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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

B•••••• A•••• M••••••••• U•• L••

Former SEC-registered adviserStamford, ConnecticutCRD 164530SEC 801-77361IAPD
Latest filing Jul 20, 2021
First filing on the tape Nov 7, 2012 · 28 filings
RAUM
$15B
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
33
23 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$592M gross assets
History
28 filings and snapshots on the tape
RAUM$15B as of Jan 28, 2021
Jan 28, 2014$43B then
HNW client RAUM$0 as of Jan 28, 2021
Jan 25, 2018$90.0M then
State-registered IARs (5.B.3)0 as of Jan 28, 2021
Jan 28, 20140 then
Employees (5.A)33 as of Jan 28, 2021
Jan 28, 201415 then
Private funds2 as of Jan 28, 2021
Jan 29, 20201 then
RAUM +14% over the last fiscal year+3.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 20, 2021; 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
$5.1BderivedRAUM 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
+14%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, otherreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Other investment advisers$15B96%
  • Pooled investment vehicles$585M3.9%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• M••••••• F•••••••• V•••• · Non Executive Directorcontrol
        since 05/2019 · owns less than 5%
      • L•••••••• L••• H••••• T•••••• · Chief Operation Officer And Chief Risk Officer, Partnercontrol
        since 01/2017 · owns less than 5%
      • M••••••• L•••• X•••••• · Chief Compliance Officercontrol
        since 11/2019 · owns less than 5%
      • S••••• W••••••••• A•••••• · Executive Directorcontrol
        since 09/2013 · owns less than 5%
      • T•••••• C••••• A•• · Non Executive Director
        since 03/2014 · owns less than 5%
      Entity owners
      • R•• U•• H••••• C••••••••• · Managing Member
        direct · owns 75% or more
      • R•••• B••• O• C••••• · Shareholder
        indirect · owns 75% or more of B•••••• Asset Management (Services) Ltd.
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 19 to 23
        Jul 8, 2020 to Jan 28, 2021
      • Employees · 29 to 33
        Jul 8, 2020 to Jan 28, 2021
      • Private funds · 1 to 2
        Jul 8, 2020 to Jan 28, 2021
      • Discretionary RAUM · $14B to $15B
        Jul 8, 2020 to Jan 28, 2021
      • Pooled vehicle RAUM · $525M to $585M
        Jul 8, 2020 to Jan 28, 2021
      • RAUM · $14B to $15B
        Jul 8, 2020 to Jan 28, 2021
      • Accounts · 2 to 3
        May 28, 2020 to Jul 8, 2020
      • Advisory employees · 17 to 19
        May 28, 2020 to Jul 8, 2020
      • Advisory activities · 3 to 2
        May 28, 2020 to Jul 8, 2020
      • Pooled vehicle clients · 1 to 2
        May 28, 2020 to Jul 8, 2020
      • Employees · 26 to 29
        May 28, 2020 to Jul 8, 2020
      • Private funds · unset to 1
        May 28, 2020 to Jul 8, 2020
      • Discretionary RAUM · $13B to $14B
        May 28, 2020 to Jul 8, 2020
      • Pooled vehicle RAUM · $25.1M to $525M
        May 28, 2020 to Jul 8, 2020
      • RAUM · $13B to $14B
        May 28, 2020 to Jul 8, 2020
      • Private funds · 1 to unset
        Jan 29, 2020 to May 28, 2020
      • Accounts · 25 to 2
        Mar 1, 2019 to Jan 29, 2020
      • Advisory employees · 15 to 17
        Mar 1, 2019 to Jan 29, 2020
      • Advisory activities · 2 to 3
        Mar 1, 2019 to Jan 29, 2020
      • Corporate clients · 0.0 to unset
        Mar 1, 2019 to Jan 29, 2020
      • Pension plan clients · 43 to 0
        Mar 1, 2019 to Jan 29, 2020
      • Pooled vehicle clients · 5 to 1
        Mar 1, 2019 to Jan 29, 2020
      • Employees · 28 to 26
        Mar 1, 2019 to Jan 29, 2020
      • Other offices · 1 to 0
        Mar 1, 2019 to Jan 29, 2020
      • Private funds · unset to 1
        Mar 1, 2019 to Jan 29, 2020
      • Discretionary RAUM · $12B to $13B
        Mar 1, 2019 to Jan 29, 2020
      • HNW RAUM · $172M to $0
        Mar 1, 2019 to Jan 29, 2020
      • Pension RAUM · $3.3B to $0
        Mar 1, 2019 to Jan 29, 2020
      • Pooled vehicle RAUM · $5.1M to $25.1M
        Mar 1, 2019 to Jan 29, 2020
      • RAUM · $12B to $13B
        Mar 1, 2019 to Jan 29, 2020
      • Accounts · 26 to 25
        Mar 26, 2018 to Jan 29, 2019
      • Advisory employees · 17 to 15
        Mar 26, 2018 to Jan 29, 2019
      • Charity clients · 1 to 0
        Mar 26, 2018 to Jan 29, 2019
      • Corporate clients · 2 to 0
        Mar 26, 2018 to Jan 29, 2019
      • HNW clients · 6 to 0
        Mar 26, 2018 to Jan 29, 2019
      • Individual clients · unset to 0.0
        Mar 26, 2018 to Jan 29, 2019
      • Pension plan clients · 46 to 43
        Mar 26, 2018 to Jan 29, 2019
      • Pooled vehicle clients · 6 to 5
        Mar 26, 2018 to Jan 29, 2019
      • Employees · 25 to 28
        Mar 26, 2018 to Jan 29, 2019
      • Discretionary RAUM · $14B to $12B
        Mar 26, 2018 to Jan 29, 2019
      Signals
      6 dated events
      • Hector Therese Luc Leclercq (Chief Operation Officer And Chief Risk Officer, Partner) appeared on Schedule A of B•••••• A•••• M••••••••• U•• L••
        May 28, 2020 · Control person joined · fact
      • Patrick Thomas Kreuzer (Executive Director) no longer on Schedule A of B•••••• A•••• M••••••••• U•• L•• (listed 2020-01-29, absent 2020-05-28)
        May 28, 2020 · Control person left · inference
      • X•••••• L••• M•••••• (Chief Compliance Officer) appeared on Schedule A of B•••••• A•••• M••••••••• U•• L••
        Jan 29, 2020 · Control person joined · fact
      • Francoise Velda Monique Brown (Non Executive Director) appeared on Schedule A of B•••••• A•••• M••••••••• U•• L••
        Jan 29, 2020 · Control person joined · fact
      • B•••••• A•••• M••••••••• U•• L•• reported RAUM $13.7B, up 79% from $7.6B (2017-06-05 to 2018-01-25)
        Jan 25, 2018 · RAUM change · derived
      • B•••••• A•••• M••••••••• U•• L•• filed its initial SEC registration (Form ADV)
        Nov 7, 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