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B••••••••• U• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· Boston, Massachusetts

Former SEC-registered adviser, based in Boston, Massachusetts, reporting $372M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$372M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+13%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 17 Form ADV filings for this adviser, the latest 2.5 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 301191 · SEC 801-119611 · 17 filingsShow
CRD 301191SEC 801-119611First filing on the tape Dec 17, 2019, latest Mar 29, 2024IAPD
RAUM
$372M
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$79.6M gross assets
History
17 filings and snapshots on the tape
RAUM$372M as of Mar 29, 2024
Mar 31, 2021$243M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 31, 20210 then
Employees (5.A)3 as of Mar 29, 2024
Mar 31, 20212 then
Private funds1 as of Mar 29, 2024
Mar 31, 20222 then
RAUM +13% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
$124MderivedRAUM 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
+13%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
  • 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
  • Investment companies$263M71%
  • Pooled investment vehicles$109M29%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••• E••••••• M••••• F••• L•no longer reportedHedge Fund$9.1M1Mar 31, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• R•••••• L•• · Presidentcontrol
        since 04/2021 · owns less than 5%
      • K••••• C••••••• E•••••••• · Chief Compliance Officercontrol
        since 10/2021 · owns less than 5%
      Entity owners
      • B••••••••• U• H••• C•• · Shareh•••Er
        direct · owns 75% or more
      • B•••••••• F•••• M••••••••• G•••• P•• L•• · Shareh•••Er
        indirect · owns 75% or more of B••••••••• U• H••• C••
      • E•••••• P•• L•• · Trustee
        indirect · owns F of I•••• V•• D••••••••• T••••
      • I•••• V•• D••••••••• T•••• · Shareh•••Er
        indirect · owns 75% or more of B•••••••• F•••• M••••••••• G•••• P•• L••
      Related persons
      Schedule D 7.A
      • B••••••••• L••
        investment advisern
      • B•••••••• F•••• M••••••••• L••
        investment advisern
      • S••••••••• A•••• M••••••••• L••
        investment advisern
      • S••••••••• G••••• E• E••••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 3
        Aug 15, 2023 to Mar 29, 2024
      • Pooled vehicle clients · 1 to 2
        Aug 15, 2023 to Mar 29, 2024
      • Employees · 4 to 3
        Aug 15, 2023 to Mar 29, 2024
      • Discretionary RAUM · $328M to $372M
        Aug 15, 2023 to Mar 29, 2024
      • Pooled vehicle RAUM · $70.3M to $109M
        Aug 15, 2023 to Mar 29, 2024
      • RAUM · $328M to $372M
        Aug 15, 2023 to Mar 29, 2024
      • Accounts · 5 to 2
        Mar 31, 2022 to Mar 31, 2023
      • Advisory employees · 2 to 1
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 4 to 1
        Mar 31, 2022 to Mar 31, 2023
      • Assets in custody · 76009201.0 to unset
        Mar 31, 2022 to Mar 31, 2023
      • Custody of client assets · true to false
        Mar 31, 2022 to Mar 31, 2023
      • Private funds · 2 to 1
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $340M to $328M
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $85.1M to $70.3M
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $340M to $328M
        Mar 31, 2022 to Mar 31, 2023
      • Accounts · 4 to 5
        Oct 29, 2021 to Mar 31, 2022
      • Advisory employees · 0 to 2
        Oct 29, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 3 to 4
        Oct 29, 2021 to Mar 31, 2022
      • Assets in custody · $79.4M to $76.0M
        Oct 29, 2021 to Mar 31, 2022
      • Employees · 3 to 4
        Oct 29, 2021 to Mar 31, 2022
      • Private funds · 1 to 2
        Oct 29, 2021 to Mar 31, 2022
      • Discretionary RAUM · $316M to $340M
        Oct 29, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $9.5M to $85.1M
        Oct 29, 2021 to Mar 31, 2022
      • RAUM · $316M to $340M
        Oct 29, 2021 to Mar 31, 2022
      • Assets in custody · unset to 79431000.0
        Jun 30, 2021 to Aug 18, 2021
      • Custody of client assets · false to true
        Jun 30, 2021 to Aug 18, 2021
      • Discretionary RAUM · $303M to $316M
        Jun 30, 2021 to Aug 18, 2021
      • Pooled vehicle RAUM · $9.3M to $9.5M
        Jun 30, 2021 to Aug 18, 2021
      • RAUM · $303M to $316M
        Jun 30, 2021 to Aug 18, 2021
      • Employees · 2 to 3
        Jun 8, 2021 to Jun 30, 2021
      • Private funds · unset to 1
        Jun 8, 2021 to Jun 30, 2021
      • Discretionary RAUM · $243M to $303M
        Jun 8, 2021 to Jun 30, 2021
      • Pooled vehicle RAUM · $9.3M to $9.3M
        Jun 8, 2021 to Jun 30, 2021
      • RAUM · $243M to $303M
        Jun 8, 2021 to Jun 30, 2021
      • HQ city · LONDON to BOSTON
        Mar 31, 2021 to Jun 8, 2021
      • HQ state · unset to MA
        Mar 31, 2021 to Jun 8, 2021
      • Accounts · 2 to 4
        Mar 4, 2021 to Mar 31, 2021
      • Advisory employees · 2 to 0
        Mar 4, 2021 to Mar 31, 2021
      • Pooled vehicle clients · 1 to 3
        Mar 4, 2021 to Mar 31, 2021
      • Employees · 3 to 2
        Mar 4, 2021 to Mar 31, 2021
      Signals
      8 dated events
      • ••• Locked
        Mar 31, 2022 · Control person left · inference
      • ••• Locked
        Oct 29, 2021 · Control person joined · fact
      • ••• Locked
        Jun 30, 2021 · Control person left · inference
      • ••• Locked
        Jun 30, 2021 · Control person joined · fact
      • ••• Locked
        Dec 1, 2020 · Control person left · inference
      • ••• Locked
        Sep 10, 2020 · Control person left · inference
      • ••• Locked
        Sep 10, 2020 · Control person joined · fact
      • ••• Locked
        Dec 17, 2019 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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