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.

SEC-registered adviser

B• A•••• M••••••••• L••

Asset manager (funds and pooled vehicles)George Town, CRD 300503SEC 801-116666IAPD

Latest filing Mar 25, 2026

First filing on the tape Apr 22, 2019 · 7 filings

SEC status approved since Oct 6, 2023

RAUM

$110M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

38 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

7 filings and snapshots on the tape

RAUM$110M as of Mar 25, 2026

Mar 15, 2024$83.9M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 25, 2026

Mar 15, 20240 then

Employees (5.A)40 as of Mar 25, 2026

Mar 15, 202416 then

Private funds: no history

RAUM -19% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 25, 2026; 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: $55.1MderivedRAUM 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: -19%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, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$78.7M71%
Investment companies$31.4M29%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourly, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived

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 departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
F••••••• C•••••• C••••••••• ••••••••• L••no longer reported	Private Equity Fund	$2.4M	16	Apr 22, 2019
H••••••• C•••••• F••• L•no longer reported	Private Equity Fund	$1.2M	18	Apr 22, 2019
F••••••• C•••••• C••••••••• ••••••••• L••••••no longer reported	Private Equity Fund	$600,000	1	Apr 22, 2019

Owners and control persons

Schedule A and B, latest filing

B•••••••• C•••••• N•• · Directorcontrol
since 07/2013 · owns less than 5%
K•••••••• J••••• A••••••••• · Directorcontrol
since 07/2013 · owns less than 5%
M••••••••• M•••••••• W•••• · Directorcontrol
since 12/2019 · owns less than 5%
J•••••••• G••••••• M•••• · Chief Compliance Officer
since 09/2023 · owns less than 5%

Entity owners

B••••••• W•••• A••• L•••••• · Sole Shareholder
direct · owns 75% or more
A• M••••••••• G••••• I••• · Shareholder
indirect · owns 75% or more of A••••••• A•••••••• A••••••••• L••
A••••••• A•••••••• A••••••••• L•• · Shareholder
indirect · owns 75% or more of B••••••• W•••• A••• L••••••
D•••••••• D••••• H••••••• L•• · Shareholder
indirect · owns 75% or more of K••••• L••
D•••• B••••• I••• · Shareholder
indirect · owns 75% or more of K•••• M•••• C•••••••••
D•••• P••••• H•••••••• I••• · Shareholder
indirect · owns 75% or more of D•••• B••••• I•••
D••• • P••••• H••••••• C••••••••• · Shareholder
indirect · owns 75% or more of D•••••••• D••••• H••••••• L••
K•••• M•••• C••••••••• · Shareholder
indirect · owns 75% or more of D••• • P••••• H••••••• C•••••••••
K••••• L•• · Shareholder
indirect · owns 75% or more of A• M••••••••• G••••• I•••

Related persons

Schedule D 7.A

I•••• A••• B••••••• F••• I••••••••• M••••••••• L••••••
investment advisern
K•••• S••••••••• L••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

employee count surgeChange between filings · filing Mar 25, 2026
employees (Item 5.A) moved from 24.0 to 40.0 (+67.0%) between the annual amendments of 2025-03-20 and 2026-03-25; the peer median change was 0.0% (392 comparable advisers, 99.0th percentile of changes)
peers: asset managers, $100M to $500M (392) · 99% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Advisory employees · 22 to 38
Jun 10, 2025 to Mar 25, 2026
Employees · 24 to 40
Jun 10, 2025 to Mar 25, 2026
Discretionary RAUM · $136M to $110M
Jun 10, 2025 to Mar 25, 2026
Pooled vehicle RAUM · $93.0M to $78.7M
Jun 10, 2025 to Mar 25, 2026
RAUM · $136M to $110M
Jun 10, 2025 to Mar 25, 2026
Financial planning clients · 0 to 0
Mar 20, 2025 to Jun 10, 2025
Accounts · 1 to 2
Mar 15, 2024 to Mar 20, 2025
Advisory employees · 15 to 22
Mar 15, 2024 to Mar 20, 2025
BD registered reps · 1 to 2
Mar 15, 2024 to Mar 20, 2025
Pooled vehicle clients · unset to 1.0
Mar 15, 2024 to Mar 20, 2025
Employees · 16 to 24
Mar 15, 2024 to Mar 20, 2025
Financial planning clients · unset to 0
Mar 15, 2024 to Mar 20, 2025
HQ state · unset to
Mar 15, 2024 to Mar 20, 2025
Discretionary RAUM · $83.9M to $136M
Mar 15, 2024 to Mar 20, 2025
Pooled vehicle RAUM · unset to 92999463.0
Mar 15, 2024 to Mar 20, 2025
RAUM · $83.9M to $136M
Mar 15, 2024 to Mar 20, 2025
Accounts · 0 to 1
Oct 4, 2023 to Mar 15, 2024
Advisory employees · 12 to 15
Oct 4, 2023 to Mar 15, 2024
Employees · 13 to 16
Oct 4, 2023 to Mar 15, 2024
Discretionary RAUM · $0 to $83.9M
Oct 4, 2023 to Mar 15, 2024
RAUM · $0 to $83.9M
Oct 4, 2023 to Mar 15, 2024
Accounts · 3 to 0
Apr 22, 2019 to Sep 12, 2023
Advisory employees · 4 to 12
Apr 22, 2019 to Sep 12, 2023
BD registered reps · 0 to 1
Apr 22, 2019 to Sep 12, 2023
Pooled vehicle clients · 3.0 to unset
Apr 22, 2019 to Sep 12, 2023
Assets in custody · $8.1M to $0
Apr 22, 2019 to Sep 12, 2023
Custody of client assets · true to false
Apr 22, 2019 to Sep 12, 2023
Employees · 5 to 13
Apr 22, 2019 to Sep 12, 2023
HQ city · GEORGETOWN, GRAND CAYMAN to GEORGE TOWN
Apr 22, 2019 to Sep 12, 2023
Other offices · 3 to 0
Apr 22, 2019 to Sep 12, 2023
Private funds · 3 to unset
Apr 22, 2019 to Sep 12, 2023
Discretionary RAUM · $4.2M to $0
Apr 22, 2019 to Sep 12, 2023
Pooled vehicle RAUM · 4200000.0 to unset
Apr 22, 2019 to Sep 12, 2023
RAUM · $4.2M to $0
Apr 22, 2019 to Sep 12, 2023
Related adviser · false to true
Apr 22, 2019 to Sep 12, 2023
Related broker-dealer · false to true
Apr 22, 2019 to Sep 12, 2023

Signals

3 dated events

K•••••• J•••• W••• (Chief Operating Officer And Chief Compliance Officer) no longer on Schedule A of B• A•••• M••••••••• L•• (listed 2019-04-22, absent 2023-09-12)
Sep 12, 2023 · Control person left · inference
M•••••• P••• W•••• (Owner) no longer on Schedule A of B• A•••• M••••••••• L•• (listed 2019-04-22, absent 2023-09-12)
Sep 12, 2023 · Control person left · inference
B• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Apr 22, 2019 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

B• A•••• M••••••••• L•• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Principal office phone: +1 3457438805reportedpublic record, Form ADV, Mar 25, 2026

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: Asset manager (funds and pooled vehicles)deriveda 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