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•••••• G••••• L••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 290347SEC 801-112882IAPD
Latest filing Nov 30, 2022
First filing on the tape Mar 20, 2018 · 18 filings
RAUM
$12.2M
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
20
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$12.2M gross assets
History
18 filings and snapshots on the tape
RAUM$12.2M as of Mar 31, 2022
Mar 28, 2019$73.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 28, 20190 then
Employees (5.A)20 as of Mar 31, 2022
Mar 28, 201924 then
Private funds2 as of Mar 31, 2022
Mar 28, 20192 then
RAUM -37% over the last fiscal year-45% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 30, 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
$4.1MderivedRAUM 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
-37%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
$12.2M, 3 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$12.2M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$12.2M for 3 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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••• C•••••• F••• L••Other Private Fund$11.1M17Mar 26, 2014
      B••• C•••••• O••••••••• M••••• F••• L••Other Private Fund$1.1M1Mar 20, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• K••••• M••••••• · Chief Executive Officercontrol
        since 01/2017 · owns less than 5%
      • G•••••••• W••••••• R••••• · Chief Compliance Officercontrol
        since 03/2022 · owns less than 5%
      • G••••••••• P•••• S•••• · Executive Chairmancontrol
        since 01/2017 · owns less than 5%
      • M••••••• A•••••• P•••••• · Chief Investment Officercontrol
        since 01/2019 · owns less than 5%
      • P••••• D•••••• E•••• · Controllercontrol
        since 04/2018 · owns 50% to 75% of S••••••• C•••••• G•••• S•
      • F•••••• C••••••••• L•••• · Chief Operating Officer
        since 01/2017 · owns less than 5%
      Entity owners
      • F•• H••••••• L•• · Managing Member
        direct · owns 75% or more
      • S••••••• C•••••• ••••••••• S• · Member
        indirect · owns 75% or more of F•• H••••••• L••
      • S••••••• C•••••• G•••• S• · Shareholder
        indirect · owns 75% or more of S••••••• C•••••• ••••••••• S•
      Related persons
      Schedule D 7.A
      • Corient Shc Wealth Management (US) LP
        investment advisernRAUM $2.3B
      • K•••• M• B•••••••••
        investment companyn
      • Corient Shc Partners (US) LP
        investment adviserpooled vehicle sponsornRAUM $1.7B
      • O••••• Asset Management LP
        investment adviserpooled vehicle sponsornRAUM $892M
      • O••••• M••••••• G•••• L••
        pooled vehicle sponsorn
      • O••••• M••••••• L••
        pooled vehicle sponsorn
      • P•••••• S••••• G•••••• P•••••• S•••
        bankn
      • S•• M•••••• G• L••
        pooled vehicle sponsorn
      • S••••••• F•• G••••• V•••••• F••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · WEST CONSHOHOCKEN to PHILADELPHIA
        Apr 11, 2022 to May 6, 2022
      • Advisory employees · 12 to 10
        Jan 5, 2022 to Mar 31, 2022
      • Assets in custody · $19.3M to $12.2M
        Jan 5, 2022 to Mar 31, 2022
      • Employees · 24 to 20
        Jan 5, 2022 to Mar 31, 2022
      • Discretionary RAUM · $19.3M to $12.2M
        Jan 5, 2022 to Mar 31, 2022
      • Pooled vehicle RAUM · $19.3M to $12.2M
        Jan 5, 2022 to Mar 31, 2022
      • RAUM · $19.3M to $12.2M
        Jan 5, 2022 to Mar 31, 2022
      • Assets in custody · $20.1M to $19.3M
        Aug 24, 2020 to Mar 30, 2021
      • Employees · 26 to 24
        Aug 24, 2020 to Mar 30, 2021
      • Discretionary RAUM · $20.1M to $19.3M
        Aug 24, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $20.1M to $19.3M
        Aug 24, 2020 to Mar 30, 2021
      • RAUM · $20.1M to $19.3M
        Aug 24, 2020 to Mar 30, 2021
      • Related bank · false to true
        Aug 24, 2020 to Mar 30, 2021
      • Advisory employees · 18 to 12
        Apr 1, 2020 to Aug 24, 2020
      • Assets in custody · $44.7M to $20.1M
        Apr 1, 2020 to Aug 24, 2020
      • Employees · 25 to 26
        Apr 1, 2020 to Aug 24, 2020
      • Discretionary RAUM · $44.7M to $20.1M
        Apr 1, 2020 to Aug 24, 2020
      • Pooled vehicle RAUM · $44.7M to $20.1M
        Apr 1, 2020 to Aug 24, 2020
      • RAUM · $44.7M to $20.1M
        Apr 1, 2020 to Aug 24, 2020
      • Advisory employees · 13 to 18
        Mar 28, 2019 to Mar 27, 2020
      • Assets in custody · $73.1M to $44.7M
        Mar 28, 2019 to Mar 27, 2020
      • Employees · 24 to 25
        Mar 28, 2019 to Mar 27, 2020
      • Discretionary RAUM · $73.0M to $44.7M
        Mar 28, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $73.0M to $44.7M
        Mar 28, 2019 to Mar 27, 2020
      • RAUM · $73.0M to $44.7M
        Mar 28, 2019 to Mar 27, 2020
      • Advisory employees · 9 to 13
        Jan 11, 2019 to Mar 28, 2019
      • Assets in custody · $32.0M to $73.1M
        Jan 11, 2019 to Mar 28, 2019
      • Employees · 18 to 24
        Jan 11, 2019 to Mar 28, 2019
      • Insurance-licensed employees · 1 to 0
        Jan 11, 2019 to Mar 28, 2019
      • Discretionary RAUM · $71.0M to $73.0M
        Jan 11, 2019 to Mar 28, 2019
      • Pooled vehicle RAUM · $71.0M to $73.0M
        Jan 11, 2019 to Mar 28, 2019
      • RAUM · $71.0M to $73.0M
        Jan 11, 2019 to Mar 28, 2019
      Signals
      5 dated events
      • Ragnar William Gearhart (Chief Compliance Officer) appeared on Schedule A of B••• C•••••• G••••• L••
        Apr 11, 2022 · Control person joined · fact
      • Emile Daniel Pinto (Controller) appeared on Schedule A of B••• C•••••• G••••• L••
        Apr 16, 2021 · Control person joined · fact
      • David William Luterman (Chief Investment Officer) no longer on Schedule A of B••• C•••••• G••••• L•• (listed 2018-09-24, absent 2019-01-03)
        Jan 3, 2019 · Control person left · inference
      • Patrick Andrew Mehalko (Co-Chief Investment Officer) appeared on Schedule A of B••• C•••••• G••••• L••
        Jan 3, 2019 · Control person joined · fact
      • B••• C•••••• G••••• L•• filed its initial SEC registration (Form ADV)
        Mar 20, 2018 · 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