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•••••• C••••

Former SEC-registered adviserNew York, New YorkCRD 161634SEC 801-121701IAPD
Latest filing Mar 30, 2022
First filing on the tape Feb 14, 2012 · 8 filings
RAUM
$352M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$352M gross assets
History
8 filings and snapshots on the tape
RAUM$352M as of Mar 30, 2022
Mar 28, 2013$562M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 28, 20130 then
Employees (5.A)3 as of Mar 30, 2022
Mar 28, 20136 then
Private funds2 as of Mar 30, 2022
Mar 28, 20134 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2022; 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
$176MderivedRAUM 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
unknownderivedbetween 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
$352M, 2 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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$352M100%
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
$352M 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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B•••• C••••••••• F••• •••••••• L•••no longer reportedPrivate Equity Fund$196M84Feb 14, 2012
      B•••• C••••••••• F•••• L•••no longer reportedPrivate Equity Fund$19.7M84Feb 14, 2012
      B•••• C•••••• I••• L••no longer reportedVenture Capital Fund$2.0M7Mar 28, 2013
      B•••• C••••••••• F••• I• •••• L•••Private Equity Fund$713,908131Feb 14, 2012
      B•••• C••••••••• F••• I•• L•••Private Equity Fund$7,2775Feb 14, 2012
      B•••• C••••••••• F••• I• •••••••• L•••no longer reportedPrivate Equity Fund$0152Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• H••••• G• · Partnercontrol
        since 12/1998 · owns 5% to 10%
      • B••••• J•••• C• · Partner And Chairmancontrol
        since 09/1995 · owns 75% or more
      • S••••••• J•••••• R• · Chief Compliance Officercontrol
        since 06/1997 · owns less than 5%
      Related persons
      Schedule D 7.A
      • B•••• C•••••• P••••••• I•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $353M to $352M
        Jun 7, 2021 to Mar 30, 2022
      • Discretionary RAUM · $353M to $352M
        Jun 7, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $353M to $352M
        Jun 7, 2021 to Mar 30, 2022
      • RAUM · $353M to $352M
        Jun 7, 2021 to Mar 30, 2022
      • Accounts · 4 to 2
        Mar 31, 2015 to Jun 7, 2021
      • Advisory employees · 6 to 2
        Mar 31, 2015 to Jun 7, 2021
      • Pooled vehicle clients · unset to 2.0
        Mar 31, 2015 to Jun 7, 2021
      • Assets in custody · unset to 352773321.0
        Mar 31, 2015 to Jun 7, 2021
      • Custody of client assets · false to true
        Mar 31, 2015 to Jun 7, 2021
      • Employees · 6 to 3
        Mar 31, 2015 to Jun 7, 2021
      • Other offices · unset to 0.0
        Mar 31, 2015 to Jun 7, 2021
      • Discretionary RAUM · $545M to $353M
        Mar 31, 2015 to Jun 7, 2021
      • Pooled vehicle RAUM · unset to 352773321.0
        Mar 31, 2015 to Jun 7, 2021
      • RAUM · $545M to $353M
        Mar 31, 2015 to Jun 7, 2021
      • Private funds · 4 to 2
        Jun 7, 2021 to Jun 7, 2021
      • Discretionary RAUM · $553M to $545M
        Mar 26, 2014 to Mar 31, 2015
      • RAUM · $553M to $545M
        Mar 26, 2014 to Mar 31, 2015
      • Discretionary RAUM · $562M to $553M
        Mar 28, 2013 to Mar 26, 2014
      • RAUM · $562M to $553M
        Mar 28, 2013 to Mar 26, 2014
      • Accounts · 5 to 4
        May 18, 2012 to Mar 28, 2013
      • Advisory employees · unset to 6.0
        May 18, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        May 18, 2012 to Mar 28, 2013
      • Employees · unset to 6.0
        May 18, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        May 18, 2012 to Mar 28, 2013
      • Private funds · 5 to 4
        May 18, 2012 to Mar 28, 2013
      • Discretionary RAUM · $512M to $562M
        May 18, 2012 to Mar 28, 2013
      • RAUM · $512M to $562M
        May 18, 2012 to Mar 28, 2013
      • Discretionary RAUM · $769M to $512M
        Feb 14, 2012 to May 18, 2012
      • RAUM · $769M to $512M
        Feb 14, 2012 to May 18, 2012
      Signals
      4 dated events
      • B•••• C•••••• C•••• filed its initial SEC registration (Form ADV)
        Jun 7, 2021 · First SEC registration · fact
      • B•••• C•••••• C•••• reported RAUM $352.8M, down 35% from $545.1M (2015-03-31 to 2021-06-07)
        Jun 7, 2021 · RAUM change · derived
      • Morris Robert Manning (Partner) no longer on Schedule A of B•••• C•••••• C•••• (listed 2015-03-31, absent 2021-06-07)
        Jun 7, 2021 · Control person left · inference
      • Z. Faisal Nisar (Partner) no longer on Schedule A of B•••• C•••••• C•••• (listed 2015-03-31, absent 2021-06-07)
        Jun 7, 2021 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      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