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••••••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 164457SEC 801-76815IAPD
Latest filing Feb 21, 2017
First filing on the tape Jun 13, 2012 · 11 filings
RAUM
$139M
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
8
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$139M gross assets
History
11 filings and snapshots on the tape
RAUM$139M as of Feb 21, 2017
Apr 1, 2013$140M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 21, 2017
Apr 1, 20130 then
Employees (5.A)8 as of Feb 21, 2017
Apr 1, 201314 then
Private funds5 as of Feb 21, 2017
Apr 1, 20136 then
RAUM -53% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 21, 2017; 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
$27.8MderivedRAUM 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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$10.8M, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$10.8M for 1 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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P• B••••• L•••Hedge Fund$7.1M6Apr 1, 2013
      B•••••••• P•••••••• L•• • S••••• A• • B••••• P••••••••Hedge Fund$3.7M4Mar 28, 2014
      B••••• O••••••••• F•••• L•••Hedge Fund$2.9M25Mar 30, 2012
      B••••• I••••••••• O••••••••• F•••• L•••Hedge Fund$1.3M4Mar 30, 2012
      B••••• O••••••••• F•••• L•••Hedge Fund$806,6847Mar 28, 2014
      B••••• O••••••••• C•••••• L•••Hedge Fund$422,9392Mar 28, 2014
      B••••• S•••••• E••••••• F•••• L•••no longer reportedHedge Fund$00Mar 30, 2012
      D•••• M••••• F••• I•• L•••no longer reportedHedge Fund$01Mar 30, 2012
      B••••• F•••••• C•••••• L•••no longer reportedHedge Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • J••••••••• V••••••• · Managercontrol
        since 01/2012 · owns 75% or more
      • L•••••• J••••• F•••••• · Chief Compliance Officercontrol
        since 12/2015 · owns less than 5%
      • M••••• Y••••• Y••••••• · Chief Financial Officer / Chief Operating Officercontrol
        since 02/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      • B••••• G•• L••
        investment adviserbankpooled vehicle sponsorn
      • B••••• O••••••••• M••••••••• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 5
        Dec 13, 2016 to Feb 21, 2017
      • Advisory employees · 4 to 1
        Dec 13, 2016 to Feb 21, 2017
      • Assets in custody · $13.1M to $10.8M
        Dec 13, 2016 to Feb 21, 2017
      • Employees · 15 to 8
        Dec 13, 2016 to Feb 21, 2017
      • Private funds · 6 to 5
        Dec 13, 2016 to Feb 21, 2017
      • Discretionary RAUM · $293M to $139M
        Dec 13, 2016 to Feb 21, 2017
      • RAUM · $293M to $139M
        Dec 13, 2016 to Feb 21, 2017
      • Accounts · 8 to 6
        Dec 18, 2015 to Mar 29, 2016
      • Advisory employees · 9 to 4
        Dec 18, 2015 to Mar 29, 2016
      • BD registered reps · 1 to 0
        Dec 18, 2015 to Mar 29, 2016
      • Assets in custody · $18.0M to $13.1M
        Dec 18, 2015 to Mar 29, 2016
      • Employees · 19 to 15
        Dec 18, 2015 to Mar 29, 2016
      • Private funds · 7 to 6
        Dec 18, 2015 to Mar 29, 2016
      • Discretionary RAUM · $329M to $293M
        Dec 18, 2015 to Mar 29, 2016
      • RAUM · $329M to $293M
        Dec 18, 2015 to Mar 29, 2016
      • Discretionary RAUM · $328M to $329M
        Mar 18, 2015 to Apr 28, 2015
      • RAUM · $328M to $329M
        Mar 18, 2015 to Apr 28, 2015
      • Assets in custody · $13.6M to $18.0M
        Apr 24, 2014 to Mar 18, 2015
      • Employees · 24 to 19
        Apr 24, 2014 to Mar 18, 2015
      • Private funds · 9 to 7
        Apr 24, 2014 to Mar 18, 2015
      • Discretionary RAUM · $264M to $328M
        Apr 24, 2014 to Mar 18, 2015
      • RAUM · $264M to $328M
        Apr 24, 2014 to Mar 18, 2015
      • Private funds · 7 to 9
        Mar 28, 2014 to Apr 24, 2014
      • Accounts · 7 to 8
        Apr 1, 2013 to Mar 28, 2014
      • Advisory employees · 7 to 9
        Apr 1, 2013 to Mar 28, 2014
      • Assets in custody · $0 to $13.6M
        Apr 1, 2013 to Mar 28, 2014
      • Custody of client assets · false to true
        Apr 1, 2013 to Mar 28, 2014
      • Employees · 14 to 24
        Apr 1, 2013 to Mar 28, 2014
      • Private funds · 6 to 7
        Apr 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $140M to $264M
        Apr 1, 2013 to Mar 28, 2014
      • RAUM · $140M to $264M
        Apr 1, 2013 to Mar 28, 2014
      • Accounts · 5 to 7
        Aug 29, 2012 to Apr 1, 2013
      • Advisory employees · unset to 7.0
        Aug 29, 2012 to Apr 1, 2013
      • Advisory activities · 2 to 1
        Aug 29, 2012 to Apr 1, 2013
      • BD registered reps · unset to 1.0
        Aug 29, 2012 to Apr 1, 2013
      • Employees · unset to 14.0
        Aug 29, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Aug 29, 2012 to Apr 1, 2013
      • Private funds · 5 to 6
        Aug 29, 2012 to Apr 1, 2013
      • Discretionary RAUM · $107M to $140M
        Aug 29, 2012 to Apr 1, 2013
      • RAUM · $107M to $140M
        Aug 29, 2012 to Apr 1, 2013
      Signals
      1 dated events
      • B••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 13, 2012 · 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