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••••••••• C•••••• L•
Latest filing Mar 12, 2021
First filing on the tape Sep 1, 2016 · 8 filings
RAUM
$1.5B
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
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$1.3B gross assets
History
8 filings and snapshots on the tape
RAUM$1.5B as of Mar 12, 2021
Mar 13, 2017$379M then
HNW client RAUM$0 as of Mar 12, 2021
Mar 21, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 12, 2021
Mar 13, 20170 then
Employees (5.A)10 as of Mar 12, 2021
Mar 13, 20175 then
Private funds1 as of Mar 12, 2021
Mar 13, 20171 then
RAUM +50% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 12, 2021; 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
- $303MderivedRAUM 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
- +50%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
- Custody
- $828M, 2 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
- Pooled investment vehicles$1.5B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $828M for 2 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••••• I••••••••• M••••• F••• L••• | Hedge Fund | $1.3B | 22 | Sep 1, 2016 |
Owners and control persons
Schedule A and B, latest filing
- T•••••• S••••• N•• · Chief Financial Officer And Chief Compliance Officercontrolsince 08/2016 · owns less than 5%
- W•••••• S•••• A••• · Managing Member, Principalcontrolsince 07/2016 · owns 50% to 75%
- B••••••• P•••••• P•••••• · Shareholdercontrolsince 09/2010 · owns 75% or more of P•• H••••••• A•
- W•••••• S•••• A••• · Managing Membercontrolsince 07/2016 · owns 75% or more of S•• I• L••
Entity owners
- B•• A••••••• I•• · Limited Partnerdirect · owns 25% to 50%
- B••••••••• G• L•• · General Partnerdirect · owns less than 5%
- S•• I• L•• · Limited Partnerdirect · owns 50% to 75%
- B•• A••••••• I•• · Memberindirect · owns 25% to 50% of B••••••••• G• L••
- B•• I••••••••• 2• A• · Shareholderindirect · owns 75% or more of B•• A••••••• I••
- B•••••• • P••••••• A• · Shareholderindirect · owns 75% or more of B•• I••••••••• 2• A•
- P•• H••••••• A• · Shareholderindirect · owns 25% to 50% of B•••••• • P••••••• A•
- S•• I• L•• · Memberindirect · owns 50% to 75% of B••••••••• G• L••
Related persons
Schedule D 7.A
- B•••• G• L••bankpooled vehicle sponsorn
- B•••••• • P••••••• A•y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 5Mar 23, 2020 to Mar 12, 2021
- Pooled vehicle clients · 4 to 5Mar 23, 2020 to Mar 12, 2021
- Assets in custody · $933M to $828MMar 23, 2020 to Mar 12, 2021
- Discretionary RAUM · $1.0B to $1.5BMar 23, 2020 to Mar 12, 2021
- Pooled vehicle RAUM · $1.0B to $1.5BMar 23, 2020 to Mar 12, 2021
- RAUM · $1.0B to $1.5BMar 23, 2020 to Mar 12, 2021
- Accounts · 3 to 4Mar 19, 2019 to Mar 23, 2020
- Pooled vehicle clients · 3 to 4Mar 19, 2019 to Mar 23, 2020
- Assets in custody · $882M to $933MMar 19, 2019 to Mar 23, 2020
- Employees · 9 to 10Mar 19, 2019 to Mar 23, 2020
- Discretionary RAUM · $882M to $1.0BMar 19, 2019 to Mar 23, 2020
- Pooled vehicle RAUM · $882M to $1.0BMar 19, 2019 to Mar 23, 2020
- RAUM · $882M to $1.0BMar 19, 2019 to Mar 23, 2020
- Assets in custody · $906M to $882MMar 21, 2018 to Mar 19, 2019
- Employees · 8 to 9Mar 21, 2018 to Mar 19, 2019
- Discretionary RAUM · $906M to $882MMar 21, 2018 to Mar 19, 2019
- Pooled vehicle RAUM · $906M to $882MMar 21, 2018 to Mar 19, 2019
- RAUM · $906M to $882MMar 21, 2018 to Mar 19, 2019
- Advisory employees · 3 to 5Mar 13, 2017 to Mar 21, 2018
- Charity clients · unset to 0.0Mar 13, 2017 to Mar 21, 2018
- Corporate clients · unset to 0.0Mar 13, 2017 to Mar 21, 2018
- HNW clients · unset to 0.0Mar 13, 2017 to Mar 21, 2018
- Individual clients · unset to 0.0Mar 13, 2017 to Mar 21, 2018
- Pension plan clients · unset to 0.0Mar 13, 2017 to Mar 21, 2018
- Pooled vehicle clients · unset to 3.0Mar 13, 2017 to Mar 21, 2018
- Assets in custody · $261M to $906MMar 13, 2017 to Mar 21, 2018
- Employees · 5 to 8Mar 13, 2017 to Mar 21, 2018
- Other offices · unset to 0.0Mar 13, 2017 to Mar 21, 2018
- Discretionary RAUM · $379M to $906MMar 13, 2017 to Mar 21, 2018
- HNW RAUM · unset to 0.0Mar 13, 2017 to Mar 21, 2018
- Individual RAUM · unset to 0.0Mar 13, 2017 to Mar 21, 2018
- Pension RAUM · unset to 0.0Mar 13, 2017 to Mar 21, 2018
- Pooled vehicle RAUM · unset to 906001270.0Mar 13, 2017 to Mar 21, 2018
- RAUM · $379M to $906MMar 13, 2017 to Mar 21, 2018
- Assets in custody · $266M to $261MJan 4, 2017 to Mar 13, 2017
- Discretionary RAUM · $360M to $379MJan 4, 2017 to Mar 13, 2017
- RAUM · $360M to $379MJan 4, 2017 to Mar 13, 2017
- Accounts · 0 to 3Sep 6, 2016 to Jan 4, 2017
- Advisory employees · 2 to 3Sep 6, 2016 to Jan 4, 2017
- Assets in custody · $0 to $266MSep 6, 2016 to Jan 4, 2017
Signals
3 dated events
- B••••••••• C•••••• L• reported RAUM $1.5B, up 50% from $1.0B (2020-03-23 to 2021-03-12)Mar 12, 2021 · RAUM change · derived
- B••••••••• C•••••• L• reported RAUM $906.0M, up 139% from $379.2M (2017-03-13 to 2018-03-21)Mar 21, 2018 · RAUM change · derived
- B••••••••• C•••••• L• filed its initial SEC registration (Form ADV)Sep 1, 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