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••••••••• I••••••••• G••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 163097SEC 801-77912IAPD
Latest filing Mar 27, 2014
First filing on the tape Apr 1, 2013 · 3 filings
RAUM
$170M
reported, Item 5.F
Discretionary
99%
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
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$168M gross assets
History
3 filings and snapshots on the tape
RAUM$170M as of Mar 27, 2014
Apr 1, 2013$149M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2014
Apr 1, 20130 then
Employees (5.A)6 as of Mar 27, 2014
Apr 1, 20136 then
Private funds1 as of Mar 27, 2014
Apr 1, 20132 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 2014; 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
$15.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%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
$102M, 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
  • 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$102M 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••••••••• C••••• O••••••••• M••••• F••• L••Hedge Fund$38.4M7Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• J•••••• W•••••• · Chief Compliance Officer & Chief Financial Officercontrol
        since 11/2011 · owns less than 5%
      • C•••••••• C••••• N• •• O•••• · Founding Partner, Portfolio Manager, And Managing Membercontrol
        since 11/2011 · owns 50% to 75%
      • H••••• M••••••• S••••• · Founding Partner & Portfolio Managercontrol
        since 11/2011 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • B••••••••• I••••••••• G•••• G• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 11
        Apr 30, 2013 to Mar 27, 2014
      • Assets in custody · $90.1M to $102M
        Apr 30, 2013 to Mar 27, 2014
      • Discretionary RAUM · $147M to $168M
        Apr 30, 2013 to Mar 27, 2014
      • Non-discretionary RAUM · $1.9M to $2.5M
        Apr 30, 2013 to Mar 27, 2014
      • RAUM · $149M to $170M
        Apr 30, 2013 to Mar 27, 2014
      • Private funds · 2 to 1
        Apr 1, 2013 to Apr 30, 2013
      Signals
      1 dated events
      • B••••••••• I••••••••• G••••• 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