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••••••••• A•••• M••••••••• L••

Former SEC-registered adviserRochester, New YorkCRD 281847SEC 801-107120IAPD
Latest filing Aug 21, 2019
First filing on the tape Dec 28, 2015 · 13 filings
RAUM
$3.4B
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
90
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$3.4B as of Mar 29, 2019
Mar 14, 2017$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 14, 20170 then
Employees (5.A)90 as of Mar 29, 2019
Mar 14, 201763 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Aug 21, 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
$1.1BderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+25%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 pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$22.3M, 2 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$3.4B99%
  • Investment companies$33.3M1.0%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$22.3M for 2 clientsreported
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
      • A•••••• R•••• M•••••• · Evp And Chief Financial Officercontrol
        since 02/2017 · owns less than 5%
      • C•••••• J•••• I• · Chief Compliance Officer, Vp And General Counselcontrol
        since 07/2018 · owns less than 5%
      • C••••••••• C••••••••• J•••• · Chief Executive Officer, President And Elected Managercontrol
        since 07/2018 · owns less than 5%
      • K•••• A•••• S•••••• · Elected Managercontrol
        since 07/2015 · owns less than 5%
      • L•••••• J•••••• B•••••• · Elected Managercontrol
        since 07/2015 · owns less than 5%
      • M••••••• J•••• D•••• · Evp, Chief Operating Officer And Secretarycontrol
        since 07/2018 · owns less than 5%
      • T•••• A••• L•••••••• · Executive Chairman And Elected Managercontrol
        since 07/2018 · owns less than 5%
      • C••••• J••••• D••••• · Membercontrol
        since 03/2005 · owns 75% or more of J• T•••••• G•• L••
      • D••••• C••••••• A••••• · Membercontrol
        since 12/2013 · owns 75% or more of Cd T•••••• Vi LLC
      • F•••••••• S••••••• N•• · Membercontrol
        since 12/2013 · owns 75% or more of Sf T•••••• Vi LLC
      • T•••• A••• L•••••••• · Ownercontrol
        since 07/2015 · owns 25% to 50% of B••••••••• R••• E•••••• L••
      • W••••••• D••••• J•• · Membercontrol
        since 12/2013 · owns 75% or more of Dw T•••••• Vi LLC
      • Z•••••• N••••••• D•••• · Membercontrol
        since 12/2013 · owns 75% or more of Nz T•••••• Vi LLC
      Entity owners
      • B••••••••• R••• E•••••• L•• · Managing Member
        direct · owns 75% or more
      • C• T•••••• V•• L•• · General Partner
        indirect · owns F of T•••••• C•••••• V•• L•
      • D• T•••••• V•• L•• · General Partner
        indirect · owns F of T•••••• C•••••• V•• L•
      • J• T•••••• G•• L•• · General Partner
        indirect · owns F of T•••••• C•••••• V•• L•
      • N• T•••••• V•• L•• · General Partner
        indirect · owns F of T•••••• C•••••• V•• L•
      • S• T•••••• V•• L•• · General Partner
        indirect · owns F of T•••••• C•••••• V•• L•
      • T•••••• B•• H••••••• I•• I••• · Owner
        indirect · owns 25% to 50% of T•••••• B••• L••
      • T•••••• B•• H••••••• I•• L• · Owner
        indirect · owns 75% or more of T•••••• B•• H••••••• I•• I•••
      • T•••••• B••• L•• · Owner
        indirect · owns 25% to 50% of B••••••••• R••• E•••••• L••
      • T•••••• C•••••• V•• L• · General Partner
        indirect · owns F of T•••••• B•• H••••••• I•• L•
      • T•••••• C•••••• V•• L• · General Partner
        indirect · owns F of T•••••• V• P••••••• A•••••• L•
      • T•••••• V• P••••••• A•••••• L• · Owner And Limited Partner
        indirect · owns 75% or more of T•••••• B•• H••••••• I•• L•
      • T•••••• V•• L• · Managing Member
        indirect · owns 25% to 50% of T•••••• B••• L••
      • C•• I••••••••• B•••• •••• I•• I••• · Owner
        indirect · owns 25% to 50% of T•••••• V• P••••••• A•••••• L•
      Related persons
      Schedule D 7.A
      • B••••••••• R••• E•••••• L••
        investment companypooled vehicle sponsory
      • B•••••••• H••• R••••••• L••
        investment companyy
      • S•••• P•••• C•••••• L••
        investment adviseryRAUM $68B
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 3
        Oct 29, 2018 to Mar 29, 2019
      • Advisory activities · 1 to 2
        Oct 29, 2018 to Mar 29, 2019
      • Assets in custody · $73.2M to $22.3M
        Oct 29, 2018 to Mar 29, 2019
      • Employees · 73 to 90
        Oct 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $2.7B to $3.4B
        Oct 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $2.7B to $3.4B
        Oct 29, 2018 to Mar 29, 2019
      • RAUM · $2.7B to $3.4B
        Oct 29, 2018 to Mar 29, 2019
      • Other offices · 0 to 1
        Oct 12, 2018 to Oct 29, 2018
      • Advisory employees · 8 to 5
        Mar 14, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 14, 2017 to Mar 29, 2018
      • Assets in custody · $24.0M to $73.2M
        Mar 14, 2017 to Mar 29, 2018
      • Employees · 63 to 73
        Mar 14, 2017 to Mar 29, 2018
      • Financial planning clients · 1-10 to 0
        Mar 14, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 14, 2017 to Mar 29, 2018
      • Discretionary RAUM · $2.1B to $2.7B
        Mar 14, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 2723022948.0
        Mar 14, 2017 to Mar 29, 2018
      • RAUM · $2.1B to $2.7B
        Mar 14, 2017 to Mar 29, 2018
      • Advisory employees · 16 to 8
        Jan 17, 2017 to Mar 14, 2017
      • Assets in custody · $27.8M to $24.0M
        Jan 17, 2017 to Mar 14, 2017
      • Employees · 46 to 63
        Jan 17, 2017 to Mar 14, 2017
      • Financial planning clients · unset to 1-10
        Jan 17, 2017 to Mar 14, 2017
      • Discretionary RAUM · $1.5B to $2.1B
        Jan 17, 2017 to Mar 14, 2017
      • RAUM · $1.5B to $2.1B
        Jan 17, 2017 to Mar 14, 2017
      • Advisory employees · 15 to 16
        Jan 8, 2016 to Mar 28, 2016
      • Assets in custody · $31.5M to $27.8M
        Jan 8, 2016 to Mar 28, 2016
      • Employees · 42 to 46
        Jan 8, 2016 to Mar 28, 2016
      • Discretionary RAUM · $1.2B to $1.5B
        Jan 8, 2016 to Mar 28, 2016
      • RAUM · $1.2B to $1.5B
        Jan 8, 2016 to Mar 28, 2016
      Signals
      3 dated events
      • Susan Michelle Fisher (Chief Compliance Officer) no longer on Schedule A of B••••••••• A•••• M••••••••• L•• (listed 2019-03-29, absent 2019-08-21)
        Aug 21, 2019 · Control person left · inference
      • B••••••••• A•••• M••••••••• L•• reported RAUM $2.7B, up 31% from $2.1B (2017-03-14 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • B••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 28, 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