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•••••••• R••••• V•••••••• L•••••

Former SEC-registered adviserBoston, MassachusettsCRD 163834SEC 801-108077IAPD
Latest filing Apr 15, 2022
First filing on the tape Jun 28, 2016 · 10 filings
RAUM
$270M
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
10
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$270M gross assets
History
10 filings and snapshots on the tape
RAUM$270M as of Mar 31, 2022
Mar 31, 2017$205M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 31, 20170 then
Employees (5.A)10 as of Mar 31, 2022
Mar 31, 201712 then
Private funds2 as of Mar 31, 2022
Mar 31, 20171 then
RAUM +25% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 15, 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
$135MderivedRAUM 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
+25%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 vehicles, selection of other advisersreportedItem 5.G
Custody
$46.2M, 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)
  • a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$270M100%
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
$46.2M 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•••••••• R••••• V••••••• F•••• L•••••no longer reportedVenture Capital Fund$47.2M6Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• M•••• E•••••••• · Managing Director, General Counselcontrol
        since 03/2010 · owns less than 5%
      • D••••••• D•••• E••••• · Managing Director, Chief Financial Officer, Investment Managementcontrol
        since 04/2021 · owns less than 5%
      • F•••• J•••••••• T••••• · Managing Director, Chief Operating Officercontrol
        since 03/2022 · owns less than 5%
      • N••••••• C••••••••• M••• · Managing Director, Chief Financial Officer, Corporatecontrol
        since 07/2002 · owns less than 5%
      • O••••• D••••• J••• · Chief Executive Officercontrol
        since 10/2019 · owns less than 5%
      • K••••• D••••••• S•••••• · Shareholdercontrol
        since 04/1987 · owns 50% to 75% of K•••• I•••••••••
      • K••••• G•••••• D•••• · Shareholdercontrol
        since 04/1987 · owns 50% to 75% of K•••• I•••••••••
      • M••••••• J••••••• S•••• · S••••• Vice President, Chief Compliance Officer
        since 01/2019 · owns less than 5%
      Entity owners
      • B•••••••• G••••• L••••• · Member
        direct · owns 75% or more
      • B•• H•••••••• L••••• · Managing Member
        direct · owns 75% or more
      • B•••••••• G••••• L••••• · Member
        indirect · owns 75% or more of B•• H•••••••• L•••••
      • B•••••••• G••••• L••• · Member
        indirect · owns 75% or more of B•••••••• G••••• L•••••
      • K•••• I••••••••• · General Partner
        indirect · owns F of B•••••••• G••••• L•••
      Related persons
      Schedule D 7.A
      • B•••••••• B••••• L••• I•••••••• I• G•• L•••••
        pooled vehicle sponsorn
      • B•••••••• B••••• L••• I•••••••• I• G•• L••
        pooled vehicle sponsorn
      • B•••••••• F• M••••••••• C••••••••• F••• G•• L•••••
        pooled vehicle sponsorn
      • B•••••••• M••••••••• D••• F••• I•• G•• L•••••
        pooled vehicle sponsorn
      • B•••••••• M••••••••• D••• F••• I••• G•• L•••••
        pooled vehicle sponsorn
      • B•••••••• M••••••••• E••••• F••• G•• L•••••
        pooled vehicle sponsorn
      • B•••••••• M••••••••• I••••• R••••• F••• G•• L•••••
        pooled vehicle sponsorn
      • B•••••••• M••••••••• U•• P••••••• P••••••• G•• L•••••
        pooled vehicle sponsorn
      • B•••••••• M••••••••• V•••• P••• F••• G• I••• L•••••
        pooled vehicle sponsorn
      • B•••••••• M••••••••• V•••• P••• F••• I• G•• L•••••
        pooled vehicle sponsorn
      • B•••••••• P••••••• A•••••••• L••
        investment advisernRAUM $19B
      • B•••••••• S•••••• G•• L•••••
        pooled vehicle sponsorn
      • B•••••••• S••••• H•••••• F••• I• G•• L•••••
        pooled vehicle sponsorn
      • B•••••••• V•••• F••• V• G• L••
        pooled vehicle sponsorn
      • B•••• G• L••
        pooled vehicle sponsorn
      • B•• G•• L•••••
        pooled vehicle sponsorn
      • B••••• I•••••••• L•••••
        pooled vehicle sponsorn
      • M•• R••• I•• L•••••
        pooled vehicle sponsorn
      • P•••• G• 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 · $8.5M to $46.2M
        Mar 31, 2021 to Mar 31, 2022
      • Employees · 11 to 10
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $217M to $270M
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $217M to $270M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $217M to $270M
