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•••••• A•••••• L••
Latest filing Jul 23, 2025
First filing on the tape Dec 17, 2020 · 13 filings
SEC status approved since Jan 19, 2021
RAUM
$184M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$184M as of Jul 23, 2025
Mar 25, 2022$329M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 23, 2025
Mar 25, 20220 then
Employees (5.A)4 as of Jul 23, 2025
Mar 25, 20224 then
Private funds2 as of Jul 23, 2025
Mar 25, 20222 then
RAUM -56% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 23, 2025; 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
- $61.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 96%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
- -56%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 businesses and institutionsreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Sovereign wealth funds$176M96%
- Pooled investment vehicles$7.7M4.2%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••• C•••••• C•••••••• I• L• | Private Equity Fund | $11.2M | 11 | Mar 25, 2022 |
| B••••• C•••••• C•••••••• I• L• | Private Equity Fund | $1.6M | 8 | Mar 25, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• R••••••• A•••• · Chief Investment Officer And Portfolio Managercontrolsince 07/2020 · owns less than 5%
- C••• Z••••••• A•• · Portfolio Managercontrolsince 07/2020 · owns less than 5%
- G•••••• F••••• · Chief Compliance Officercontrolsince 07/2020 · owns less than 5%
- V•••••• K••••• C•••••••• · Chief Executive Officercontrolsince 07/2020 · owns less than 5%
- C••••••••• R••••••• A•••• · Partnercontrolsince 07/2020 · owns 25% to 50% of L•••••• P••••••• L••
- C••• Z••••••• A•• · Partnercontrolsince 07/2020 · owns 75% or more of L•••••• P••••••• L••
- G•••••• F••••• · Partnercontrolsince 07/2020 · owns 25% to 50% of L•••••• P••••••• L••
- V•••••• K••••• C•••••••• · Partnercontrolsince 07/2020 · owns 75% or more of B••••• C•••••• U•• L••
Entity owners
- B••••• C•••••• U•• L•• · Partnerdirect · owns 25% to 50%
- L•••••• P••••••• L•• · Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- B• G••••• D• R••••••• L••••investment adviserbanknRAUM $1.6B
- B••••• C•••••• G•••••• P•••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · unset to Mar 25, 2025 to Jul 23, 2025
- Discretionary RAUM · $418M to $184MMar 8, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $12.8M to $7.7MMar 8, 2024 to Mar 25, 2025
- RAUM · $418M to $184MMar 8, 2024 to Mar 25, 2025
- Accounts · 4 to 3Sep 25, 2023 to Mar 8, 2024
- Charity clients · unset to 0.0Sep 25, 2023 to Mar 8, 2024
- Discretionary RAUM · $316M to $418MSep 25, 2023 to Mar 8, 2024
- Pooled vehicle RAUM · $12.8M to $12.8MSep 25, 2023 to Mar 8, 2024
- RAUM · $316M to $418MSep 25, 2023 to Mar 8, 2024
- HQ city · SUNNY ISLES BEACH to AVENTURAMay 29, 2023 to Sep 25, 2023
- Discretionary RAUM · $308M to $316MMar 28, 2023 to May 29, 2023
- RAUM · $308M to $316MMar 28, 2023 to May 29, 2023
- Discretionary RAUM · $329M to $308MApr 28, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $11.0M to $12.8MApr 28, 2022 to Mar 28, 2023
- RAUM · $329M to $308MApr 28, 2022 to Mar 28, 2023
- Accounts · 1 to 4Nov 3, 2021 to Mar 25, 2022
- Pooled vehicle clients · 0 to 2Nov 3, 2021 to Mar 25, 2022
- HQ city · NEW YORK to SUNNY ISLES BEACHNov 3, 2021 to Mar 25, 2022
- HQ state · NY to FLNov 3, 2021 to Mar 25, 2022
- Private funds · unset to 2Nov 3, 2021 to Mar 25, 2022
- Discretionary RAUM · $25.5M to $329MNov 3, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · unset to 11045608.0Nov 3, 2021 to Mar 25, 2022
- RAUM · $25.5M to $329MNov 3, 2021 to Mar 25, 2022
- Discretionary RAUM · $19.4M to $25.5MDec 17, 2020 to May 10, 2021
- RAUM · $19.4M to $25.5MDec 17, 2020 to May 10, 2021
Signals
4 dated events
- B••••• C•••••• A•••••• L•• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $183.7M)Sep 2, 2025 · Left the SEC roster · derived
- B••••• C•••••• A•••••• L•• reported RAUM $183.7M, down 56% from $418.1M (2024-03-08 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- B••••• C•••••• A•••••• L•• reported RAUM $418.1M, up 32% from $316.0M (2023-09-25 to 2024-03-08)Mar 8, 2024 · RAUM change · derived
- B••••• C•••••• A•••••• L•• filed its initial SEC registration (Form ADV)Dec 17, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B••••• C•••••• A•••••• L•• · 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 A••••••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