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••••• S••••• A••••••• L••

Former SEC-registered adviserStamford, ConnecticutCRD 167549SEC 801-77977IAPD
Latest filing May 22, 2020
First filing on the tape Apr 12, 2013 · 10 filings
RAUM
$29.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$29.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$29.4M as of May 22, 2020
Mar 29, 2014$24.2M then
HNW client RAUM$29.4M as of May 22, 2020
Apr 4, 2019$7.7M then
State-registered IARs (5.B.3)0 as of May 22, 2020
Mar 29, 20140 then
Employees (5.A)3 as of May 22, 2020
Mar 29, 20146 then
Private funds: no history
RAUM -20% over the last fiscal year-25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 22, 2020; 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
$14.7MderivedHNW RAUM over HNW clients
Average account
$7.4MderivedRAUM 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
-20%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, otherreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$29.4M100%
Individual clients
n/areported
HNW clients
2reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••••• S••••• F••• L•no longer reportedHedge Fund$15.5M4Apr 12, 2013
      B••••• S••••• L••••••••• F••• L•no longer reportedHedge Fund$2.5M3Apr 12, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• N••••••• · Membercontrol
        since 04/2013 · owns 50% to 75% of B••••• S••••• H••••••• L••
      • G••••••••• R•••••• F••••• · Membercontrol
        since 04/2013 · owns 50% to 75% of B••••• S••••• H••••••• L••
      • A•••••••• D••••• A•••••• · Cco, Controller
        since 07/2012 · owns less than 5%
      Entity owners
      • B••••• S••••• H••••••• L•• · Member
        direct · owns 75% or more
      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 · 3 to 2
        Apr 4, 2019 to May 22, 2020
      • Advisory activities · 3 to 1
        Apr 4, 2019 to May 22, 2020
      • Employees · 4 to 3
        Apr 4, 2019 to May 22, 2020
      • Discretionary RAUM · $36.6M to $29.4M
        Apr 4, 2019 to May 22, 2020
      • HNW RAUM · $7.7M to $29.4M
        Apr 4, 2019 to May 22, 2020
      • RAUM · $36.6M to $29.4M
        Apr 4, 2019 to May 22, 2020
      • Accounts · 3 to 4
        Apr 3, 2018 to Apr 4, 2019
      • Advisory employees · 4 to 3
        Apr 3, 2018 to Apr 4, 2019
      • HNW clients · unset to 2.0
        Apr 3, 2018 to Apr 4, 2019
      • Pooled vehicle clients · 1.0 to unset
        Apr 3, 2018 to Apr 4, 2019
      • Employees · 5 to 4
        Apr 3, 2018 to Apr 4, 2019
      • Discretionary RAUM · $48.1M to $36.6M
        Apr 3, 2018 to Apr 4, 2019
      • HNW RAUM · unset to 7661343.0
        Apr 3, 2018 to Apr 4, 2019
      • Non-discretionary RAUM · $1.2M to $0
        Apr 3, 2018 to Apr 4, 2019
      • Pooled vehicle RAUM · 5112225.0 to unset
        Apr 3, 2018 to Apr 4, 2019
      • RAUM · $49.3M to $36.6M
        Apr 3, 2018 to Apr 4, 2019
      • Pooled vehicle clients · unset to 1.0
        Mar 31, 2017 to Apr 3, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Apr 3, 2018
      • Discretionary RAUM · $69.6M to $48.1M
        Mar 31, 2017 to Apr 3, 2018
      • Non-discretionary RAUM · $0 to $1.2M
        Mar 31, 2017 to Apr 3, 2018
      • Pooled vehicle RAUM · unset to 5112225.0
        Mar 31, 2017 to Apr 3, 2018
      • RAUM · $69.6M to $49.3M
        Mar 31, 2017 to Apr 3, 2018
      • Accounts · 2 to 3
        Apr 1, 2016 to Mar 31, 2017
      • Advisory activities · 2 to 3
        Apr 1, 2016 to Mar 31, 2017
      • Financial planning clients · unset to 0
        Apr 1, 2016 to Mar 31, 2017
      • Discretionary RAUM · $71.5M to $69.6M
        Apr 1, 2016 to Mar 31, 2017
      • RAUM · $71.5M to $69.6M
        Apr 1, 2016 to Mar 31, 2017
      • Accounts · 4 to 2
        Aug 24, 2015 to Apr 1, 2016
      • Employees · 6 to 5
        Aug 24, 2015 to Apr 1, 2016
      • Discretionary RAUM · $50.0M to $71.5M
        Aug 24, 2015 to Apr 1, 2016
      • RAUM · $50.0M to $71.5M
        Aug 24, 2015 to Apr 1, 2016
      • Related adviser · false to true
        Aug 24, 2015 to Apr 1, 2016
      • Accounts · 2 to 4
        Mar 31, 2015 to Aug 24, 2015
      • Advisory activities · 1 to 2
        Mar 31, 2015 to Aug 24, 2015
      • Discretionary RAUM · $35.2M to $50.0M
        Mar 31, 2015 to Aug 24, 2015
      • RAUM · $35.2M to $50.0M
        Mar 31, 2015 to Aug 24, 2015
      • Discretionary RAUM · $24.2M to $35.2M
        Mar 29, 2014 to Mar 31, 2015
      • RAUM · $24.2M to $35.2M
        Mar 29, 2014 to Mar 31, 2015
      • Employees · 5 to 6
        Sep 6, 2013 to Mar 29, 2014
      • Discretionary RAUM · $19.4M to $24.2M
        Sep 6, 2013 to Mar 29, 2014
      Signals
      1 dated events
      • B••••• S••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 12, 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