        Mar 31, 2021 to Mar 31, 2022
      • Assets in custody · $5.3M to $8.5M
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 7 to 11
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $149M to $217M
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $149M to $217M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $149M to $217M
        Mar 30, 2020 to Mar 31, 2021
      • Accounts · 1 to 2
        Oct 16, 2019 to Mar 30, 2020
      • Advisory employees · 2 to 1
        Oct 16, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 1 to 2
        Oct 16, 2019 to Mar 30, 2020
      • Assets in custody · $4.4M to $5.3M
        Oct 16, 2019 to Mar 30, 2020
      • Other offices · 1 to 0
        Oct 16, 2019 to Mar 30, 2020
      • Private funds · 1 to 2
        Oct 16, 2019 to Mar 30, 2020
      • Discretionary RAUM · $164M to $149M
        Oct 16, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $164M to $149M
        Oct 16, 2019 to Mar 30, 2020
      • RAUM · $164M to $149M
        Oct 16, 2019 to Mar 30, 2020
      • Advisory employees · 6 to 2
        Jan 3, 2019 to Mar 29, 2019
      • Advisory activities · 1 to 2
        Jan 3, 2019 to Mar 29, 2019
      • BD registered reps · 4 to 0
        Jan 3, 2019 to Mar 29, 2019
      • Assets in custody · $0 to $4.4M
        Jan 3, 2019 to Mar 29, 2019
      • Employees · 12 to 7
        Jan 3, 2019 to Mar 29, 2019
      • Discretionary RAUM · $187M to $164M
        Jan 3, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $187M to $164M
        Jan 3, 2019 to Mar 29, 2019
      • RAUM · $187M to $164M
        Jan 3, 2019 to Mar 29, 2019
      • Advisory employees · 12 to 6
        Mar 31, 2017 to Mar 30, 2018
      • BD registered reps · 3 to 4
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Assets in custody · $205M to $0
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $205M to $187M
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 187099539.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $205M to $187M
        Mar 31, 2017 to Mar 30, 2018
      • Accounts · 2 to 1
        Jun 28, 2016 to Mar 31, 2017
      • BD registered reps · 4 to 3
        Jun 28, 2016 to Mar 31, 2017
      • Assets in custody · $225M to $205M
        Jun 28, 2016 to Mar 31, 2017
      • Private funds · 4 to 1
        Jun 28, 2016 to Mar 31, 2017
      • Discretionary RAUM · $225M to $205M
        Jun 28, 2016 to Mar 31, 2017
      Signals
      10 dated events
      • P•••••• A••• K••• (Managing Director, Co-Head Of Operations) no longer on Schedule A of B•••••••• R••••• V•••••••• L••••• (listed 2021-03-31, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • Jonathan Frey (Managing Director, Chief Operating Officer) appeared on Schedule A of B•••••••• R••••• V•••••••• L•••••
        Mar 31, 2022 · Control person joined · fact
      • D••• D•••••• (Managing Director, Chief Financial Officer, Investment Management) appeared on Schedule A of B•••••••• R••••• V•••••••• L•••••
        Mar 31, 2022 · Control person joined · fact
      • Bertrand Charles Leitner Iii (Chief Executive Officer) no longer on Schedule A of B•••••••• R••••• V•••••••• L••••• (listed 2019-03-29, absent 2019-10-16)
        Oct 16, 2019 · Control person left · inference
      • Mark Christopher Nichols (Managing Director, Co-Head Of Operations And Chief Financial Officer) appeared on Schedule A of B•••••••• R••••• V•••••••• L•••••
        Mar 29, 2019 · Control person joined · fact
      • John David Olney (Managing Director, Chief Investment Officer) appeared on Schedule A of B•••••••• R••••• V•••••••• L•••••
        Mar 29, 2019 · Control person joined · fact
      • P•••••• A••• K••• (Managing Director, Co-Head Of Operations) appeared on Schedule A of B•••••••• R••••• V•••••••• L•••••
        Mar 29, 2019 · Control person joined · fact
      • Douglas Lawrence Ellman (Managing Director) no longer on Schedule A of B•••••••• R••••• V•••••••• L••••• (listed 2019-01-03, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Reid Jason Grossman (Managing Director) no longer on Schedule A of B•••••••• R••••• V•••••••• L••••• (listed 2019-01-03, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • B•••••••• R••••• V•••••••• L••••• filed its initial SEC registration (Form ADV)
        Jun 28, 2016 · First SEC registration · fact
      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
      Across the graphs

      B•••••••• R••••• V•••••••• L••••• 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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