DFX Intelligence

B•••• R•••• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

B•••• R•••• A•••• M••••••••• L••

CRD 127590

HOPKINS, MN

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Search this name across graphsid dfx:ria:5b427a26-0853-4c42-0c59-acb1f6941f40

Data as of Feb 12, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 1
On other graphs: 2
Observed: Mar 30, 2012 to Feb 12, 2016
17 observations

Across DFX

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

Private Equityidentity

B•••• R•••• A•••• M••••••••• L••

Private equity manager · shared crd

Private Creditidentity

B•••• R•••• A•••• M••••••••• L••

Private credit manager · shared crd

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: $72B••• Locked
Discretionary RAUM: $71B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 149
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B•••• R•••• E••••••• M•••••• F••• L•••	Hedge Fund	$1.3B	Aug 28, 2015	29	Mar 30, 2012	reported	021-168720
B•••• R•••• E•••••• E••••••••• E••••••••• F••• L•••	Hedge Fund	$518M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• R•••• A•••• M••••••••• L••	SHAREHOLDER OF RELYING ADVISERS - SECTION 1.B.	E	yes	08/2003	Mar 30, 2012	Feb 12, 2016
C•••••• F•••••••• S••••••• C•••••••••	Shareholder	E	yes	10/2002	Mar 30, 2012	Feb 12, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••• R•••• C•• •••• G• L••	n/a	n/a	n/a	Y	yes	n/a
B•••• R•••• C•• •••• G• L•	n/a	n/a	n/a	Y	yes	n/a
B•••• R•••• E••• G• L••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
WEYBRIDGE, SURREY	n/a	United Kingdom	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Aug 28, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$72B	$80B	-10.0%	$54B	10.0%	149	169	n/a	n/a

Relationships

Advises (17)

→ B•••• R•••• C•••••••• I••••••••• P••••••• F••• L••Private fundPrivate Equity Fund, ERA
Mar 30, 2012 to presentfactForm ADV
→ B•••• R•••• C•••••• P••••••• F••• •••• L•Private fundPrivate Equity Fund, ERA
Mar 30, 2012 to presentfactForm ADV
→ B•••• R•••• E••••••• M•••••• C••••• O••••••••• F••• I• L•Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ G••••• A••••••••• A••••••• R••••• F••• L•••

Dated events

Occurred
May 26, 2016
Ria registration change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5b427a26-0853-4c42-0c59-acb1f6941f40
First observed: Mar 30, 2012
Last observed: Feb 12, 2016 129 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.