DFX Intelligence

B•••••• S••••• P••••••• L•••••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

B•••••• S••••• P••••••• L•••••

CRD 158672

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2820c3c9-92e8-af92-b5a4-d157a7f7d7b4

Data as of Jul 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 113
Dated events: 8
On other graphs: 6
Observed: Mar 30, 2012 to Jul 30, 2026
71 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

B•••••• S••••• P••••••• L•••••

Private equity manager · shared crd

Independent Sponsorsidentity

B•••••• S••••• P••••••• L•••••

Capital provider to sponsors · shared crd

Private Creditidentity

B•••••• S••••• P••••••• L•••••

Private credit manager · shared crd

Real Estate Fundsidentity

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=5.0
Regulatory AUM: $28B••• Locked
Discretionary RAUM: $28B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 241

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B•••••• S••••• C••••• A•••• M••••• F••• L•••	Hedge Fund	$2.8B	Feb 19, 2020	16	Mar 30, 2012	dropped	n/a
B•••••• S••••• P••••••• D••• F••• I• L•••	Hedge Fund	$2.4B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• R••••••• J••	President	Na	yes	04/2013	Apr 1, 2013	Dec 26, 2024
F••••••• R••••••••• I•••	SOLE MEMBER	E	yes	02/2019	Feb 12, 2019	Dec 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• L••••••	n/a	Asset manager	$23B	N	yes	n/a
A••••••• N•• L••	n/a	Asset manager	$14B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	39	no
WEST PALM BEACH	FL	United States	11	no
WALNUT CREEK	CA	United States	5	no
Dallas	TX	United States	4	no
Raleigh	Nc	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$28B	$28B	1.5%	$27B	1.2%	241	234	4	4

Relationships

showing 80 of 113

Affiliated with (25)

← K2/D&S MANAGEMENT CO., L.L.C.Registered adviserother investment adviser, common control
factForm ADV
← F••••••• TEMPLETON INVESTMENT MANAGEMENT L••••••Registered adviserother investment adviser, common control
factForm ADV
← CLEARBRIDGE INVESTMENT MANAGEMENT L••••••Registered adviserother investment adviser, common control
factForm ADV
← THE PUTNAM ADVISORY COMPANY, LLC

Dated events

Occurred
Apr 29, 2024
Control person joined
Rick Gallo (Chief Compliance Officer) appeared on Schedule A of B•••••• S••••• P••••••• L•••••
Form ADVobserved 7 days ago
Occurred
Apr 29, 2024
Control person left
Howe Alexander Mcmillan (Chief Compliance Officer) no longer on Schedule A of B•••••• S••••• P••••••• L••••• (listed 2024-03-29, absent 2024-04-29)
Form ADVobserved 7 days ago
Occurred
Feb 12, 2019
Succession filed (Item 4)
B•••••• S••••• P••••••• L••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2820c3c9-92e8-af92-b5a4-d157a7f7d7b4
First observed: Mar 30, 2012
Last observed: Jul 30, 2026 54 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.