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.

Former SEC-registered adviser

Burnham Asset Management Corp

Former SEC-registered adviserNew York, New YorkCRD 104960SEC 801-8293IAPD
Latest filing Aug 11, 2016
First filing on the tape Mar 30, 2012 · 17 filings
RAUM
$323M
reported, Item 5.F
Discretionary
99%
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
22
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$8.0M gross assets
History
17 filings and snapshots on the tape
RAUM$1.0B as of Mar 30, 2016
Mar 30, 2012$477M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2016
Mar 30, 20120 then
Employees (5.A)22 as of Mar 30, 2016
Mar 28, 201319 then
Private funds1 as of Mar 30, 2016
Mar 27, 20151 then
RAUM -50% over the last fiscal year-16% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Aug 11, 2016; 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
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%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
+60%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
283reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Burnham Emerging Managers Fund LPHedge Fund$8.0M9Dec 24, 2014
Owners and control persons
Schedule A and B, latest filing
  • Marie Marcelle Devine · Chief Financial Officer, Secretary, Treasurer And Directorcontrol
    since 08/2016 · owns less than 5%
  • Fenimore Andrew Godfrey · Directorcontrol
    since 06/2016 · owns less than 5%
  • Lawrence Robert Grosshart · Chief Compliance Officercontrol
    since 02/2016 · owns less than 5%
  • R Stefan Zellmer · Ceo, Directorcontrol
    since 06/2016 · owns less than 5%
  • Dodson Devon Archer · Membercontrol
    since 03/2015 · owns 25% to 50% of Bam Holdings LLC
Entity owners
  • Bam Holdings LLC · Holding Company
    direct · owns 75% or more
  • Kirin Global Enterprises, Inc. · Member
    indirect · owns 25% to 50% of Bam Holdings LLC
Related persons
Schedule D 7.A
Advisers that list Burnham Asset Management Corp as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 255 to 283
    Jun 20, 2016 to Aug 11, 2016
  • Advisory activities · 6 to 4
    Jun 20, 2016 to Aug 11, 2016
  • Discretionary RAUM · $1.0B to $320M
    Jun 20, 2016 to Aug 11, 2016
  • Non-discretionary RAUM · $2.9M to $2.8M
    Jun 20, 2016 to Aug 11, 2016
  • RAUM · $1.0B to $323M
    Jun 20, 2016 to Aug 11, 2016
  • Advisory employees · 16 to 13
    Apr 6, 2016 to Jun 14, 2016
  • BD registered reps · 9 to 7
    Apr 6, 2016 to Jun 14, 2016
  • State-registered IARs · 1 to 0
    Apr 6, 2016 to Jun 14, 2016
  • Related broker-dealer · true to false
    Apr 6, 2016 to Jun 14, 2016
  • Accounts · 284 to 255
    Feb 24, 2016 to Mar 30, 2016
  • Discretionary RAUM · $647M to $1.0B
    Feb 24, 2016 to Mar 30, 2016
  • Non-discretionary RAUM · $3.1M to $2.9M
    Feb 24, 2016 to Mar 30, 2016
  • RAUM · $650M to $1.0B
    Feb 24, 2016 to Mar 30, 2016
  • Advisory employees · 14 to 16
    Mar 27, 2015 to May 27, 2015
  • Employees · 21 to 22
    Mar 27, 2015 to May 27, 2015
  • Accounts · 286 to 284
    Jan 27, 2015 to Mar 27, 2015
  • Discretionary RAUM · $653M to $647M
    Jan 27, 2015 to Mar 27, 2015
  • Non-discretionary RAUM · $3.9M to $3.1M
    Jan 27, 2015 to Mar 27, 2015
  • RAUM · $657M to $650M
    Jan 27, 2015 to Mar 27, 2015
  • Accounts · 249 to 286
    May 9, 2014 to Dec 24, 2014
  • Advisory employees · 12 to 14
    May 9, 2014 to Dec 24, 2014
  • Advisory activities · 3 to 6
    May 9, 2014 to Dec 24, 2014
  • BD registered reps · 8 to 9
    May 9, 2014 to Dec 24, 2014
  • Employees · 20 to 21
    May 9, 2014 to Dec 24, 2014
  • Private funds · unset to 1
    May 9, 2014 to Dec 24, 2014
  • Discretionary RAUM · $620M to $653M
    May 9, 2014 to Dec 24, 2014
  • Non-discretionary RAUM · $3.6M to $3.9M
    May 9, 2014 to Dec 24, 2014
  • RAUM · $624M to $657M
    May 9, 2014 to Dec 24, 2014
  • Accounts · 229 to 249
    Mar 28, 2013 to Mar 28, 2014
  • Employees · 19 to 20
    Mar 28, 2013 to Mar 28, 2014
  • Discretionary RAUM · $538M to $620M
    Mar 28, 2013 to Mar 28, 2014
  • Non-discretionary RAUM · $2.9M to $3.6M
    Mar 28, 2013 to Mar 28, 2014
  • RAUM · $541M to $624M
    Mar 28, 2013 to Mar 28, 2014
  • Accounts · 218 to 229
    Mar 30, 2012 to Mar 28, 2013
  • Advisory employees · unset to 12.0
    Mar 30, 2012 to Mar 28, 2013
  • BD registered reps · unset to 8.0
    Mar 30, 2012 to Mar 28, 2013
  • Employees · unset to 19.0
    Mar 30, 2012 to Mar 28, 2013
  • State-registered IARs · 0 to 1
    Mar 30, 2012 to Mar 28, 2013
  • Discretionary RAUM · $474M to $538M
    Mar 30, 2012 to Mar 28, 2013
  • Non-discretionary RAUM · $2.9M to $2.9M
    Mar 30, 2012 to Mar 28, 2013
Signals
No event on the tape.
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