DFX Intelligence

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B•••• B•• C•••••• M••••••••• L•

Other adviserSEC-registered· New York, New Yorkwebsite

Other adviser, based in New York, New York, reporting $1.9B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-09-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $1.9B
Advisors: 0
RAUM change, 1 year: +29%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-09-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

3 changes
ownership and control
1 control person joined and 2 left Schedule A in the last 12 months.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
+28.6%
RAUM, one year
RAUM $1.47B to $1.89B (+28.6%) on the Form ADV filed 15 Sep 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 284341 · SEC 801-108145 · 19 filingsShow

CRD 284341SEC 801-108145First filing on the tape Jul 13, 2016, latest Sep 15, 2026SEC status approved since Aug 1, 2016IAPD

RAUM

$1.9B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM -0.3% a year over three years · the tape starts Jul 13, 2016

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$1.9B as of Jul 24, 2026

Mar 28, 2017$34.2M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jul 24, 2026

Mar 28, 20170 then

Employees (5.A)10 as of Jul 24, 2026

Mar 28, 20176 then

Private funds1 as of Jul 24, 2026

Mar 28, 20171 then

RAUM +29% over the last fiscal year-0.3% a year over threeIARs 0 to 0offices 0 to 1

Practice profile

derived from the filing of Sep 15, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $472MderivedRAUM 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: +29%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: $187M, 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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

90% corporations and businesses, 9.9% pooled investment vehicles

The breakdown by client type, and the client counts2 client typesShow

Corporations and businesses$1.7B90%
Pooled investment vehicles$187M9.9%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $187M for 3 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 10% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
B••• M••••• F••• L••	Hedge Fund	$187M	24	Nov 28, 2016

Owners and control persons

Schedule A and B, latest filing

G••••••• R••••••• S•••• · Founding Partner / Limited Partnercontrol
since 11/2015 · owns 75% or more
H•••••• L••••••• M•••• · Chief Compliance Officercontrol
since 01/2023 · owns less than 5%
S••••••• D••••• G•••••• · Chief Operating Officercontrol
since 03/2016 · owns less than 5%
G••••••• R••••••• S•••• · Managing Membercontrol
since 11/2015 · owns 75% or more of B•••• B•• C•••••• M••••••••• G•• L••

Entity owners

B•••• B•• C•••••• M••••••••• G•• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

B••• G• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · to unset
Jul 24, 2026 to Sep 15, 2026
Private funds · 1 to unset
Jul 24, 2026 to Sep 15, 2026
Succession · false to unset
Jul 24, 2026 to Sep 15, 2026
Assets in custody · $340M to $187M
Jan 27, 2026 to Mar 31, 2026
Employees · 12 to 10
Jan 27, 2026 to Mar 31, 2026

