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•••••• M••••••••• L•••

Former SEC-registered adviserHamilton, Pembroke, CRD 172592SEC 801-80240IAPD
Latest filing Mar 31, 2015
First filing on the tape Aug 15, 2014 · 4 filings
RAUM
$181M
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
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$181M as of Mar 31, 2015
Aug 15, 2014$217M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Aug 15, 20140 then
Employees (5.A)12 as of Mar 31, 2015
Aug 15, 201412 then
Private funds2 as of Oct 15, 2014
Aug 15, 20142 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2015; 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
$181MderivedRAUM 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
unknownderivedbetween 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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
1reported
Financial planning clients
n/areported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••• M•• V•• F•••Hedge Fund$37.0M1Aug 15, 2014
      B••• W•••• F••••• F••• L•••Hedge Fund$5.0M1Aug 15, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• D•••••• M•••••• J••• · Chief Operations Officer, Directorcontrol
        since 01/2014 · owns less than 5%
      • H•••••• C••••••••• L•••• · Directorcontrol
        since 11/2012 · owns less than 5%
      • K••••• A••••••• D•••••• · General Counsel And Chief Compliance Officer, Directorcontrol
        since 03/2014 · owns less than 5%
      • P••••••• W•••••• · Chief Executive Officer, Directorcontrol
        since 11/2012 · owns less than 5%
      • W•••••• A•••••• D••••• · Controller
        since 11/2012 · owns less than 5%
      Entity owners
      • M••••••••• R• H••••••• L••• · Direct Owner
        direct · owns 75% or more · public reporting company
      Related persons
      Schedule D 7.A
      • B••• W•••• R• I• L•••
        real estatey
      • B••• W•••• R• L•••
        real estatey
      • C•••••• I•••
        real estaten
      • M••••••••• A• L••••••
        real estaten
      • M••••••••• R••••••••• L•••
        real estaten
      • M••••••••• U••••••••• I•••
        real estaten
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 1
        Oct 15, 2014 to Mar 31, 2015
      • Advisory activities · 1 to 2
        Oct 15, 2014 to Mar 31, 2015
      • Private funds · 2 to unset
        Oct 15, 2014 to Mar 31, 2015
      • Discretionary RAUM · $217M to $181M
        Oct 15, 2014 to Mar 31, 2015
      • RAUM · $217M to $181M
        Oct 15, 2014 to Mar 31, 2015
      • Related adviser · true to false
        Oct 15, 2014 to Mar 31, 2015
      Signals
      1 dated events
      • B••• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        Aug 15, 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