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••• H••• C•••••• M••••••••• L•

Former SEC-registered adviserRed Bank, New JerseyCRD 174171SEC 801-80794IAPD
Latest filing Mar 27, 2017
First filing on the tape Dec 19, 2014 · 6 filings
RAUM
$238M
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
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$135M gross assets
History
6 filings and snapshots on the tape
RAUM$238M as of Mar 27, 2017
Mar 14, 2016$267M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2017
Mar 14, 20160 then
Employees (5.A)5 as of Mar 27, 2017
Mar 14, 20166 then
Private funds1 as of Mar 27, 2017
Mar 14, 20161 then
RAUM -11% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2017; 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
$79.3MderivedRAUM 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
-11%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$135M, 3 clientsreportedItem 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)
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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$135M for 3 clientsreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••• H••• G••••• M•••• M••••• F••• L•Hedge Fund$135M7May 11, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• L•••• · Managing Member, B••• H••• A••••••• L••control
        since 10/2014 · owns 75% or more
      • D• D••••• G••••••••• G•••• · Chief Compliance Officer, B••• H••• C•••••• M••••••••• L•control
        since 12/2014 · owns less than 5%
      • B•••• L•••• · Managing Membercontrol
        since 08/2014 · owns 75% or more of B••• H••• C•••••• M••••••••• G• L••
      Entity owners
      • B••• H••• C•••••• M••••••••• G• L•• · General Partner, B••• H••• C•••••• M••••••••• L•
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • B••• H••• A••••••• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Mar 30, 2016 to Mar 27, 2017
      • Advisory employees · 3 to 2
        Mar 30, 2016 to Mar 27, 2017
      • Assets in custody · $173M to $135M
        Mar 30, 2016 to Mar 27, 2017
      • Employees · 6 to 5
        Mar 30, 2016 to Mar 27, 2017
      • Discretionary RAUM · $267M to $238M
        Mar 30, 2016 to Mar 27, 2017
      • RAUM · $267M to $238M
        Mar 30, 2016 to Mar 27, 2017
      • Accounts · 3 to 4
        Aug 7, 2015 to Mar 14, 2016
      • Advisory employees · 2 to 3
        Aug 7, 2015 to Mar 14, 2016
      • Advisory activities · 1 to 2
        Aug 7, 2015 to Mar 14, 2016
      • Assets in custody · $137M to $173M
        Aug 7, 2015 to Mar 14, 2016
      • Discretionary RAUM · $137M to $267M
        Aug 7, 2015 to Mar 14, 2016
      • RAUM · $137M to $267M
        Aug 7, 2015 to Mar 14, 2016
      • Accounts · unset to 3.0
        Dec 19, 2014 to May 11, 2015
      • Advisory activities · 2 to 1
        Dec 19, 2014 to May 11, 2015
      • Assets in custody · unset to 137200000.0
        Dec 19, 2014 to May 11, 2015
      • Custody of client assets · false to true
        Dec 19, 2014 to May 11, 2015
      • Private funds · unset to 1
        Dec 19, 2014 to May 11, 2015
      • Discretionary RAUM · unset to 137200000.0
        Dec 19, 2014 to May 11, 2015
      • Non-discretionary RAUM · unset to 0.0
        Dec 19, 2014 to May 11, 2015
      • RAUM · unset to 137200000.0
        Dec 19, 2014 to May 11, 2015
      • Related adviser · false to true
        Dec 19, 2014 to May 11, 2015
      • Related bank · false to true
        Dec 19, 2014 to May 11, 2015
      Signals
      1 dated events
      • B••• H••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Dec 19, 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