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••••• L••••• A••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 169416SEC 801-78740IAPD
Latest filing Mar 27, 2019
First filing on the tape Oct 23, 2013 · 16 filings
RAUM
$321M
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
12
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$321M as of Mar 27, 2019
Mar 27, 2014$103M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2019
Mar 27, 20140 then
Employees (5.A)12 as of Mar 27, 2019
Mar 27, 20148 then
Private funds: no history
RAUM -15% over the last fiscal year-1.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2019; 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
$107MderivedRAUM 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
-15%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$321M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• B••••••• R••• · Chief Executive Officercontrol
        since 11/2013 · owns less than 5%
      • B•••••• B••••••• R••• · Managing Member/Chief Executive Officercontrol
        since 03/2007 · owns 50% to 75% of B••••• C•••••• M••••••••• L••
      • R•••••• J••••••• A••••• · Trusteecontrol
        since 01/2012 · owns F of D•••• A• S•••••• 2••• T••••
      • R•••••• J••••••• A••••• · Trusteecontrol
        since 01/2012 · owns F of M••••••• R• S•••••• 2••• T••••
      • R•••••• J••••••• A••••• · Trusteecontrol
        since 01/2012 · owns F of R•••••• K• S•••••• 2••• T••••
      • S••••••• R••••••• S•••••• · Trusteecontrol
        since 01/2012 · owns F of R•••••• K• S•••••• 2••• T••••
      • S••••••• R••••••• S•••••• · Trusteecontrol
        since 01/2012 · owns F of D•••• A• S•••••• 2••• T••••
      • S••••••• R••••••• S•••••• · Trusteecontrol
        since 01/2012 · owns F of M••••••• R• S•••••• 2••• T••••
      • S••••••• R••••••• S•••••• · Managing Membercontrol
        since 11/2013 · owns 75% or more of W•••••• L••
      • G••••••• R••••••• E•••• · Chief Compliance Officer
        since 11/2017 · owns less than 5%
      Entity owners
      • A••••• L•• · Owner
        direct · owns 25% to 50%
      • B••••• C•••••• M••••••••• L•• · Managing Member
        direct · owns 50% to 75%
      • D•••• A• S•••••• 2••• T•••• · Owner
        indirect · owns 25% to 50% of A••••• L••
      • M••••••• R• S•••••• 2••• T•••• · Owner
        indirect · owns 25% to 50% of A••••• L••
      • R•••••• K• S•••••• 2••• T•••• · Owner
        indirect · owns 25% to 50% of A••••• L••
      • W•••••• L•• · Owner
        indirect · owns 25% to 50% of A••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list B••••• L••••• A••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Mar 29, 2018 to Mar 27, 2019
      • BD registered reps · 4 to 3
        Mar 29, 2018 to Mar 27, 2019
      • Employees · 13 to 12
        Mar 29, 2018 to Mar 27, 2019
      • Discretionary RAUM · $378M to $321M
        Mar 29, 2018 to Mar 27, 2019
      • RAUM · $378M to $321M
        Mar 29, 2018 to Mar 27, 2019
      • Related bank · true to false
        Mar 29, 2018 to Mar 27, 2019
      • Advisory employees · 15 to 4
        Dec 8, 2017 to Mar 29, 2018
      • BD registered reps · 6 to 4
        Dec 8, 2017 to Mar 29, 2018
      • Employees · 15 to 13
        Dec 8, 2017 to Mar 29, 2018
      • State-registered IARs · 6 to 0
        Dec 8, 2017 to Mar 29, 2018
      • Discretionary RAUM · $338M to $378M
        Dec 8, 2017 to Mar 29, 2018
      • RAUM · $338M to $378M
        Dec 8, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Jul 17, 2017 to Dec 8, 2017
      • Discretionary RAUM · $338M to $338M
        Jul 17, 2017 to Dec 8, 2017
      • RAUM · $338M to $338M
        Jul 17, 2017 to Dec 8, 2017
      • Advisory employees · 16 to 15
        Mar 29, 2017 to Jul 17, 2017
      • Employees · 16 to 15
        Mar 29, 2017 to Jul 17, 2017
      • Discretionary RAUM · $336M to $338M
        Mar 29, 2017 to Jul 17, 2017
      • RAUM · $336M to $338M
        Mar 29, 2017 to Jul 17, 2017
      • Advisory employees · 15 to 16
        Dec 2, 2016 to Mar 29, 2017
      • Employees · 15 to 16
        Dec 2, 2016 to Mar 29, 2017
      • Discretionary RAUM · $335M to $336M
        Dec 2, 2016 to Mar 29, 2017
      • RAUM · $335M to $336M
        Dec 2, 2016 to Mar 29, 2017
      • Advisory employees · 13 to 15
        Mar 28, 2016 to Dec 2, 2016
      • BD registered reps · 4 to 6
        Mar 28, 2016 to Dec 2, 2016
      • Employees · 14 to 15
        Mar 28, 2016 to Dec 2, 2016
      • State-registered IARs · 4 to 6
        Mar 28, 2016 to Dec 2, 2016
      • Discretionary RAUM · $335M to $335M
        Mar 28, 2016 to Dec 2, 2016
      • RAUM · $335M to $335M
        Mar 28, 2016 to Dec 2, 2016
      • Accounts · 2 to 4
        Oct 9, 2015 to Mar 28, 2016
      • Advisory employees · 5 to 13
        Oct 9, 2015 to Mar 28, 2016
      • BD registered reps · 1 to 4
        Oct 9, 2015 to Mar 28, 2016
      • Employees · 10 to 14
        Oct 9, 2015 to Mar 28, 2016
      • State-registered IARs · 0 to 4
        Oct 9, 2015 to Mar 28, 2016
      • Discretionary RAUM · $250M to $335M
        Oct 9, 2015 to Mar 28, 2016
      • RAUM · $250M to $335M
        Oct 9, 2015 to Mar 28, 2016
      • Accounts · 1 to 2
        Apr 7, 2015 to Oct 9, 2015
      • Discretionary RAUM · $128M to $250M
        Apr 7, 2015 to Oct 9, 2015
      • RAUM · $128M to $250M
        Apr 7, 2015 to Oct 9, 2015
      • BD registered reps · 0 to 1
        Mar 27, 2014 to Mar 31, 2015
      Signals
      1 dated events
      • B••••• L••••• A••••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 23, 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