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•••••• A••••••• L•
Latest filing Oct 31, 2024
First filing on the tape Jun 29, 2021 · 9 filings
SEC status approved since Jul 30, 2021
RAUM
$1.7B
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
29
17 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
$618M gross assets
History
9 filings and snapshots on the tape
RAUM$1.7B as of Mar 29, 2024
Mar 29, 2022$939M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 29, 20220 then
Employees (5.A)29 as of Mar 29, 2024
Mar 29, 202220 then
Private funds6 as of Mar 29, 2024
Mar 29, 20224 then
RAUM +280% over the last fiscal yearIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Oct 31, 2024; 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
- $121MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +280%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
- $520M, 13 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$618M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $520M for 13 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••••• C•••••• P••••••• M••••• F••• L• | Hedge Fund | $247M | 340 | Mar 31, 2021 |
| B••••••••• C••••• P••••••• L• | Hedge Fund | $193M | 67 | Mar 31, 2023 |
| B••••••••• V• I• M••••• F••• L• | Venture Capital Fund | $157M | 174 | Mar 31, 2023 |
| B••••••••• D••• S•• I• L•no longer reported | Hedge Fund | $74.6M | 104 | Jun 29, 2021 |
| B••••••••• C•••••• P••••••• L•no longer reported | Hedge Fund | $60.8M | 124 | Jul 28, 2018 |
| B••••••••• G•••• P•••• M••••• F••• L••• | Hedge Fund | $12.9M | 126 | Mar 29, 2022 |
| B••••••••• L••••• S•• L•• | Private Equity Fund | $6.9M | 23 | Mar 31, 2023 |
| B••••••••• E••• S•• I• L•••no longer reported | Hedge Fund | $4.3M | 20 | Mar 31, 2021 |
| B••••••••• B••• S••••• S•• L• | Private Equity Fund | $1.2M | 26 | Mar 29, 2022 |
Owners and control persons
Schedule A and B, latest filing
- G••••• M••••••• H••••• · Chief Executive Officer And Limited Partnercontrolsince 08/2017 · owns 25% to 50%
- P•••• A•• · Chief Investment Officer And Limited Partnercontrolsince 08/2017 · owns 50% to 75%
- G••••• M••••••• H••••• · Managing Membercontrolsince 08/2017 · owns 50% to 75% of B••••••••• L••
- P•••• A•• · Managing Membercontrolsince 08/2017 · owns 50% to 75% of B••••••••• L••
- B•••••• M•••••• · Chief Financial Officersince 06/2021 · owns less than 5%
- C•••••••• C••••• D•• W•• · Chief Compliance Officersince 10/2023 · owns less than 5%
Entity owners
- B••••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- B••••••••• C•••••• L••bankpooled vehicle sponsorn
- B••••••••• C••••• G• L•pooled vehicle sponsorn
- B••••••••• G•••• P•••• L••pooled vehicle sponsorn
- B••••••••• S•••••• O••••••••• L••pooled vehicle sponsorn
- B••••••••• V• I• G• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY10 employees
What changed
consecutive filings, newest first
- Accounts · 13 to 14Nov 6, 2023 to Mar 29, 2024
- Advisory employees · 18 to 17Nov 6, 2023 to Mar 29, 2024
- Assets in custody · $327M to $520MNov 6, 2023 to Mar 29, 2024
- Employees · 27 to 29Nov 6, 2023 to Mar 29, 2024
- Other offices · 0 to 1Nov 6, 2023 to Mar 29, 2024
- Discretionary RAUM · $445M to $1.7BNov 6, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $445M to $618MNov 6, 2023 to Mar 29, 2024
- RAUM · $445M to $1.7BNov 6, 2023 to Mar 29, 2024
- Related adviser · true to falseNov 6, 2023 to Mar 29, 2024
- Related bank · false to trueNov 6, 2023 to Mar 29, 2024
- Accounts · 8 to 13May 11, 2022 to Mar 31, 2023
- Advisory employees · 11 to 18May 11, 2022 to Mar 31, 2023
- Pooled vehicle clients · 8 to 13May 11, 2022 to Mar 31, 2023
- Assets in custody · $939M to $327MMay 11, 2022 to Mar 31, 2023
- Employees · 20 to 27May 11, 2022 to Mar 31, 2023
- Private funds · 4 to 6May 11, 2022 to Mar 31, 2023
- Discretionary RAUM · $939M to $445MMay 11, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $939M to $445MMay 11, 2022 to Mar 31, 2023
- RAUM · $939M to $445MMay 11, 2022 to Mar 31, 2023
- Accounts · 4 to 8Jun 29, 2021 to Mar 29, 2022
- Pooled vehicle clients · 4 to 8Jun 29, 2021 to Mar 29, 2022
- Assets in custody · $744M to $939MJun 29, 2021 to Mar 29, 2022
- Employees · 13 to 20Jun 29, 2021 to Mar 29, 2022
- Discretionary RAUM · $744M to $939MJun 29, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $744M to $939MJun 29, 2021 to Mar 29, 2022
- RAUM · $744M to $939MJun 29, 2021 to Mar 29, 2022
Signals
5 dated events
- B••••••••• C•••••• A••••••• L• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $1.7B)Mar 6, 2025 · Left the SEC roster · derived
- B••••••••• C•••••• A••••••• L• reported RAUM $1.7B, up 280% from $444.9M (2023-11-06 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- B••••••••• C•••••• A••••••• L• reported RAUM $444.9M, down 53% from $938.8M (2022-05-11 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- B••••••••• C•••••• A••••••• L• reported RAUM $938.8M, up 26% from $744.1M (2021-06-29 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- B••••••••• C•••••• A••••••• L• filed its initial SEC registration (Form ADV)Jun 29, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B••••••••• C•••••• A••••••• L• · Private Equityshared crd · organization
- B••••••••• C•••••• A••••••• L• · Venture Capitalshared crd · organization
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