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••• B•••• C••••••
Legal name B••• B•••• C••••••• L••
Latest filing Apr 29, 2024
First filing on the tape Aug 11, 2023 · 9 filings
RAUM
$142M
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
2
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
$142M gross assets
History
9 filings and snapshots on the tape
RAUM$142M as of Apr 29, 2024
Aug 11, 2023$0 then
HNW client RAUM$0 as of Apr 29, 2024
Aug 11, 2023$0 then
State-registered IARs (5.B.3)0 as of Apr 29, 2024
Aug 11, 20230 then
Employees (5.A)2 as of Apr 29, 2024
Aug 11, 20232 then
Private funds2 as of Apr 29, 2024
Jan 5, 20242 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 29, 2024; 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
- $70.9MderivedRAUM 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 assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$142M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| N•••• I••••••••• S••• L• | Private Equity Fund | $115M | 56 | Mar 27, 2019 |
| B• T••• M•••••• L• | Private Equity Fund | $26.5M | 42 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• T•••••• F••••• M••••• · Sole Member And Chief Executive Officercontrolsince 07/2023 · owns 75% or more
- R••••••••• O•••• · Chief Compliance Officercontrolsince 08/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Miami, FL1 employees
- Miami B••••, FL1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $157M to $142MFeb 9, 2024 to Apr 12, 2024
- Pooled vehicle RAUM · $157M to $142MFeb 9, 2024 to Apr 12, 2024
- RAUM · $157M to $142MFeb 9, 2024 to Apr 12, 2024
- Business name · B••• B•••• C••••••• L•• to B••• B•••• C••••••Jan 5, 2024 to Jan 23, 2024
- Accounts · 0 to 2Aug 11, 2023 to Jan 5, 2024
- Business name · B••• B•••• C•••••• to B••• B•••• C••••••• L••Aug 11, 2023 to Jan 5, 2024
- Pooled vehicle clients · 0 to 2Aug 11, 2023 to Jan 5, 2024
- Other offices · 1 to 2Aug 11, 2023 to Jan 5, 2024
- Private funds · unset to 2Aug 11, 2023 to Jan 5, 2024
- Discretionary RAUM · $0 to $157MAug 11, 2023 to Jan 5, 2024
- Pooled vehicle RAUM · $0 to $157MAug 11, 2023 to Jan 5, 2024
- RAUM · $0 to $157MAug 11, 2023 to Jan 5, 2024
Signals
1 dated events
- B••• B•••• C•••••• filed its initial SEC registration (Form ADV)Aug 11, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B••• B•••• C•••••• · 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