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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SEC-registered adviser

B•••••• S••••••• A•••• M••••••••• L••

Asset manager (funds and pooled vehicles)Cos Cob, ConnecticutCRD 283907SEC 801-130731websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Jun 21, 2024 · 4 filings
SEC status approved since Jul 25, 2024
RAUM
$207M
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$207M as of Mar 31, 2026
Mar 31, 2025$195M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20250 then
Employees (5.A)6 as of Mar 31, 2026
Mar 31, 20256 then
Private funds1 as of Mar 31, 2026
Mar 31, 20251 then
RAUM +6.3% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
$207MderivedRAUM 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
+6.3%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
$59.8M, 1 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$207M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$59.8M for 1 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=6.0derived
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
      S•••• F••• I• L•Private Equity Fund$200M7Jun 21, 2024
      Owners and control persons
      Schedule A and B, latest filing
      • L••• J••••• · Vice President/Chief Compliance Officercontrol
        since 12/2015 · owns less than 5%
      • M•••••• M••••••• D••••• · Executive Managing Directorcontrol
        since 12/2015 · owns less than 5%
      • M•••••• M••••••• D••••• · Trusteecontrol
        since 12/2018 · owns F of M•••••• D••••• M••••• R•••••••• L••••• T••••
      Entity owners
      • B••• H••••••• L•• · Sole Owner
        direct · owns 75% or more
      • B•••••• H••••••• L•• · Managing Member
        indirect · owns 75% or more of B••• H••••••• L••
      • M•••••• D••••• M••••• R•••••••• L••••• T•••• · Managing Member
        indirect · owns 75% or more of B•••••• 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
      • Assets in custody · $32.1M to $59.8M
        Mar 31, 2025 to Mar 31, 2026
      • Discretionary RAUM · $195M to $207M
        Mar 31, 2025 to Mar 31, 2026
      • Pooled vehicle RAUM · $195M to $207M
        Mar 31, 2025 to Mar 31, 2026
      • RAUM · $195M to $207M
        Mar 31, 2025 to Mar 31, 2026
      • Advisory employees · 4 to 5
        Jul 19, 2024 to Mar 31, 2025
      • BD registered reps · 4 to 6
        Jul 19, 2024 to Mar 31, 2025
      • Assets in custody · $22.5M to $32.1M
        Jul 19, 2024 to Mar 31, 2025
      • Employees · 4 to 6
        Jul 19, 2024 to Mar 31, 2025
      • Financial planning clients · unset to
        Jul 19, 2024 to Mar 31, 2025
      • State-registered IARs · 2 to 0
        Jul 19, 2024 to Mar 31, 2025
      • Discretionary RAUM · $200M to $195M
        Jul 19, 2024 to Mar 31, 2025
      • Pooled vehicle RAUM · $200M to $195M
        Jul 19, 2024 to Mar 31, 2025
      • RAUM · $200M to $195M
        Jul 19, 2024 to Mar 31, 2025
      Signals
      1 dated events
      • B•••••• S••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 21, 2024 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      b•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      203-862-4800reportedpublic record, Form ADV, Mar 31, 2026
      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
      Asset manager (funds and pooled vehicles)deriveda 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