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••••••••• I••••••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 283896SEC 801-108396IAPD
Latest filing May 17, 2018
First filing on the tape May 18, 2016 · 6 filings
RAUM
$226M
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
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$393M gross assets
History
6 filings and snapshots on the tape
RAUM$226M as of Mar 15, 2018
Mar 29, 2017$159M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 15, 2018
Mar 29, 20170 then
Employees (5.A)7 as of Mar 15, 2018
Mar 29, 20176 then
Private funds2 as of Mar 15, 2018
Mar 29, 20171 then
RAUM +42% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 17, 2018; 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
$113MderivedRAUM 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
+42%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 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
  • Pooled investment vehicles$226M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
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••••••••• L•••••• L•Real Estate Fund$197M7Jan 10, 2017
      L•••••• R••••• R••• L••Real Estate Fund$196M126Mar 15, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • D•••• C••••••• J•••• · Chief Compliance Officercontrol
        since 04/2016 · owns less than 5%
      • I••••• D•••••• R•••• · Managing Directorcontrol
        since 04/2016 · owns less than 5%
      • L••• D••••••• B•••• · Managing Directorcontrol
        since 04/2016 · owns less than 5%
      • R•••••• J•••• A••••• · Managing Directorcontrol
        since 04/2016 · owns less than 5%
      Entity owners
      • B••••••••• C•••••• P••••••• L•• · Sole Member
        direct · owns 75% or more
      • C•••• V•••• C••• L••• · Shareholder
        indirect · owns 75% or more of S••••••• V•••• I••••••••• M••••••••• C•• L•••
      • S••••••• V•••• I••••••••• M••••••••• C•• L••• · Shareholder
        indirect · owns 75% or more of S••••••• V•••• R••• E••••• C•• L•••
      • S••••••• V•••• R••• E••••• C•• L••• · Shareholder
        indirect · owns 75% or more of V•••• P••••••• •••• K•••• C•••••• L••••••
      • V•••• A•••• M••••••••• L•• · Member
        indirect · owns 75% or more of B••••••••• C•••••• P••••••• L••
      • V•••• H••••••• U•• L•• · Member
        indirect · owns 75% or more of V•••• A•••• M••••••••• L••
      • V•••• P••••••• •••• K•••• C•••••• L•••••• · Member
        indirect · owns 75% or more of V•••• H••••••• U•• L••
      Related persons
      Schedule D 7.A
      • B•• L•••••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 2
        Mar 29, 2017 to Mar 15, 2018
      • Advisory employees · 6 to 7
        Mar 29, 2017 to Mar 15, 2018
      • BD registered reps · 0 to 1
        Mar 29, 2017 to Mar 15, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 29, 2017 to Mar 15, 2018
      • Employees · 6 to 7
        Mar 29, 2017 to Mar 15, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 15, 2018
      • Private funds · 1 to 2
        Mar 29, 2017 to Mar 15, 2018
      • Discretionary RAUM · $0 to $226M
        Mar 29, 2017 to Mar 15, 2018
      • Non-discretionary RAUM · $159M to $0
        Mar 29, 2017 to Mar 15, 2018
      • Pooled vehicle RAUM · unset to 225847482.0
        Mar 29, 2017 to Mar 15, 2018
      • RAUM · $159M to $226M
        Mar 29, 2017 to Mar 15, 2018
      • Advisory employees · 3 to 6
        Jan 10, 2017 to Mar 29, 2017
      • Discretionary RAUM · $156M to $0
        Jan 10, 2017 to Mar 29, 2017
      • Non-discretionary RAUM · $0 to $159M
        Jan 10, 2017 to Mar 29, 2017
      • RAUM · $156M to $159M
        Jan 10, 2017 to Mar 29, 2017
      • Accounts · unset to 1.0
        Sep 7, 2016 to Jan 10, 2017
      • Advisory activities · 3 to 1
        Sep 7, 2016 to Jan 10, 2017
      • Employees · 3 to 6
        Sep 7, 2016 to Jan 10, 2017
      • Private funds · unset to 1
        Sep 7, 2016 to Jan 10, 2017
      • Discretionary RAUM · unset to 155764647.0
        Sep 7, 2016 to Jan 10, 2017
      • Non-discretionary RAUM · unset to 0.0
        Sep 7, 2016 to Jan 10, 2017
      • RAUM · unset to 155764647.0
        Sep 7, 2016 to Jan 10, 2017
      Signals
      1 dated events
      • B••••••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        May 18, 2016 · 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
      Across the graphs

      B••••••••• I••••••••• A••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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