DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

B•••••••• C•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 288323SEC 801-117020IAPD
Latest filing Mar 18, 2022
First filing on the tape Jun 24, 2019 · 6 filings
RAUM
$76.0M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$76.0M as of Mar 18, 2022
Mar 6, 2020$159M then
HNW client RAUM$0 as of Mar 18, 2022
Mar 6, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 18, 2022
Mar 6, 20200 then
Employees (5.A)1 as of Mar 18, 2022
Mar 6, 20202 then
Private funds: no history
RAUM -50% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2022; 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
$76.0MderivedRAUM 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
performance-based, otherreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$76.0M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
      • M•••••••• K••••• A•••• · Managing Member & Chief Compliance Officercontrol
        since 02/2017 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $151M to $76.0M
        Mar 19, 2021 to Mar 18, 2022
      • Pooled vehicle RAUM · $151M to $76.0M
        Mar 19, 2021 to Mar 18, 2022
      • RAUM · $151M to $76.0M
        Mar 19, 2021 to Mar 18, 2022
      • Discretionary RAUM · $159M to $151M
        Aug 19, 2020 to Mar 19, 2021
      • Pooled vehicle RAUM · $159M to $151M
        Aug 19, 2020 to Mar 19, 2021
      • RAUM · $159M to $151M
        Aug 19, 2020 to Mar 19, 2021
      • Advisory employees · 2 to 1
        May 11, 2020 to Aug 19, 2020
      • Employees · 2 to 1
        May 11, 2020 to Aug 19, 2020
      • Accounts · 2 to 1
        Mar 6, 2020 to May 11, 2020
      • Pooled vehicle clients · 2 to 1
        Mar 6, 2020 to May 11, 2020
      • Discretionary RAUM · $115M to $159M
        Jun 24, 2019 to Mar 6, 2020
      • Pooled vehicle RAUM · $115M to $159M
        Jun 24, 2019 to Mar 6, 2020
      • RAUM · $115M to $159M
        Jun 24, 2019 to Mar 6, 2020
      Signals
      1 dated events
      • B•••••••• C•••••• L•• filed its initial SEC registration (Form ADV)
        Jun 24, 2019 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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