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••••••••• ••• L••

Former SEC-registered adviserLondon, CRD 289587SEC 801-111703IAPD
Latest filing Jun 6, 2018
First filing on the tape Aug 17, 2017 · 3 filings
RAUM
$87B
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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$87B 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
$3.2BderivedRAUM 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
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
Custody
yesreportedItem 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)
  • 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)
  • 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$87B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
27reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P••••• M••••••• E••••• · Group Chief Executive Officercontrol
        since 10/2009 · owns less than 5%
      • P••••• M••••••• E••••• · Shareholdercontrol
        since 03/2018 · owns 25% to 50% of B•••••••• C•••••• M••••••••• L••••••
      • C••• P••••• A•••••• · Chief Executive Officer; Group Chief Operating Officer
        since 10/2009 · owns less than 5%
      • D•••••••• P•••• J•• · Officer; Group Chief Legal Counsel
        since 10/2009 · owns less than 5%
      • D•••• A•••••• M•••••• · Group Chief Financial Officer
        since 10/2009 · owns less than 5%
      • M•••••••• M••••••••• R••••••• · Group Chief Compliance Officer
        since 02/2012 · owns less than 5%
      • P••••• M••••••• E••••• · L•••••• Partner
        since 07/2015 · owns 75% or more of B•• C••••• L•
      • P••••• M••••••• E••••• · L•••••• Partner
        since 07/2014 · owns 25% to 50% of B•••••••• C•••••• M••••••••• L•
      Entity owners
      • A••••• S••••••• •••••••• L•••••• · Trustee
        indirect · owns F of B• C••••• C••••••••• T••••
      • B• C••••• C••••••••• T•••• · Shareholder
        indirect · owns 75% or more of B•••••••• C•••••• M••••••••• C••••• H••••••• L••••••
      • B•• H••••••• L•••••• · Shareholder
        indirect · owns 75% or more of B•••••••• C•••••• U• L••••••
      • B•••••••• C•••••• M••••••••• C••••• H••••••• L•••••• · Shareholder
        indirect · owns 75% or more of B•••••••• C•••••• M••••••••• C••••• L••••••
      • B•••••••• C•••••• M••••••••• C••••• L•••••• · General Partner
        indirect · owns F of B•• C••••• L•
      • B•••••••• C•••••• M••••••••• L•••••• · General Partner
        indirect · owns F of B•••••••• C•••••• M••••••••• L•
      • B•••••••• C•••••• M••••••••• L• · Shareholder
        indirect · owns 75% or more of B•• H••••••• L••••••
      • B•••••••• C•••••• U• L•••••• · Member
        direct · owns less than 5%
      • B•• C••••• L• · Shareholder
        indirect · owns 25% to 50% of B•••••••• C•••••• M••••••••• L••••••
      • B•• C••••• L• · L•••••• Partner
        indirect · owns 25% to 50% of B•••••••• C•••••• M••••••••• L•
      Related persons
      Schedule D 7.A
      • B•••••••• C•••••• L••
        pooled vehicle sponsorn
      • B•••••••• C•••••• M••••••••• ••• Y•••• L•
        investment adviserbanknRAUM $81B
      • B•••••••• C•••••• M••••••••• ••••••••• P••• L••
        investment adviserbankn
      • B•••••••• C•••••• M••••••••• G••••••• L•
        investment adviserbankn
      • B•••••••• C•••••• M••••••••• J••••• L••••••
        investment adviserbankn
      • B•••••••• C•••••• M••••••••• L••••••
        investment adviserbankyRAUM $87B
      • B•••••••• G• I• L••••••
        pooled vehicle sponsorn
      • B•••••••• G• I• L••••••
        pooled vehicle sponsorn
      • B•••••••• G• I• L••••••
        pooled vehicle sponsorn
      • G••••• E•••••••• L••••••
        broker-dealern
      Advisers that list B•••••••• C•••••• M••••••••• ••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 27.0
        Aug 17, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Aug 17, 2017 to Mar 29, 2018
      • Discretionary RAUM · $91B to $87B
        Aug 17, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 86644351099.0
        Aug 17, 2017 to Mar 29, 2018
      • RAUM · $91B to $87B
        Aug 17, 2017 to Mar 29, 2018
      • Related insurance company · true to false
        Aug 17, 2017 to Mar 29, 2018
      Signals
      1 dated events
      • B•••••••• C•••••• M••••••••• ••• 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