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•••••• C••••• C•• A•••••••• L•

Former SEC-registered adviserBoston, MassachusettsCRD 285892SEC 801-108651IAPD
Latest filing Jan 8, 2020
First filing on the tape Nov 4, 2016 · 11 filings
RAUM
$2.1B
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
350
144 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$2.1B gross assets
History
11 filings and snapshots on the tape
RAUM$2.1B as of Mar 29, 2019
Mar 31, 2017$525M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 31, 20170 then
Employees (5.A)350 as of Mar 29, 2019
Mar 31, 2017291 then
Private funds4 as of Mar 29, 2019
Mar 31, 20171 then
RAUM +109% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 8, 2020; 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
$534MderivedRAUM 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
+109%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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.1B100%
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
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• D••••••• S••••• D•• · Managing D•••••Or And Chief Financial Officercontrol
        since 11/2016 · owns less than 5%
      • H••••••• J••••••• B••••• · Managing D•••••Or And Chief Operating Officercontrol
        since 11/2016 · owns less than 5%
      • V••••• A•••••• S•••• · Managing D•••••Or, Global Head Of Operationscontrol
        since 11/2016 · owns less than 5%
      • W••••• S••••••••• N•••••••• · Managing D•••••Orcontrol
        since 01/2018 · owns less than 5%
      • W•••• G••••••• J••• · Managing D•••••Orcontrol
        since 01/2020 · owns less than 5%
      • W••••• I••• J•••• J•• · Managing D•••••Orcontrol
        since 01/2014 · owns less than 5%
      • B•••••• S•••••• W•••••• · Partnercontrol
        since 01/2001 · owns F of B••• C•••••• H•••••••• L•
      • B••••••••• J•••••• N•• · Partnercontrol
        since 10/1984 · owns F of B••• C•••••• H•••••••• L•
      • C••••••••• J•••• P•••••• · Partnercontrol
        since 12/1997 · owns F of B••• C•••••• H•••••••• L•
      • K•••••• M••••••• A••• · Partnercontrol
        since 12/1997 · owns F of B••• C•••••• H•••••••• L•
      • L•••••• J•••••••• S•••• · Partnercontrol
        since 12/1997 · owns F of B••• C•••••• H•••••••• L•
      • P•••••••• S••••••• G••••• · Partnercontrol
        since 09/1989 · owns F of B••• C•••••• H•••••••• L•
      • W•••• M••••••• D• C••••• · Partnercontrol
        since 01/2005 · owns F of B••• C•••••• H•••••••• L•
      • G••••••• J•••• · Chief Compliance Officer - Clo Advisors
        since 03/2019 · owns less than 5%
      • T•••••••• M••••••• B•••••• · General Counsel
        since 05/2018 · owns less than 5%
      • W••••••• S••••• F••••••• · Managing D•••••Or
        since 01/2018 · owns less than 5%
      • G••••• C••••••••• G•••••• · Partner
        since 09/2018 · owns F of B••• C•••••• H•••••••• L•
      Entity owners
      • B••• C•••••• C••••• C•• A••••••• •••• L•• · General Partner
        direct · owns less than 5%
      • B••• C•••••• C•••••• L• · L•••••• Partner
        direct · owns 75% or more
      • B••• C•••••• •••• L•• · General Partner
        indirect · owns F of B••• C••••••• L•
      • B••• C•••••• C••••• •••• L•• · General Partner
        indirect · owns F of B••• C•••••• C•••••• L•
      • B••• C•••••• C•••••• L• · M•••••
        indirect · owns 75% or more of B••• C•••••• C••••• C•• A••••••• •••• L••
      • B••• C•••••• H•••••••• L• · L•••••• Partner
        indirect · owns F of B••• C••••••• L•
      • B••• C••••••• L• · L•••••• Partner
        indirect · owns F of B••• C•••••• C•••••• L•
      Related persons
      Schedule D 7.A
      • 1•• C•••••• I••••••••• L••
        pooled vehicle sponsorn
      • B••• C•••••• C•• I••••••••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• C••••• ••••• L••••••
        investment advisern
      • B••• C•••••• C••••• ••••••••• P••• L••••••
        investment advisern
      • B••• C•••••• C••••• M•••••• A•••••• I•••••••• •••••••• L••
        pooled vehicle sponsorn
      • B••• C•••••• C••••• M•••••• A•••••• I•••••••• ••••••••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• C••••• M•••••• A•••••• I•••••••• ••••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• C••••• M•••••• A•••••• I•••••••• ••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• C••••• M•••••• A•••••• I•••••••• ••••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• C••••• M•••••• A•••••• I•••••••• ••••••• M••••••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• C••••• M•••••• A•••••• I•••••••• ••••••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• C••••• M•••••• A•••••• I•••••••• •••••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• C••••• M•••••• A•••••• I•••••••• •••••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• C••••• M•••••• A•••••• I•••••••• •••••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• C••••• M•••••• A•••••• I•••••••• •••••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• C••••• M•••••• A•••••• I••••••••• L••
