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•• P•••••• A•••• M••••••••• U••• I•••
Latest filing Mar 30, 2026
First filing on the tape Jan 11, 2012 · 49 filings
SEC status approved since Feb 14, 1975
RAUM
$48B
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
123
68 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$48B as of Mar 30, 2026
Mar 29, 2012$40B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Apr 1, 20130 then
Employees (5.A)123 as of Mar 30, 2026
Apr 1, 2013128 then
Private funds1 as of Mar 30, 2026
Mar 30, 20172 then
RAUM +11% over the last fiscal year+5.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $664MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 54%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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
- 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)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Sovereign wealth funds$25B58%
- Pooled investment vehicles$17B39%
- Pension and profit-sharing plans$504M1.2%
- Corporations and businesses$502M1.2%
- Charitable organizations$265M0.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 73reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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 |
|---|---|---|---|---|
| L•••••• G••••• I•••••••• L••••• B••• F••• | Hedge Fund | $513M | 1 | Mar 30, 2017 |
| T••••• A••••••• R••••• F•••no longer reported | Hedge Fund | $74.3M | 1 | Mar 30, 2017 |
Owners and control persons
Schedule A and B, latest filing
- C••••• E•••• D••• · Chief Legal Officercontrolsince 05/2023 · owns less than 5%
- F•••••••• G•••• C•••••• · Chief Financial Officer / Treasurercontrolsince 07/2017 · owns less than 5%
- L•••••• J••••••• A•••••••• · Director / Chief Executive Officer / Presidentcontrolsince 01/2021 · owns less than 5%
- P•••••• S•••••• A•••••• · Chairman / Directorcontrolsince 12/2017 · owns less than 5%
- R•••••• A••••• · Chief Operating Officer / Deputy Chief Executive Officercontrolsince 07/2015 · owns less than 5%
- T••••••• T••••••• W•••••• · Chief Compliance Officercontrolsince 06/2019 · owns less than 5%
- H•••••• R•••••• W•••••• · Directorsince 01/2016 · owns less than 5%
- P•••••••• F•••••••• D•••••• · Directorsince 04/2021 · owns less than 5%
- S••••••••• S••••• · Directorsince 05/2023 · owns less than 5%
Entity owners
- B•• P•••••• A•••• M••••••••• U•• H•••••••• I••• · Direct Ownerdirect · owns 75% or more
- B•• P•••••• · Indirect Ownerindirect · owns 75% or more of B•• P•••••• U•• I••• · public reporting company
- B•• P•••••• U• W•••••••• H•••••••• C•••• · Indirect Ownerindirect · owns 75% or more of B•• P•••••• A•••• M••••••••• U•• H•••••••• I•••
- B•• P•••••• U•• I••• · Indirect Ownerindirect · owns 75% or more of B•• P•••••• U• W•••••••• H•••••••• C••••
Related persons
Schedule D 7.A
- B•• P••••••CPO or CTAy
- B•• P•••••• A•••• M••••••••• A••• L••investment advisern
- B•• P•••••• A•••• M••••••••• E•••••investment advisern
- B•• P•••••• A•••• M••••••••• E•••••• B•••••• B•••••investment advisern
- B•• P•••••• A•••• M••••••••• E•••••• N••••••••• B•••••investment advisern
- B•• P•••••• A•••• M••••••••• L•••••••••investment advisern
- B•• P•••••• A•••• M••••••••• M••••••• S••• B•••investment advisern
- B•• P•••••• A•••• M••••••••• M••••• S••• D• C••• S••••••• O•••••••• D• F••••• D• I••••••••investment advisern
- B•• P•••••• A•••• M••••••••• U• L••••••investment advisernRAUM $54B
- B•• P•••••• S••••••••• C••••broker-dealertrust companypooled vehicle sponsorn
- B•• P•••••• S••••••••• S•••••••custodiann
- E•••• S•broker-dealern
Advisers that list B•• P•••••• A•••• M••••••••• U••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Boston, MA18 employees
What changed
consecutive filings, newest first
- Accounts · 77 to 73Jul 29, 2025 to Mar 30, 2026
- Advisory employees · 54 to 68Jul 29, 2025 to Mar 30, 2026
