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••••••••• C••••••

Former SEC-registered adviserCRD 165017SEC 801-80334IAPD
Legal name B••••••••• C••••••• L••
Latest filing Apr 14, 2023
First filing on the tape Sep 8, 2014 · 16 filings
RAUM
$1.3M
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
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$2.0M gross assets
History
16 filings and snapshots on the tape
RAUM$2.0M as of Mar 31, 2023
Mar 26, 2015$148M then
HNW client RAUM$0 as of Mar 31, 2023
Mar 30, 2018$372,041 then
State-registered IARs (5.B.3)1 as of Mar 31, 2023
Mar 26, 20153 then
Employees (5.A)4 as of Mar 31, 2023
Mar 26, 20156 then
Private funds2 as of Mar 31, 2023
Mar 26, 20151 then
RAUM -99% over the last fiscal year-88% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Apr 14, 2023; every figure names its basis
RAUM per advisor
$1.3MderivedRAUM 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
$627,559derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-98%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.3M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixed, 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    3 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    B••••••••• O••••••• A•••• F•••• L••Hedge Fund$1.4M9Sep 8, 2014
    B••••••••• G••••• A•••• F•••• L••Hedge Fund$651,7244Jun 30, 2020
    B••••••••• P••••••• F•••• L••Hedge Fund$598,7615Mar 31, 2020
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• A••••• J••••••• · Member, Portfolio Manager, Director, Chief Compliance Officercontrol
      since 07/2012 · owns 10% to 25%
    • K••• M•••••••• H••••••••• · Managing Membercontrol
      since 04/2023 · owns 50% to 75%
    • L••• S•••• H••• · Member, Associate
      since 12/2013 · owns less than 5%
    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
    • Discretionary RAUM · $2.0M to $1.3M
      Mar 31, 2023 to Apr 14, 2023
    • Pooled vehicle RAUM · $2.0M to $1.3M
      Mar 31, 2023 to Apr 14, 2023
    • RAUM · $2.0M to $1.3M
      Mar 31, 2023 to Apr 14, 2023
    • Accounts · 4 to 2
      Dec 16, 2022 to Mar 31, 2023
    • Advisory employees · 2 to 1
      Dec 16, 2022 to Mar 31, 2023
    • State-registered IARs · 2 to 1
      Dec 16, 2022 to Mar 31, 2023
    • Discretionary RAUM · $1.8M to $2.0M
      Dec 16, 2022 to Mar 31, 2023
    • Pooled vehicle RAUM · $1.8M to $2.0M
      Dec 16, 2022 to Mar 31, 2023
    • RAUM · $1.8M to $2.0M
      Dec 16, 2022 to Mar 31, 2023
    • Related adviser · true to false
      Dec 16, 2022 to Mar 31, 2023
    • Related broker-dealer · true to false
      Dec 16, 2022 to Mar 31, 2023
    • Accounts · 6 to 4
      Jul 28, 2022 to Dec 16, 2022
    • Discretionary RAUM · $14.6M to $1.8M
      Jul 28, 2022 to Dec 16, 2022
    • Pooled vehicle RAUM · $1.8M to $1.8M
      Jul 28, 2022 to Dec 16, 2022
    • RAUM · $14.6M to $1.8M
      Jul 28, 2022 to Dec 16, 2022
    • Accounts · 8 to 6
      Mar 30, 2022 to Jul 28, 2022
    • Pooled vehicle clients · 3 to 2
      Mar 30, 2022 to Jul 28, 2022
    • Employees · 9 to 4
      Mar 30, 2022 to Jul 28, 2022
    • HQ city · BELLEVUE to unset
      Mar 30, 2022 to Jul 28, 2022
    • HQ state · WA to unset
      Mar 30, 2022 to Jul 28, 2022
    • Private funds · 3 to 2
      Mar 30, 2022 to Jul 28, 2022
    • Discretionary RAUM · $109M to $14.6M
      Mar 30, 2022 to Jul 28, 2022
    • Pooled vehicle RAUM · $101M to $1.8M
      Mar 30, 2022 to Jul 28, 2022
    • RAUM · $109M to $14.6M
      Mar 30, 2022 to Jul 28, 2022
    • Accounts · 10 to 8
      Mar 31, 2021 to Mar 30, 2022
    • Discretionary RAUM · $489M to $109M
      Mar 31, 2021 to Mar 30, 2022
    • Pooled vehicle RAUM · $163M to $101M
      Mar 31, 2021 to Mar 30, 2022
    • RAUM · $489M to $109M
      Mar 31, 2021 to Mar 30, 2022
    • Accounts · 12 to 10
      Jun 30, 2020 to Mar 31, 2021
    • Advisory activities · 4 to 3
      Jun 30, 2020 to Mar 31, 2021
    • Discretionary RAUM · $564M to $489M
      Jun 30, 2020 to Mar 31, 2021
    • Pooled vehicle RAUM · $98.6M to $163M
      Jun 30, 2020 to Mar 31, 2021
    • RAUM · $564M to $489M
      Jun 30, 2020 to Mar 31, 2021
    • Accounts · 15 to 12
      Mar 31, 2020 to Jun 30, 2020
    • Charity clients · 2 to 0
      Mar 31, 2020 to Jun 30, 2020
    • HNW clients · 1 to 0
      Mar 31, 2020 to Jun 30, 2020
    • Pension plan clients · 1 to 0
      Mar 31, 2020 to Jun 30, 2020
    • Pooled vehicle clients · 2 to 3
      Mar 31, 2020 to Jun 30, 2020
    • Private funds · 2 to 3
      Mar 31, 2020 to Jun 30, 2020
    • Discretionary RAUM · $777M to $564M
      Mar 31, 2020 to Jun 30, 2020
    Signals
    8 dated events
    • Hye-Ryeong Michelle Kim (Managing Member) appeared on Schedule A of B••••••••• C••••••
      Apr 14, 2023 · Control person joined · fact
    • Y••• D••••• Kim (Managing Member) no longer on Schedule A of B••••••••• C•••••• (listed 2023-03-31, absent 2023-04-14)
      Apr 14, 2023 · Control person left · inference
    • D••••• Y••• K•• left B••••••••• C•••••• for S•••••• C•••••• C••••••••• (registered 2023-11-28)
      Mar 6, 2023 · Advisor changed firm · fact
    • Lee Bryce Peters (Chief Compliance Officer) no longer on Schedule A of B••••••••• C•••••• (listed 2022-07-28, absent 2022-12-16)
      Dec 16, 2022 · Control person left · inference
    • B••••••••• C•••••• reported RAUM $108.6M, down 78% from $489.4M (2021-03-31 to 2022-03-30)
      Mar 30, 2022 · RAUM change · derived
    • B••••••••• C•••••• reported RAUM $563.7M, down 27% from $777.4M (2020-03-31 to 2020-06-30)
      Jun 30, 2020 · RAUM change · derived
    • B••••••••• C•••••• reported RAUM $813.3M, up 50% from $542.0M (2017-03-31 to 2018-03-30)
      Mar 30, 2018 · RAUM change · derived
    • B••••••••• C•••••• filed its initial SEC registration (Form ADV)
      Sep 8, 2014 · 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