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••• P••••••• ••••• A••••••• L••
Latest filing Oct 6, 2022
First filing on the tape Jul 16, 2019 · 9 filings
RAUM
$12B
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$12B as of Jun 29, 2022
Jun 30, 2020$49B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2022
Jun 30, 20200 then
Employees (5.A)3 as of Jun 29, 2022
Jun 30, 20203 then
Private funds: no history
RAUM -37% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 6, 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
- $12BderivedRAUM 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
- $12B, 1 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$12B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $12B for 1 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• B•••••••• A• · Ceocontrolsince 06/2019 · owns less than 5%
- K••••••• F•• · Cco & General Counselcontrolsince 06/2019 · owns less than 5%
- F••••• B•••••••• A• · Shareholdercontrolsince 04/2012 · owns 75% or more of B••• P••••••• ••••••• L••••••
Entity owners
- B••• P••••••• ••••••• L•••••• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- B••• A•••• O••••••••• G• L••••••investment adviserbankpooled vehicle sponsory
- B••• A•••• O••••••••• M••••• G• L••••••investment adviserbankpooled vehicle sponsory
- B••• P••••••• ••••••• L••••••investment adviserbanky
- B••• P••••••• •••• K•••• L••••••investment adviserbanky
- B••• P••••••• S••••••• C••• L••••••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · NEW YORK to unsetJun 29, 2022 to Oct 6, 2022
- HQ state · NY to unsetJun 29, 2022 to Oct 6, 2022
- Advisory employees · 1 to 2Jun 29, 2021 to Jun 29, 2022
- Assets in custody · $18B to $12BJun 29, 2021 to Jun 29, 2022
- Employees · 2 to 3Jun 29, 2021 to Jun 29, 2022
- Discretionary RAUM · $18B to $12BJun 29, 2021 to Jun 29, 2022
- Pooled vehicle RAUM · $18B to $12BJun 29, 2021 to Jun 29, 2022
- RAUM · $18B to $12BJun 29, 2021 to Jun 29, 2022
- Assets in custody · $49B to $18BOct 30, 2020 to Jun 29, 2021
- Employees · 3 to 2Oct 30, 2020 to Jun 29, 2021
- Discretionary RAUM · $49B to $18BOct 30, 2020 to Jun 29, 2021
- Pooled vehicle RAUM · $49B to $18BOct 30, 2020 to Jun 29, 2021
- RAUM · $49B to $18BOct 30, 2020 to Jun 29, 2021
- Assets in custody · $33B to $49BDec 3, 2019 to Jun 30, 2020
- Other offices · 1 to 0Dec 3, 2019 to Jun 30, 2020
- Discretionary RAUM · $33B to $49BDec 3, 2019 to Jun 30, 2020
- Pooled vehicle RAUM · $33B to $49BDec 3, 2019 to Jun 30, 2020
- RAUM · $33B to $49BDec 3, 2019 to Jun 30, 2020
Signals
4 dated events
- B••• P••••••• ••••• A••••••• L•• reported RAUM $11.5B, down 37% from $18.2B (2021-06-29 to 2022-06-29)Jun 29, 2022 · RAUM change · derived
- B••• P••••••• ••••• A••••••• L•• reported RAUM $18.2B, down 63% from $49.1B (2020-10-30 to 2021-06-29)Jun 29, 2021 · RAUM change · derived
- B••• P••••••• ••••• A••••••• L•• reported RAUM $49.1B, up 48% from $33.1B (2019-12-03 to 2020-06-30)Jun 30, 2020 · RAUM change · derived
- B••• P••••••• ••••• A••••••• L•• filed its initial SEC registration (Form ADV)Jul 16, 2019 · 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