DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

BALA CAPITAL GROUP, LLC

CRD 290347

PHILADELPHIA, PA

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:52e97549-7e57-4293-2d18-d4e2967403b5

Data as of Nov 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 5
On other graphs: 0
Observed: Mar 20, 2018 to Nov 30, 2022
18 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $12.2MItem 5.F on the latest filing (2022-11-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $12.2M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 20
Advisory employees: 10
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 3
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $12.2Mgross asset value as reported per fund; never fund size
Custody, client assets: $12.2M
SEC number: 801-112882
CRD: 290347
Filings on the tape: 18
First filed: Mar 20, 2018
Latest filed: Nov 30, 2022
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
BALA CAPITAL FUND LLC	Other Private Fund	$11.1M	Nov 30, 2022	17	Mar 26, 2014	reported	021-177948
BALA CAPITAL OPPORTUNITY MASTER FUND LTD	Other Private Fund	$1.1M	Nov 30, 2022	1	Mar 20, 2018	reported	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BLOOMFIELD, KEITH, MITCHELL	CHIEF EXECUTIVE OFFICER	Na	yes	01/2017	Mar 20, 2018	Nov 30, 2022
FWM HOLDINGS LLC	MANAGING MEMBER	E	yes	01/2017	Mar 20, 2018	Nov 30, 2022
GEARHART, WILLIAM, RAGNAR	CHIEF COMPLIANCE OFFICER	Na	yes	03/2022	Apr 11, 2022	Nov 30, 2022
GREGORCHUK, PAUL, SCOTT	EXECUTIVE CHAIRMAN	Na	yes	01/2017	Mar 20, 2018	Nov 30, 2022
MEHALKO, ANDREW, PATRICK	CHIEF INVESTMENT OFFICER	Na	yes	01/2019	Jan 3, 2019	Nov 30, 2022
PINTO, DANIEL, EMILE	Controller	D	yes	04/2018	Apr 16, 2021	Nov 30, 2022
STANHOPE CAPITAL (SWITZERLAND) SA	Member	E	yes	02/2021	Mar 30, 2021	Nov 30, 2022
STANHOPE CAPITAL GROUP SA	Shareholder	E	yes	02/2021	Mar 30, 2021	Nov 30, 2022
FAGLEY, CHRISTOPHER, LEITH	CHIEF OPERATING OFFICER	Na	no	01/2017	Mar 20, 2018	Nov 30, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
FFT WEALTH MANAGEMENT LLC	n/a	Independent wealth	$2.3B	N	yes	n/a
LGL PARTNERS, LLC	n/a	Independent wealth	$1.7B	N	yes	n/a
OPTIMA ASSET MANAGEMENT LLC	n/a	Other adviser	$892M	N	yes	n/a
KEITH M. BLOOMFIELD	n/a	n/a	n/a	N	yes	n/a
OPTIMA MANAGERS GP-MM LLC	n/a	n/a	n/a	N	yes	n/a
OPTIMA MANAGERS LLC	n/a	n/a	n/a	N	yes	n/a
PORTMAN SQUARE GENERAL PARTNER SARL	n/a	n/a	n/a	N	yes	n/a
SPV MANAGER GP LLC	n/a	n/a	n/a	N	yes	n/a
STANHOPE FFT GLOBAL VENTURE FUND GP LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2021	Mar 31, 2022	$12.2M	$12.2M	20	10	2	$12.2M
2020	Mar 30, 2021	$19.3M	$19.3M	24	12	2	$19.3M
2019	Mar 27, 2020	$44.7M	$44.7M	25	18	2	$38.4M
2018	Mar 28, 2019	$73.0M	$73.0M	24	13	2	$73.0M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$12.2M	$19.3M	-36.9%	$73.0M	-44.9%	20	24	0	0

Relationships

Affiliated with (3)

→ CORIENT SHC WEALTH MANAGEMENT (US) LPRegistered adviserother investment adviser, common control
factForm ADV
→ CORIENT SHC PARTNERS (US) LPRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ OPTIMA ASSET MANAGEMENT LPRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Advises (2)

→ BALA CAPITAL FUND LLCPrivate fundOther Private Fund, IA
Mar 26, 2014 to presentfactForm ADV
→ BALA CAPITAL OPPORTUNITY MASTER FUND LTDPrivate fundOther Private Fund, IA
Mar 20, 2018 to presentfactForm ADV

Controls (7)