Full history · 73 changes

Discretionary RAUM · $1.5B to $1.9B
Jan 27, 2026 to Mar 31, 2026
Pooled vehicle RAUM · $340M to $187M
Jan 27, 2026 to Mar 31, 2026
RAUM · $1.5B to $1.9B
Jan 27, 2026 to Mar 31, 2026
Other offices · 0 to 1
Mar 25, 2025 to Aug 13, 2025
Accounts · 3 to 4
Mar 26, 2024 to Mar 25, 2025
Assets in custody · $1.8B to $340M
Mar 26, 2024 to Mar 25, 2025
Employees · 11 to 12
Mar 26, 2024 to Mar 25, 2025
Financial planning clients · unset to
Mar 26, 2024 to Mar 25, 2025
Discretionary RAUM · $1.8B to $1.5B
Mar 26, 2024 to Mar 25, 2025
Pooled vehicle RAUM · $1.8B to $340M
Mar 26, 2024 to Mar 25, 2025
RAUM · $1.8B to $1.5B
Mar 26, 2024 to Mar 25, 2025
Accounts · 4 to 3
Mar 30, 2023 to Mar 26, 2024
Corporate clients · unset to 1.0
Mar 30, 2023 to Mar 26, 2024
Assets in custody · $1.8B to $1.8B
Mar 30, 2023 to Mar 26, 2024
Discretionary RAUM · $1.8B to $1.8B
Mar 30, 2023 to Mar 26, 2024
Non-discretionary RAUM · $102M to $0
Mar 30, 2023 to Mar 26, 2024
Pooled vehicle RAUM · $1.8B to $1.8B
Mar 30, 2023 to Mar 26, 2024
RAUM · $1.9B to $1.8B
Mar 30, 2023 to Mar 26, 2024
Advisory employees · 5 to 7
Jan 9, 2023 to Mar 30, 2023
Assets in custody · $2.1B to $1.8B
Jan 9, 2023 to Mar 30, 2023
Employees · 9 to 11
Jan 9, 2023 to Mar 30, 2023
Discretionary RAUM · $2.1B to $1.8B
Jan 9, 2023 to Mar 30, 2023
Non-discretionary RAUM · $101M to $102M
Jan 9, 2023 to Mar 30, 2023
Pooled vehicle RAUM · $2.1B to $1.8B
Jan 9, 2023 to Mar 30, 2023
RAUM · $2.2B to $1.9B
Jan 9, 2023 to Mar 30, 2023
Advisory employees · 6 to 5
Mar 31, 2021 to Mar 30, 2022
Assets in custody · $0 to $2.1B
Mar 31, 2021 to Mar 30, 2022
Employees · 10 to 9
Mar 31, 2021 to Mar 30, 2022
Discretionary RAUM · $2.1B to $2.1B
Mar 31, 2021 to Mar 30, 2022
Non-discretionary RAUM · $64.0M to $101M
Mar 31, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $2.1B to $2.1B
Mar 31, 2021 to Mar 30, 2022
RAUM · $2.2B to $2.2B
Mar 31, 2021 to Mar 30, 2022
Related bank · true to false
Mar 31, 2021 to Mar 30, 2022
Advisory employees · 5 to 6
Mar 27, 2020 to Mar 31, 2021
Advisory activities · 1 to 2
Mar 27, 2020 to Mar 31, 2021
Employees · 9 to 10
Mar 27, 2020 to Mar 31, 2021
Discretionary RAUM · $1.1B to $2.1B
Mar 27, 2020 to Mar 31, 2021
Non-discretionary RAUM · $26.3M to $64.0M
Mar 27, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $1.1B to $2.1B
Mar 27, 2020 to Mar 31, 2021
RAUM · $1.1B to $2.2B
Mar 27, 2020 to Mar 31, 2021
Accounts · 3 to 4
Mar 27, 2019 to Mar 27, 2020
Advisory employees · 4 to 5
Mar 27, 2019 to Mar 27, 2020
Employees · 8 to 9
Mar 27, 2019 to Mar 27, 2020
Discretionary RAUM · $574M to $1.1B
Mar 27, 2019 to Mar 27, 2020
Non-discretionary RAUM · $0 to $26.3M
Mar 27, 2019 to Mar 27, 2020
Pooled vehicle RAUM · $574M to $1.1B
Mar 27, 2019 to Mar 27, 2020
RAUM · $574M to $1.1B
Mar 27, 2019 to Mar 27, 2020
Advisory employees · 3 to 4
Mar 26, 2018 to Mar 27, 2019
Employees · 6 to 8
Mar 26, 2018 to Mar 27, 2019
Discretionary RAUM · $84.2M to $574M
Mar 26, 2018 to Mar 27, 2019
Pooled vehicle RAUM · $84.2M to $574M
Mar 26, 2018 to Mar 27, 2019
RAUM · $84.2M to $574M
Mar 26, 2018 to Mar 27, 2019
Pooled vehicle clients · unset to 3.0
May 17, 2017 to Mar 26, 2018
Other offices · unset to 0.0
May 17, 2017 to Mar 26, 2018
Discretionary RAUM · $42.9M to $84.2M
May 17, 2017 to Mar 26, 2018
Pooled vehicle RAUM · unset to 84242954.0
May 17, 2017 to Mar 26, 2018
RAUM · $42.9M to $84.2M
May 17, 2017 to Mar 26, 2018
Discretionary RAUM · $34.2M to $42.9M
Mar 28, 2017 to May 17, 2017
RAUM · $34.2M to $42.9M
Mar 28, 2017 to May 17, 2017
Assets in custody · $31.5M to $0
Nov 28, 2016 to Mar 28, 2017
Discretionary RAUM · $31.5M to $34.2M
Nov 28, 2016 to Mar 28, 2017
RAUM · $31.5M to $34.2M
Nov 28, 2016 to Mar 28, 2017
Accounts · 0 to 3
Jul 14, 2016 to Nov 28, 2016
Assets in custody · unset to 31500000.0
Jul 14, 2016 to Nov 28, 2016
Custody of client assets · false to true
Jul 14, 2016 to Nov 28, 2016
Private funds · unset to 1
Jul 14, 2016 to Nov 28, 2016
Discretionary RAUM · $0 to $31.5M
Jul 14, 2016 to Nov 28, 2016
RAUM · $0 to $31.5M
Jul 14, 2016 to Nov 28, 2016

Signals

14 dated events

••• Locked
Sep 15, 2026 · Control person joined · fact
••• Locked
Sep 15, 2026 · ria principal change · derived
••• Locked
Sep 15, 2026 · ria principal change · fact
••• Locked
Sep 15, 2026 · ria principal change · derived
••• Locked
Sep 15, 2026 · ria office opened · fact

Full timeline · 14 events

••• Locked
Sep 15, 2026 · Control person left · inference
••• Locked
Sep 15, 2026 · Control person left · inference
••• Locked
Sep 15, 2026 · private fund gav change · fact
••• Locked
Mar 31, 2026 · RAUM change · derived
••• Locked
Jan 9, 2023 · Control person joined · fact
••• Locked
Mar 31, 2021 · RAUM change · derived
••• Locked
Mar 27, 2020 · RAUM change · derived
••• Locked
Mar 27, 2019 · RAUM change · derived
••• Locked
Jul 13, 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.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Sep 15, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 15, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Other adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.