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••••••• A•••• M••••••••• I••
Latest filing Jul 5, 2024
First filing on the tape Mar 14, 2012 · 24 filings
RAUM
$7.5M
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$7.5M gross assets
History
24 filings and snapshots on the tape
RAUM$194M as of Mar 26, 2024
Mar 20, 2013$184M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2024
Mar 20, 20130 then
Employees (5.A)5 as of Mar 26, 2024
Mar 20, 20134 then
Private funds4 as of Mar 26, 2024
Mar 20, 20131 then
RAUM -96% over the last fiscal year-66% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 5, 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
- $7.5MderivedRAUM 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
- -1.8%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 assetsreportedItem 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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$7.5M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V•••••• G••••• F••• L•• S••no longer reported | Hedge Fund | $192M | 20 | Mar 14, 2012 |
| V•••••• G••••• F••• L•• S•• • E••••• F••• | Other Private Fund | $124M | 14 | Feb 7, 2018 |
| V•••••• G••••• F••• L•• S•• • I••••• F••• | Hedge Fund | $33.5M | 14 | Feb 7, 2018 |
| V•••••• G••••• F••• L•• S•• • O••••••••• F••• | Hedge Fund | $28.5M | 12 | Feb 7, 2018 |
| V•••••• G••••• F••• L•• S•• • N•••••• R•••••••• F•••no longer reported | Hedge Fund | $9.9M | 1 | Feb 7, 2018 |
| V•••••• G••••• F••• L•• S•• • R••• E••••• F••• | Real Estate Fund | $7.5M | 12 | Feb 7, 2018 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• C••••• · Vice-Presidentcontrolsince 01/1993 · owns 50% to 75%
- B•••••••• M••••• · Presidentcontrolsince 01/1993 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 17 to 1Mar 26, 2024 to Jul 5, 2024
- Private funds · 4 to 1Mar 26, 2024 to Jul 5, 2024
- Discretionary RAUM · $194M to $7.5MMar 26, 2024 to Jul 5, 2024
- Pooled vehicle RAUM · $194M to $7.5MMar 26, 2024 to Jul 5, 2024
- RAUM · $194M to $7.5MMar 26, 2024 to Jul 5, 2024
- Accounts · 18 to 17Mar 31, 2023 to Mar 26, 2024
- Advisory employees · 3 to 4Mar 31, 2023 to Mar 26, 2024
- Employees · 4 to 5Mar 31, 2023 to Mar 26, 2024
- Financial planning clients · unset to 0Mar 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $197M to $194MMar 31, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $197M to $194MMar 31, 2023 to Mar 26, 2024
- RAUM · $197M to $194MMar 31, 2023 to Mar 26, 2024
- Accounts · 6 to 18Feb 28, 2022 to Mar 31, 2023
- Assets in custody · 209747457.0 to unsetFeb 28, 2022 to Mar 31, 2023
- Custody of client assets · true to falseFeb 28, 2022 to Mar 31, 2023
- Private funds · 5 to 4Feb 28, 2022 to Mar 31, 2023
- Discretionary RAUM · $210M to $197MFeb 28, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $210M to $197MFeb 28, 2022 to Mar 31, 2023
- RAUM · $210M to $197MFeb 28, 2022 to Mar 31, 2023
- Assets in custody · unset to 209747457.0Dec 7, 2021 to Feb 28, 2022
- Custody of client assets · false to trueDec 7, 2021 to Feb 28, 2022
- Discretionary RAUM · $196M to $210MDec 7, 2021 to Feb 28, 2022
- Pooled vehicle RAUM · $196M to $210MDec 7, 2021 to Feb 28, 2022
- RAUM · $196M to $210MDec 7, 2021 to Feb 28, 2022
- Discretionary RAUM · $178M to $196MDec 17, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $178M to $196MDec 17, 2020 to Mar 29, 2021
- RAUM · $178M to $196MDec 17, 2020 to Mar 29, 2021
- Accounts · 4 to 6Feb 11, 2019 to Feb 12, 2020
- Advisory employees · 4 to 3Feb 11, 2019 to Feb 12, 2020
- Employees · 5 to 4Feb 11, 2019 to Feb 12, 2020
- Discretionary RAUM · $165M to $178MFeb 11, 2019 to Feb 12, 2020
- Pooled vehicle RAUM · $165M to $178MFeb 11, 2019 to Feb 12, 2020
- RAUM · $165M to $178MFeb 11, 2019 to Feb 12, 2020
- Accounts · 5 to 4Jun 29, 2018 to Feb 1, 2019
- Assets in custody · 38501150.0 to unsetJun 29, 2018 to Feb 1, 2019
- Custody of client assets · true to falseJun 29, 2018 to Feb 1, 2019
- Discretionary RAUM · $207M to $165MJun 29, 2018 to Feb 1, 2019
- Pooled vehicle RAUM · $207M to $165MJun 29, 2018 to Feb 1, 2019
- RAUM · $207M to $165MJun 29, 2018 to Feb 1, 2019
- Pooled vehicle clients · unset to 1.0Feb 7, 2018 to Mar 5, 2018
Signals
1 dated events
- B••••••• A•••• M••••••••• I•• reported RAUM $7.5M, down 96% from $193.6M (2024-03-26 to 2024-07-05)Jul 5, 2024 · 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
Across the graphs
B••••••• A•••• M••••••••• I•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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