335000.0Mar 27, 2017 to Mar 28, 2018
- RAUM · $377M to $287MMar 27, 2017 to Mar 28, 2018
- Accounts · 4 to 8Mar 30, 2016 to Mar 27, 2017
- Advisory employees · 6 to 5Mar 30, 2016 to Mar 27, 2017
- Employees · 10 to 8Mar 30, 2016 to Mar 27, 2017
Signals
5 dated events
- B•••••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $123.8M)May 2, 2025 · Left the SEC roster · derived
- B•••••• C•••••• M••••••••• L•• reported RAUM $123.8M, down 53% from $260.7M (2023-10-09 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- B•••••• C•••••• M••••••••• L•• reported RAUM $260.7M, down 37% from $415.8M (2022-03-30 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- B•••••• C•••••• M••••••••• L•• reported RAUM $417.2M, up 38% from $301.4M (2019-03-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- B•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 28, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B•••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
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