- Pension plan clients · 7 to 4Jul 29, 2025 to Mar 30, 2026
- Pooled vehicle clients · 27 to 26Jul 29, 2025 to Mar 30, 2026
- Employees · 105 to 123Jul 29, 2025 to Mar 30, 2026
- Discretionary RAUM · $43B to $48BJul 29, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $212M to $214MJul 29, 2025 to Mar 30, 2026
- Pension RAUM · $751M to $504MJul 29, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $14B to $17BJul 29, 2025 to Mar 30, 2026
- RAUM · $44B to $48BJul 29, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Jul 29, 2025
- Accounts · 84 to 77Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 53 to 54Mar 28, 2024 to Mar 28, 2025
- Pension plan clients · 8 to 7Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 32 to 27Mar 28, 2024 to Mar 28, 2025
- Employees · 104 to 105Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $42B to $43BMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $182M to $212MMar 28, 2024 to Mar 28, 2025
- Pension RAUM · $1.2B to $751MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $13B to $14BMar 28, 2024 to Mar 28, 2025
- RAUM · $42B to $44BMar 28, 2024 to Mar 28, 2025
- Accounts · 85 to 84Sep 29, 2023 to Mar 28, 2024
- Advisory employees · 57 to 53Sep 29, 2023 to Mar 28, 2024
- Pension plan clients · 11 to 8Sep 29, 2023 to Mar 28, 2024
- Pooled vehicle clients · 27 to 32Sep 29, 2023 to Mar 28, 2024
- Employees · 109 to 104Sep 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $41B to $42BSep 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $33.4M to $182MSep 29, 2023 to Mar 28, 2024
- Pension RAUM · $1.8B to $1.2BSep 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $11B to $13BSep 29, 2023 to Mar 28, 2024
- RAUM · $41B to $42BSep 29, 2023 to Mar 28, 2024
- Accounts · 90 to 85Aug 3, 2022 to Mar 30, 2023
- Advisory employees · 59 to 57Aug 3, 2022 to Mar 30, 2023
- Advisory activities · 3 to 2Aug 3, 2022 to Mar 30, 2023
- BD registered reps · 8 to 0Aug 3, 2022 to Mar 30, 2023
- Pooled vehicle clients · 30 to 27Aug 3, 2022 to Mar 30, 2023
- Employees · 115 to 109Aug 3, 2022 to Mar 30, 2023
- Discretionary RAUM · $52B to $41BAug 3, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $1.2B to $33.4MAug 3, 2022 to Mar 30, 2023
- Pension RAUM · $3.4B to $1.8BAug 3, 2022 to Mar 30, 2023
Signals
8 dated events
- B•• P•••••• A•••• M••••••••• U••• I••• no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $48.4B)Aug 3, 2026 · Left the SEC roster · derived
- Ella Cohen (Chief Legal Officer) appeared on Schedule A of B•• P•••••• A•••• M••••••••• U••• I•••May 31, 2023 · Control person joined · fact
- William Andrew Alter (Chief Legal Officer / Secretary) no longer on Schedule A of B•• P•••••• A•••• M••••••••• U••• I••• (listed 2022-06-01, absent 2022-08-03)Aug 3, 2022 · Control person left · inference
- A Johanna Lasker (Director / Chief Executive Officer / President) appeared on Schedule A of B•• P•••••• A•••• M••••••••• U••• I•••Jan 13, 2021 · Control person joined · fact
- Albert Daniel Klein (Director / Chief Executive Officer / President) no longer on Schedule A of B•• P•••••• A•••• M••••••••• U••• I••• (listed 2020-05-06, absent 2021-01-13)Jan 13, 2021 · Control person left · inference
- William Andrew Alter (Chief Legal Officer / Secretary) appeared on Schedule A of B•• P•••••• A•••• M••••••••• U••• I•••Feb 13, 2019 · Control person joined · fact
- William Timothy Trotter (Acting Chief Compliance Officer) appeared on Schedule A of B•• P•••••• A•••• M••••••••• U••• I•••Feb 13, 2019 · Control person joined · fact
- Sue Robin Meister (Chief Compliance Officer / Chief Legal Officer / Secretary) no longer on Schedule A of B•• P•••••• A•••• M••••••••• U••• I••• (listed 2018-11-27, absent 2019-02-13)Feb 13, 2019 · Control person left · inference
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