        pooled vehicle sponsorn
      • B••• C•••••• C••••• M••••• I•• L••
        bankn
      • B••• C•••••• C••••• M••••• I••• L••
        bankn
      • B••• C•••••• C••••• M•••••• L••
        bankn
      • B••• C•••••• C••••• U••• C•• M••••••• L••
        investment adviserbankn
      • B••• C•••••• C•••••• L•
        investment adviserbanknRAUM $76B
      • B••• C•••••• C•••••• L•••
        investment advisern
      • B••• C•••••• D••••• L•••••• 2••• I•••••••• ••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• D••••••••• A•• S•••••• S••••••••• 2••• I•••••••• ••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• D••••••••• A•• S•••••• S••••••••• 2••• I•••••••• •••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• D••••••••• A•• S•••••• S••••••••• 2••• I•••••••• ••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• D••••••••• A•• S•••••• S••••••••• 2••• I•••••••• ••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• D••••••••• A•• S•••••• S••••••••• 2••• I•••••••• •••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• D••••••••• A•• S•••••• S••••••••• 2••• I•••••••• ••• L•••
        pooled vehicle sponsorn
      • B••• C•••••• D••••••••• A•• S•••••• S••••••••• 2••• I•••••••• ••• L•••
        pooled vehicle sponsorn
      Advisers that list B••• C•••••• C••••• C•• A•••••••• L• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 4
        Oct 29, 2018 to Mar 29, 2019
      • Advisory employees · 120 to 144
        Oct 29, 2018 to Mar 29, 2019
      • BD registered reps · 11 to 9
        Oct 29, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 2 to 4
        Oct 29, 2018 to Mar 29, 2019
      • Employees · 311 to 350
        Oct 29, 2018 to Mar 29, 2019
      • Private funds · 2 to 4
        Oct 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $1.0B to $2.1B
        Oct 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $1.0B to $2.1B
        Oct 29, 2018 to Mar 29, 2019
      • RAUM · $1.0B to $2.1B
        Oct 29, 2018 to Mar 29, 2019
      • Accounts · 1 to 2
        Aug 3, 2017 to Mar 29, 2018
      • Advisory employees · 115 to 120
        Aug 3, 2017 to Mar 29, 2018
      • BD registered reps · 10 to 11
        Aug 3, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 2.0
        Aug 3, 2017 to Mar 29, 2018
      • Employees · 291 to 311
        Aug 3, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Aug 3, 2017 to Mar 29, 2018
      • Private funds · 1 to 2
        Aug 3, 2017 to Mar 29, 2018
      • Discretionary RAUM · $525M to $1.0B
        Aug 3, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 1023579000.0
        Aug 3, 2017 to Mar 29, 2018
      • RAUM · $525M to $1.0B
        Aug 3, 2017 to Mar 29, 2018
      • Accounts · unset to 1.0
        Feb 10, 2017 to Mar 31, 2017
      • Advisory employees · 119 to 115
        Feb 10, 2017 to Mar 31, 2017
      • BD registered reps · 0 to 10
        Feb 10, 2017 to Mar 31, 2017
      • Employees · 294 to 291
        Feb 10, 2017 to Mar 31, 2017
      • Discretionary RAUM · unset to 525000000.0
        Feb 10, 2017 to Mar 31, 2017
      • Non-discretionary RAUM · unset to 0.0
        Feb 10, 2017 to Mar 31, 2017
      • RAUM · unset to 525000000.0
        Feb 10, 2017 to Mar 31, 2017
      • Private funds · unset to 1
        Jan 13, 2017 to Feb 10, 2017
      Signals
      5 dated events
      • Fullerton James Kellogg (Managing Director) no longer on Schedule A of B••• C•••••• C••••• C•• A•••••••• L• (listed 2019-03-29, absent 2020-01-08)
        Jan 8, 2020 · Control person left · inference
      • John Gregory Wipf (Managing Director) appeared on Schedule A of B••• C•••••• C••••• C•• A•••••••• L•
        Jan 8, 2020 · Control person joined · fact
      • B••• C•••••• C••••• C•• A•••••••• L• reported RAUM $2.1B, up 109% from $1.0B (2018-10-29 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • B••• C•••••• C••••• C•• A•••••••• L• reported RAUM $1.0B, up 95% from $525.0M (2017-08-03 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • B••• C•••••• C••••• C•• A•••••••• L• filed its initial SEC registration (Form ADV)
        Nov 4, 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