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•••••• M••••••••• I•••
Latest filing Sep 15, 2022
First filing on the tape Feb 22, 2021 · 4 filings
RAUM
$304M
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
11
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
3
$304M gross assets
History
4 filings and snapshots on the tape
RAUM$304M as of Sep 15, 2022
Feb 22, 2021$281M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 15, 2022
Feb 22, 20210 then
Employees (5.A)11 as of Sep 15, 2022
Feb 22, 20219 then
Private funds3 as of Sep 15, 2022
Feb 22, 20213 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 15, 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
- $101MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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
- yesreportedItem 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)
- 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
- Pooled investment vehicles$304M100%
- 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
- $0 for 0 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• C•••••• F••• I• L••• | Private Equity Fund | $290M | 21 | Feb 22, 2021 |
| B••••••• C•••••• F••• I• ••• L••• | Private Equity Fund | $9.0M | 7 | Feb 22, 2021 |
| B••••••• C•••••• F••• I•• L••• | Private Equity Fund | $5.2M | 21 | Feb 10, 2017 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• L•••••• · Director, Vice Presidentcontrolsince 09/2020 · owns less than 5%
- K•••••••• W••••••• N••••••• · Director, Cfocontrolsince 03/2020 · owns less than 5%
- M••••• P••••• J••••• · Director, Chairmancontrolsince 03/2020 · owns less than 5%
- O•••• G••• S•• · Director, Executive Vice-Presidentcontrolsince 03/2020 · owns less than 5%
- P••••••••• J•••• D•••••• · Chief Compliance Officercontrolsince 03/2020 · owns less than 5%
- C•••••••• L•••••• · Shareholdercontrolsince 09/2020 · owns 75% or more of 2•••••• O•••••• I•••
- K•••••••• W••••••• N••••••• · Shareholdercontrolsince 03/2020 · owns 75% or more of D•••••• C•••••• I•••
- M••••• P••••• J••••• · Shareholdercontrolsince 03/2020 · owns 75% or more of 1•••••• O•••••• I•••
- O•••• G••• S•• · Membercontrolsince 04/2016 · owns 75% or more of N•• A••••••• V•••••••• L••
Entity owners
- 1•••••• O•••••• I••• · Shareholderdirect · owns 25% to 50%
- 2•••••• O•••••• I••• · Shareholderdirect · owns 25% to 50%
- D•••••• C•••••• I••• · Shareholderdirect · owns 25% to 50%
- N•• A••••••• V•••••••• L•• · Shareholderdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- B••••••• C•••••• •• I•• L•••pooled vehicle sponsorn
- B••••••• C•••••• •• I• L•••pooled vehicle sponsorn
- B••••••• C•••••• ••• I•• L•••pooled vehicle sponsorn
- B••••••• C•••••• ••• I• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 7 to 9Feb 22, 2021 to Mar 29, 2022
- Assets in custody · $281M to $0Feb 22, 2021 to Mar 29, 2022
- Employees · 9 to 11Feb 22, 2021 to Mar 29, 2022
- Discretionary RAUM · $281M to $304MFeb 22, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $281M to $304MFeb 22, 2021 to Mar 29, 2022
- RAUM · $281M to $304MFeb 22, 2021 to Mar 29, 2022
Signals
1 dated events
- B••••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Feb 22, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B••••••• C•••••• M••••••••• I••• · Private Equityshared crd · organization
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