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•••••• M••••••••• ••• Y•••• L•
Latest filing Jun 6, 2018
First filing on the tape Aug 17, 2017 · 4 filings
RAUM
$81B
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
0
0 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$81B as of Jun 6, 2018
Aug 17, 2017$91B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 6, 2018
Aug 17, 20170 then
Employees (5.A)0 as of Jun 6, 2018
Aug 17, 20170 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 6, 2018; 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
- $81BderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$81B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• M••••••• E••••• · Group Chief Executive Officercontrolsince 11/2007 · owns less than 5%
- P••••• M••••••• E••••• · Membercontrolsince 06/2014 · owns 25% to 50% of B•••••••• H••••••• L••
- P••••• M••••••• E••••• · L•••••• Partnercontrolsince 06/2015 · owns 75% or more of B•• C••••• L•
- C••• P••••• A•••••• · Group Chief Operating Officersince 11/2007 · owns less than 5%
- D•••••••• P•••• J•• · Group Chief Legal Counselsince 11/2007 · owns less than 5%
- D•••• A•••••• M•••••• · Group Chief Financial Officersince 11/2007 · owns less than 5%
- M•••••••• M••••••••• R••••••• · Group Chief Compliance Officersince 02/2012 · owns less than 5%
Entity owners
- B• U•• G• L•• · General Partnerdirect · owns less than 5%
- B•••••••• U•• L• · L•••••• Partnerdirect · owns 75% or more
- A••••• S••••••• ••••••••• L•••••• · Trusteeindirect · owns F of B• C••••• C••••••••• T••••
- A••••• S••••••• ••••••••• L•••••• · Trusteeindirect · owns F of B•••••••• G••••••• P•••••• T••••
- B• C••••• C••••••••• T•••• · Shareholderindirect · owns 75% or more of B•••••••• C•••••• M••••••••• C••••• H••••••• L••••••
- B• U•• G• L•• · General Partnerindirect · owns F of B•••••••• U•• L•
- B•• C••••• L• · Memberindirect · owns 25% to 50% of B•••••••• H••••••• L••
- B• L•••••• · L•••••• Partnerindirect · owns 75% or more of B••••••••• 2• L•
- B•••••••• C•••••• M••••••••• C••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of B•••••••• C•••••• M••••••••• C••••• L••••••
- B•••••••• C•••••• M••••••••• C••••• L•••••• · General Partnerindirect · owns F of B•• C••••• L•
- B•••••••• C•••••• M••••••••• G••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of B•••••••• U•• H••••••• L••••••
- B•••••••• G••••••• P•••••• T•••• · Shareholderindirect · owns 75% or more of B• L••••••
- B•••••••• H••••••• L•• · Shareholderindirect · owns 75% or more of B••••••••• G• L••••••
- B•••••••• U•• H••••••• L•••••• · L•••••• Partnerindirect · owns 75% or more of B•••••••• U•• L•
- B•••••••• U•• H••••••• L•••••• · Memberindirect · owns 75% or more of B• U•• G• L••
- B••••••••• 2• L• · Shareholderindirect · owns 75% or more of B• I••••••••• F••• L••••••
- B••••••••• G• L•••••• · General Partnerindirect · owns F of B••••••••• 2• L•
- B• I••••••••• F••• L•••••• · Shareholderindirect · owns 75% or more of B••• L••••••
- B• S•••••••• I••••••••• L•••••• · Managing Memberindirect · owns F of B• U•• G• L••
- B• S•••••••• I••••••••• L•••••• · L•••••• Partnerindirect · owns 75% or more of B•••••••• U•• L•
Related persons
Schedule D 7.A
- B•••••••• C•••••• M••••••••• ••• L••investment adviserbanknRAUM $87B
- B•••••••• C•••••• M••••••••• L••••••investment adviserbankyRAUM $87B
- G••••• E•••••••• L••••••broker-dealern
Advisers that list B•••••••• C•••••• M••••••••• ••• Y•••• L• as a related person
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA8 employees
- Stamford, CT5 employees
- Miami Beach, FL2 employees
What changed
consecutive filings, newest first
- Accounts · 14 to 1Aug 17, 2017 to Jan 31, 2018
- Pooled vehicle clients · unset to 1.0Aug 17, 2017 to Jan 31, 2018
- Assets in custody · 0.0 to unsetAug 17, 2017 to Jan 31, 2018
- Custody of client assets · true to falseAug 17, 2017 to Jan 31, 2018
- Other offices · unset to 3.0Aug 17, 2017 to Jan 31, 2018
- Discretionary RAUM · $91B to $81BAug 17, 2017 to Jan 31, 2018
- Pooled vehicle RAUM · unset to 80698088245.0Aug 17, 2017 to Jan 31, 2018
- RAUM · $91B to $81BAug 17, 2017 to Jan 31, 2018
- Related insurance company · true to falseAug 17, 2017 to Jan 31, 2018
Signals
1 dated events
- B•••••••• C•••••• M••••••••• ••• Y•••• L• filed its initial SEC registration (Form ADV)Aug 17, 2017 · 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