← MEHALKO, ANDREW, PATRICKOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Jan 3, 2019 to presentfactForm ADV
← GREGORCHUK, PAUL, SCOTTOwnerEXECUTIVE CHAIRMAN, ownership code NA, individual
Mar 20, 2018 to presentfactForm ADV
← PINTO, DANIEL, EMILEOwnerCONTROLLER, ownership code D, individual
Apr 16, 2021 to presentfactForm ADV
← BLOOMFIELD, KEITH, MITCHELLOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 20, 2018 to presentfactForm ADV
← GEARHART, WILLIAM, RAGNAROwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 11, 2022 to presentfactForm ADV
← FWM HOLDINGS LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 20, 2018 to presentfactForm ADV
← STANHOPE CAPITAL (SWITZERLAND) SAOwnerMEMBER, ownership code E, foreign entity
Mar 30, 2021 to presentfactForm ADV

Owns (1)

← FAGLEY, CHRISTOPHER, LEITHOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 20, 2018 to presentfactForm ADV

Dated events

Occurred
Apr 11, 2022
Control person joined
Ragnar William Gearhart (Chief Compliance Officer) appeared on Schedule A of Bala Capital Group, Llc
Form ADVobserved 4 days ago
Occurred
Apr 16, 2021
Control person joined
Emile Daniel Pinto (Controller) appeared on Schedule A of Bala Capital Group, Llc
Form ADVobserved 4 days ago
Occurred
Jan 3, 2019
Control person left
David William Luterman (Chief Investment Officer) no longer on Schedule A of Bala Capital Group, Llc (listed 2018-09-24, absent 2019-01-03)
Form ADVobserved 4 days ago
Occurred
Jan 3, 2019
Control person joined
Patrick Andrew Mehalko (Co-Chief Investment Officer) appeared on Schedule A of Bala Capital Group, Llc
Form ADVobserved 4 days ago
Occurred
Mar 20, 2018
First Form ADV filing
Bala Capital Group, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:52e97549-7e57-4293-2d18-d4e2967403b5
First observed: Mar 20, 2018
Last observed: Nov 30, 2022 46 months 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.

BALA CAPITAL GROUP, LLC

CRD 290347

PHILADELPHIA, PA

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:52e97549-7e57-4293-2d18-d4e2967403b5

Data as of Nov 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:08 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

BALA CAPITAL FUND LLC

Other Private Fund

$11.1M

Nov 30, 2022

Mar 26, 2014

reported

021-177948

BALA CAPITAL OPPORTUNITY MASTER FUND LTD

Other Private Fund

$1.1M

Nov 30, 2022

Mar 20, 2018

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BLOOMFIELD, KEITH, MITCHELL

CHIEF EXECUTIVE OFFICER

yes

01/2017

Mar 20, 2018

Nov 30, 2022

FWM HOLDINGS LLC

MANAGING MEMBER

yes

01/2017

Mar 20, 2018

Nov 30, 2022

GEARHART, WILLIAM, RAGNAR

CHIEF COMPLIANCE OFFICER

yes

03/2022

Apr 11, 2022

Nov 30, 2022

GREGORCHUK, PAUL, SCOTT

EXECUTIVE CHAIRMAN

yes

01/2017

Mar 20, 2018

Nov 30, 2022

MEHALKO, ANDREW, PATRICK

CHIEF INVESTMENT OFFICER

yes

01/2019

Jan 3, 2019

Nov 30, 2022

PINTO, DANIEL, EMILE

Controller

yes

04/2018

Apr 16, 2021

Nov 30, 2022

STANHOPE CAPITAL (SWITZERLAND) SA

Member

yes

02/2021

Mar 30, 2021

Nov 30, 2022

STANHOPE CAPITAL GROUP SA

Shareholder

yes

02/2021

Mar 30, 2021

Nov 30, 2022

FAGLEY, CHRISTOPHER, LEITH

CHIEF OPERATING OFFICER

01/2017

Mar 20, 2018

Nov 30, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FFT WEALTH MANAGEMENT LLC

n/a

Independent wealth

$2.3B

yes

n/a

LGL PARTNERS, LLC

n/a

Independent wealth

$1.7B

yes

n/a

OPTIMA ASSET MANAGEMENT LLC

n/a

Other adviser

$892M

yes

n/a

KEITH M. BLOOMFIELD

n/a

yes

n/a

OPTIMA MANAGERS GP-MM LLC

n/a

yes

n/a

OPTIMA MANAGERS LLC

n/a

yes

n/a

PORTMAN SQUARE GENERAL PARTNER SARL

n/a

yes

n/a

SPV MANAGER GP LLC

n/a

yes

n/a

STANHOPE FFT GLOBAL VENTURE FUND GP LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 31, 2022

$12.2M

2020

Mar 30, 2021

$19.3M

2019

Mar 27, 2020

$44.7M

$38.4M

2018

Mar 28, 2019

$73.0M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$12.2M

$19.3M

-36.9%

$73.0M

-44.9%