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••••••••• C••••••• L••

Former SEC-registered adviserBarrington, IllinoisCRD 174056SEC 801-80839IAPD
Latest filing Mar 14, 2019
First filing on the tape Jan 2, 2015 · 18 filings
RAUM
$1.5M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.5M as of Mar 14, 2019
Feb 25, 2016$32.2M then
HNW client RAUM$0 as of Mar 14, 2019
Mar 13, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 14, 2019
Feb 25, 20162 then
Employees (5.A)4 as of Mar 14, 2019
Feb 25, 20168 then
Private funds: 1
RAUM -31% over the last fiscal year-64% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 14, 2019; every figure names its basis
RAUM per advisor
$1.5MderivedRAUM 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
$88,762derivedRAUM 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
-31%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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
  • Other investment advisers$1.4M92%
  • Corporations and businesses$114,7067.6%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
17reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $1.4M managedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    B••••••••• G••••• A••••••••• L•••no longer reportedHedge Fund$13.7M4Jan 2, 2015
    Owners and control persons
    Schedule A and B, latest filing
    • P••••• Y••••••• K•••••• · Chief Operating Officercontrol
      since 01/2015 · owns less than 5%
    • P••••••••• N•••• R•• · Chief Investment Officercontrol
      since 07/2016 · owns less than 5%
    • S••••••• K••••• W• · Chief Compliance Officercontrol
      since 03/2016 · owns less than 5%
    • I••••••••• P•••• R•••••• · Member/Managercontrol
      since 01/2015 · owns F of I•••••••• C•••• L••
    • M••••••• C••••••••• J••• · Managercontrol
      since 01/2015 · owns F of C•••• C•••••• I••••••••• H•••••••• L••
    • P••••••••• N•••• R•• · Member/Managercontrol
      since 01/2015 · owns F of P•••••••• C•••• L••
    Entity owners
    • C•••• C••••••• L•• · Managing Member
      direct · owns 75% or more
    • C•••• C•••••• I••••••••• H•••••••• L•• · Member
      indirect · owns 75% or more of C•••• C••••••• L••
    • I•••••••• C•••• L•• · Member
      indirect · owns 25% to 50% of C•••• C•••••• I••••••••• H•••••••• L••
    • P•••••••• C•••• L•• · Member
      indirect · owns 50% to 75% of C•••• C•••••• I••••••••• H•••••••• L••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 20 to 17
      Mar 13, 2018 to Mar 14, 2019
    • BD registered reps · 0 to 1
      Mar 13, 2018 to Mar 14, 2019
    • Discretionary RAUM · $2.2M to $1.5M
      Mar 13, 2018 to Mar 14, 2019
    • RAUM · $2.2M to $1.5M
      Mar 13, 2018 to Mar 14, 2019
    • Wrap assets (manager) · $2.0M to $1.4M
      Mar 13, 2018 to Mar 14, 2019
    • Accounts · 56 to 20
      Dec 11, 2017 to Mar 13, 2018
    • Charity clients · unset to 0.0
      Dec 11, 2017 to Mar 13, 2018
    • Corporate clients · 11 to 4
      Dec 11, 2017 to Mar 13, 2018
    • HNW clients · unset to 0.0
      Dec 11, 2017 to Mar 13, 2018
    • Individual clients · 44 to 0
      Dec 11, 2017 to Mar 13, 2018
    • Pension plan clients · unset to 0.0
      Dec 11, 2017 to Mar 13, 2018
    • Pooled vehicle clients · unset to 0.0
      Dec 11, 2017 to Mar 13, 2018
    • Employees · 6 to 4
      Dec 11, 2017 to Mar 13, 2018
    • HQ city · CHICAGO to BARRINGTON
      Dec 11, 2017 to Mar 13, 2018
    • Discretionary RAUM · $8.3M to $2.2M
      Dec 11, 2017 to Mar 13, 2018
    • HNW RAUM · unset to 0.0
      Dec 11, 2017 to Mar 13, 2018
    • Individual RAUM · $7.9M to $0
      Dec 11, 2017 to Mar 13, 2018
    • Pension RAUM · $149,754 to $0
      Dec 11, 2017 to Mar 13, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Dec 11, 2017 to Mar 13, 2018
    • RAUM · $8.3M to $2.2M
      Dec 11, 2017 to Mar 13, 2018
    • Wrap assets (manager) · $8.0M to $2.0M
      Dec 11, 2017 to Mar 13, 2018
    • Corporate clients · unset to 11.0
      Jan 17, 2017 to Dec 11, 2017
    • Individual clients · unset to 44.0
      Jan 17, 2017 to Dec 11, 2017
    • Other offices · unset to 0.0
      Jan 17, 2017 to Dec 11, 2017
    • Individual RAUM · unset to 7876723.0
      Jan 17, 2017 to Dec 11, 2017
    • Pension RAUM · unset to 149754.0
      Jan 17, 2017 to Dec 11, 2017
    • Wrap assets (manager) · unset to 8026477.0
      Jan 17, 2017 to Dec 11, 2017
    • Wrap assets (sponsor) · unset to 0.0
      Jan 17, 2017 to Dec 11, 2017
    • Accounts · 65 to 56
      Dec 22, 2016 to Jan 17, 2017
    • Advisory employees · 1 to 2
      Dec 22, 2016 to Jan 17, 2017
    • Insurance-licensed employees · 0 to 1
      Dec 22, 2016 to Jan 17, 2017
    • State-registered IARs · 0 to 1
      Dec 22, 2016 to Jan 17, 2017
    • Discretionary RAUM · $11.2M to $8.3M
      Dec 22, 2016 to Jan 17, 2017
    • RAUM · $11.2M to $8.3M
      Dec 22, 2016 to Jan 17, 2017
    • Accounts · 120 to 65
      Jun 8, 2016 to Oct 12, 2016
    • Advisory employees · 3 to 1
      Jun 8, 2016 to Oct 12, 2016
    • Advisory activities · 3 to 2
      Jun 8, 2016 to Oct 12, 2016
    • BD registered reps · 1 to 0
      Jun 8, 2016 to Oct 12, 2016
    • Assets in custody · 14000000.0 to unset
      Jun 8, 2016 to Oct 12, 2016
    • Custody of client assets · true to false
      Jun 8, 2016 to Oct 12, 2016
    Signals
    3 dated events
    • N Richard Garman (Manager) no longer on Schedule A of B••••••••• C••••••• L•• (listed 2018-03-13, absent 2019-03-14)
      Mar 14, 2019 · Control person left · inference
    • Burriss David Boon (Chief Financial Officer) no longer on Schedule A of B••••••••• C••••••• L•• (listed 2018-03-13, absent 2019-03-14)
      Mar 14, 2019 · Control person left · inference
    • B••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)
      Jan 2, 2015 · 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