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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
B•••• L••
Latest filing Mar 28, 2023
First filing on the tape Aug 10, 2020 · 11 filings
RAUM
$131M
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
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
$209M gross assets
History
11 filings and snapshots on the tape
RAUM$131M as of Mar 28, 2023
Mar 29, 2021$150M then
HNW client RAUM$8.8M as of Mar 7, 2022
Mar 29, 2021$25.0M then
State-registered IARs (5.B.3)0 as of Mar 28, 2023
Mar 29, 20210 then
Employees (5.A)7 as of Mar 28, 2023
Mar 29, 20215 then
Private funds4 as of Mar 28, 2023
Mar 29, 20213 then
RAUM -64% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2023; 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
- $26.1MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -64%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
- $107M, 4 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.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$107M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $107M for 4 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••• D•••••• A•••• M••••• F••• L••• | Hedge Fund | $102M | 2 | Aug 10, 2020 |
| B••• D•••••• A•••• F••• L•• | Hedge Fund | $100M | 52 | Aug 10, 2020 |
| B••• D••• F•••• L•• | Hedge Fund | $4.6M | 53 | Apr 28, 2021 |
| B••• D•••••• A•••• O••••••• F••• L••• | Hedge Fund | $2.0M | 2 | Aug 10, 2020 |
Owners and control persons
Schedule A and B, latest filing
- A••••• L••••••• D••• · General Counsel & Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- K••••• B••••• C••••••••• · Ceo And Managercontrolsince 05/2013 · owns 50% to 75%
- K••• D••••• B••••• · Director Of Researchsince 12/2017 · owns 10% to 25%
- L•• K•••• · Director Of Quantitative Strategiessince 02/2018 · owns 10% to 25%
Related persons
Schedule D 7.A
- B••• D••• M••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Fort Worth, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 7 to 5Aug 3, 2022 to Mar 28, 2023
- Advisory employees · 3 to 4Aug 3, 2022 to Mar 28, 2023
- Advisory activities · 2 to 1Aug 3, 2022 to Mar 28, 2023
- Assets in custody · $257M to $107MAug 3, 2022 to Mar 28, 2023
- Employees · 6 to 7Aug 3, 2022 to Mar 28, 2023
- Discretionary RAUM · $365M to $131MAug 3, 2022 to Mar 28, 2023
- HNW RAUM · 8780551.0 to unsetAug 3, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $257M to $107MAug 3, 2022 to Mar 28, 2023
- RAUM · $365M to $131MAug 3, 2022 to Mar 28, 2023
- Advisory employees · 6 to 3Jan 18, 2022 to Mar 7, 2022
- Assets in custody · $250M to $257MJan 18, 2022 to Mar 7, 2022
- Accounts · 8 to 7Jun 23, 2021 to Jan 18, 2022
- Advisory employees · 5 to 6Jun 23, 2021 to Jan 18, 2022
- HNW clients · 3.0 to unsetJun 23, 2021 to Jan 18, 2022
- Employees · 5 to 6Jun 23, 2021 to Jan 18, 2022
- Discretionary RAUM · $383M to $365MJun 23, 2021 to Jan 18, 2022
- HNW RAUM · $13.0M to $8.8MJun 23, 2021 to Jan 18, 2022
- Pooled vehicle RAUM · $250M to $257MJun 23, 2021 to Jan 18, 2022
- RAUM · $383M to $365MJun 23, 2021 to Jan 18, 2022
- Assets in custody · $196M to $250MApr 28, 2021 to Jun 23, 2021
- Other offices · 0 to 1Apr 28, 2021 to Jun 23, 2021
- Discretionary RAUM · $301M to $383MApr 28, 2021 to Jun 23, 2021
- Pooled vehicle RAUM · $196M to $250MApr 28, 2021 to Jun 23, 2021
- RAUM · $301M to $383MApr 28, 2021 to Jun 23, 2021
- Accounts · 6 to 8Mar 29, 2021 to Apr 28, 2021
- Pooled vehicle clients · 3 to 4Mar 29, 2021 to Apr 28, 2021
- Assets in custody · $110M to $196MMar 29, 2021 to Apr 28, 2021
- Other offices · 1 to 0Mar 29, 2021 to Apr 28, 2021
- Private funds · 3 to 4Mar 29, 2021 to Apr 28, 2021
- Discretionary RAUM · $150M to $301MMar 29, 2021 to Apr 28, 2021
- HNW RAUM · $25.0M to $13.0MMar 29, 2021 to Apr 28, 2021
- Pooled vehicle RAUM · $110M to $196MMar 29, 2021 to Apr 28, 2021
- RAUM · $150M to $301MMar 29, 2021 to Apr 28, 2021
- Assets in custody · $11.1M to $110MNov 9, 2020 to Mar 29, 2021
- HQ city · MOUNT KISCO to CHEYENNENov 9, 2020 to Mar 29, 2021
- HQ state · NY to WYNov 9, 2020 to Mar 29, 2021
- Other offices · 0 to 1Nov 9, 2020 to Mar 29, 2021
- Discretionary RAUM · $29.8M to $150MNov 9, 2020 to Mar 29, 2021
- HNW RAUM · $4.1M to $25.0MNov 9, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $11.1M to $110MNov 9, 2020 to Mar 29, 2021
Signals
4 dated events
- B•••• L•• reported RAUM $130.6M, down 64% from $365.5M (2022-08-03 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- Dawn Lynette Ashby (General Counsel & Chief Compliance Officer) appeared on Schedule A of B•••• L••Jan 18, 2022 · Control person joined · fact
- B•••• L•• reported RAUM $300.6M, up 100% from $150.0M (2021-03-29 to 2021-04-28)Apr 28, 2021 · RAUM change · derived
- B•••• L•• filed its initial SEC registration (Form ADV)Aug 10, 2020 · 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