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•••••• H••• C•••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 313520SEC 801-120959websiteIAPD
Latest filing Mar 20, 2025
First filing on the tape Mar 26, 2021 · 11 filings
SEC status approved since Apr 26, 2021
RAUM
$391M
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
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$391M as of Mar 20, 2025
Mar 30, 2022$4.1B then
HNW client RAUM$0 as of Mar 20, 2025
Mar 30, 2022$0 then
State-registered IARs (5.B.3)0 as of Mar 20, 2025
Mar 30, 20220 then
Employees (5.A)11 as of Mar 20, 2025
Mar 30, 202211 then
Private funds2 as of Mar 20, 2025
Mar 30, 20222 then
RAUM -92% over the last fiscal year-54% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 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
$78.1MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-92%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
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)
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$391M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
n/areported
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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B•••••• H••• T•••• R••••• F••• L••Hedge Fund$2.9B11Mar 26, 2021
      B•••••• H••• M••••• F••• L•Hedge Fund$782M3Mar 26, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• S•••• J••••• · Chief Compliance Officer/Chief Operating Officercontrol
        since 06/2021 · owns less than 5%
      • H•••••••• J•••• P•••••• · Chief Investment Officer/Limited Partnercontrol
        since 01/2021 · owns 75% or more
      • H•••••••• J•••• P•••••• · Manager Membercontrol
        since 01/2021 · owns 75% or more of B•••••• H••• C•••••• M••••••••• G• L••
      • S••••• J•••••••• T•••••• · Membercontrol
        since 03/2012 · owns 75% or more of J• C•••••• M••••••••• L••
      Entity owners
      • B•••••• H••• C•••••• M••••••••• G• L•• · General Partner
        direct · owns less than 5%
      • J• C•••••• M••••••••• L•• · Limited Partner
        direct · owns 25% to 50%
      • J• C•••••• M••••••••• L•• · Member
        indirect · owns 25% to 50% of B•••••• H••• C•••••• M••••••••• G• L••
      Related persons
      Schedule D 7.A
      • B•••••• H••• G• L••
        bankpooled vehicle sponsorn
      • B•••••• H••• T•••• R••••• M• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Custody of client assets · true to false
        Jul 2, 2024 to Mar 20, 2025
      • Employees · 15 to 11
        Jul 2, 2024 to Mar 20, 2025
      • Discretionary RAUM · $4.9B to $391M
        Jul 2, 2024 to Mar 20, 2025
      • Pooled vehicle RAUM · $4.9B to $391M
        Jul 2, 2024 to Mar 20, 2025
      • RAUM · $4.9B to $391M
        Jul 2, 2024 to Mar 20, 2025
      • Employees · 12 to 15
        May 26, 2023 to Mar 27, 2024
      • Discretionary RAUM · $3.7B to $4.9B
        May 26, 2023 to Mar 27, 2024
      • Pooled vehicle RAUM · $3.7B to $4.9B
        May 26, 2023 to Mar 27, 2024
      • RAUM · $3.7B to $4.9B
        May 26, 2023 to Mar 27, 2024
      • Advisory employees · 7 to 5
        Jan 24, 2023 to Mar 29, 2023
      • Employees · 11 to 12
        Jan 24, 2023 to Mar 29, 2023
      • Discretionary RAUM · $4.1B to $3.7B
        Jan 24, 2023 to Mar 29, 2023
      • Pooled vehicle RAUM · $4.1B to $3.7B
        Jan 24, 2023 to Mar 29, 2023
      • RAUM · $4.1B to $3.7B
        Jan 24, 2023 to Mar 29, 2023
      • Employees · 8 to 11
        Nov 17, 2021 to Mar 30, 2022
      • Discretionary RAUM · $4.1B to $4.1B
        Nov 17, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $4.1B to $4.1B
        Nov 17, 2021 to Mar 30, 2022
      • RAUM · $4.1B to $4.1B
        Nov 17, 2021 to Mar 30, 2022
      • Assets in custody · unset to 0.0
        Jun 15, 2021 to Nov 17, 2021
      • Custody of client assets · false to true
        Jun 15, 2021 to Nov 17, 2021
      • Accounts · 0 to 5
        Mar 26, 2021 to Jun 15, 2021
      • Pooled vehicle clients · 4 to 5
        Mar 26, 2021 to Jun 15, 2021
      • Discretionary RAUM · $0 to $4.1B
        Mar 26, 2021 to Jun 15, 2021
      • Pooled vehicle RAUM · $0 to $4.1B
        Mar 26, 2021 to Jun 15, 2021
      • RAUM · $0 to $4.1B
        Mar 26, 2021 to Jun 15, 2021
      Signals
      6 dated events
      • B•••••• H••• C•••••• M••••••••• L• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $390.7M)
        Aug 1, 2025 · Left the SEC roster · derived
      • B•••••• H••• C•••••• M••••••••• L• reported RAUM $390.7M, down 92% from $4.9B (2024-07-02 to 2025-03-20)
        Mar 20, 2025 · RAUM change · derived
      • B•••••• H••• C•••••• M••••••••• L• reported RAUM $4.9B, up 33% from $3.7B (2023-05-26 to 2024-03-27)
        Mar 27, 2024 · RAUM change · derived
      • John Juneau Lee (Chief Compliance Officer) no longer on Schedule A of B•••••• H••• C•••••• M••••••••• L• (listed 2021-03-26, absent 2021-06-15)
        Jun 15, 2021 · Control person left · inference
      • Joseph Semi Gogliormella (Chief Compliance Officer) appeared on Schedule A of B•••••• H••• C•••••• M••••••••• L•
        Jun 15, 2021 · Control person joined · fact
      • B•••••• H••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Mar 26, 2021 · 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