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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
B•• A•••• M••••••••• C••••
Latest filing Jul 2, 2026
First filing on the tape Mar 29, 2012 · 73 filings
SEC status approved since Nov 17, 1989
RAUM
$6.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$6.2B
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
16
reported on Schedule D
History
73 filings and snapshots on the tape
RAUM$6.2B as of Jul 2, 2026
Mar 29, 2012$14B then
HNW client RAUM$457M as of Mar 29, 2021
Mar 30, 2018$599M then
State-registered IARs (5.B.3)1 as of Jul 2, 2026
Apr 1, 201343 then
Employees (5.A)5 as of Jul 2, 2026
Apr 1, 2013203 then
Private funds16 as of Jul 2, 2026
Apr 1, 20137 then
RAUM +19% over the last fiscal year+9.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jul 2, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $6.2BderivedRAUM 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
- $294MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.4B56%
- Corporations and businesses$1.7B27%
- Insurance companies$1.1B18%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 21reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.56 institutional_share=0.18 related_bd=true related_bank=true bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••• A•••• F••••• | Chicago, Il | Feb 1, 2021 | 27 y | 5 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- J••••• J•••• P•••••• to E••••••• F•••••••• L••Dec 12, 2023 · Other
- N••••• C•••• S•••••• to L•• F•••••••• L••Jun 14, 2022 · Other
- B••••••• D•••••• J•••• to F••••••• P•••••••• I•••Apr 12, 2022 · Other
- E••• S•••• K••••• to D••• I••••••••• L••Feb 4, 2022 · Other
- T••••• L••• W••••••••• to M•••••• I••••••••• A•••••••• L••Feb 4, 2022 · Other
- T••••• L•• P••••• to L•• F•••••••• L••Feb 4, 2022 · Other
- J•••• W•••• J••••• to S••••••••• W••••• L••Feb 4, 2022 · Other
- C••••••••• L••••• B••••• to M••••• A••••••• S•••••••• I•••Feb 4, 2022 · Other
- M•••••• E• B•••••• to C••••••• M••••••••• I••••••••• A•••••••• L••Feb 4, 2022 · Other
- S•••• M••• G•••• to G••••• R••••••••• P••••••• L••Aug 2, 2021 · Other
- C••••••••• P••• S•••••• to J••• H•••••• I••••••••• M••••••••• L••Aug 2, 2021 · Other
- A••••• J••••• H••• to C•••••• S••••• • C••• I•••Aug 2, 2021 · Other
- R••• W•••••• D••••••• to W••••••• I•••••••••Dec 4, 2020 · Other
- G•••••••• C•••• to P••• I••••••••• L••Sep 16, 2019 · Other
- K•••••• A•• E•••••• to B•••••• L••• A••••••• S•••••••• I•••Feb 11, 2019 · Other
Joined, latest
- T••••• L••• W••••••••• from M••••• H••••• I••••••••• I••Apr 21, 2021 · Other
- C••••••••• P••• S•••••• from A•••••••• F•••• M••••••••• L••May 18, 2020 · Other
- A••••• J••••• H••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 12, 2019 · Other
- E••• S•••• K••••• from F••••••• P••••••• A•• W•••••••• A•••••••Mar 13, 2019 · Other
- D••• A•••• F••••• from R•••••• J•••• • A••••••••• I•••May 18, 2018 · Other
- J••• P••••• C•••••• from R•••••• I•••••••••Feb 21, 2018 · Other
- T••••• L•• P••••• from C•••• C••••••• L••Aug 2, 2016 · Other
- G•••••••• C•••• from N•••••••• B••••• B• L••Mar 2, 2016 · Other
- C••••••••• L••••• B••••• from A•••••••• F•••• M••••••••• L••Jan 19, 2016 · Other
- S•••• M••• G•••• from L•• F•••••••• L••Nov 2, 2015 · Other
- M•••••• E• B•••••• from C•••••• A••••••• L••Nov 2, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 8 left for C••••••• G•••• A•••••••May 7, 2015 · Chicago, Il
Private funds
27 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•• S••••••••• L•••••• F•••• L••no longer reported | Liquidity Fund | $2.7B | 26 | Mar 13, 2012 |
| S••••••••• L•••••• F••• L••no longer reported | Liquidity Fund | $1.8B | 30 | Mar 30, 2020 |
| G•••• L•••• C•• V•• L•• | Securitized Asset Fund | $387M | 15 | Mar 31, 2022 |
| G•••• L•••• C•• 2••••• L•••no longer reported | Securitized Asset Fund | $352M | 0 | Mar 31, 2015 |
| G•••• L•••• 2••••• C•• | Securitized Asset Fund | $329M | 15 | Mar 30, 2020 |
| G•••• L•••• C•• 2••••• L•••no longer reported | Securitized Asset Fund | $328M | 0 | Apr 29, 2013 |
| G•••• L•••• C•• V• L•• | Securitized Asset Fund | $303M | 15 | Mar 31, 2022 |
| G•••• L•••• C•• 2••••• L•••no longer reported | Securitized Asset Fund | $300M | 0 | Mar 28, 2016 |
| G•••• L•••• K•••• F••• I••• L•• | Other Private Fund | $243M | 3 | Mar 31, 2022 |
| G•••• L•••• 2••••• | Securitized Asset Fund | $212M | 15 | Mar 30, 2020 |
| G•••• L•••• 2••••• C•• | Securitized Asset Fund | $190M | 15 | Mar 30, 2020 |
| G•••• L•••• F••• I•• L•• | Other Private Fund | $123M | 2 | Mar 29, 2021 |
| C••• P••• F•••• I•••••• L••no longer reported | Other Private Fund | $85.7M | 2 | Mar 30, 2020 |
| C••• F•••• I•••••• L••no longer reported | Other Private Fund | $50.0M | 5 | Mar 30, 2020 |
| R••• A••••• A••••• F•••no longer reported | Hedge Fund | $40.8M | 36 | Feb 5, 2013 |
| G••••• L•• V••••••••• E••••• F••• L••no longer reported | Other Private Fund | $32.1M | 5 | Mar 31, 2017 |
| S••••••••• L•••••• F••• I•• L••no longer reported | Liquidity Fund | $28.3M | 3 | Mar 30, 2020 |
| R•••••• I••••••••• F••• L•no longer reported | Other Private Fund | $23.9M | 53 | Mar 13, 2012 |
| S•••• T••• B••• L••no longer reported | Other Private Fund | $10.4M | 1 | Mar 30, 2020 |
| D••••••••• L•••• C•• G••••• E•••••• L••no longer reported | Other Private Fund | $7.9M | 1 | Mar 30, 2020 |
| D••••••••• R••• E••••• I••••• F••• L•no longer reported | Real Estate Fund | $3.8M | 9 | Mar 13, 2012 |
| R••••••••• E••••••• M•••••• E••••• E•• F••• L•• | Other Private Fund | $457,831 | 2 | Mar 30, 2020 |
| M•• T••••••••• M••••••••• F•••• L•no longer reported | Hedge Fund | $210,726 | 14 | Mar 13, 2012 |
| M•• M••••••••• F•••• L•no longer reported | Hedge Fund | $187,103 | 28 | Mar 13, 2012 |
| I••••••••• P••••••• F••• I••• L•no longer reported | Private Equity Fund | $176,116 | 16 | Mar 13, 2012 |
| I••••••••• P••••••• F••• I••• L• | Other Private Fund | $21,380 | 16 | Sep 11, 2023 |
| I••••••••• P••••••• F••• I• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• J••••• M•••• · Directorcontrolsince 01/2023 · owns less than 5%
- D•••• J••••• P•••••• · Directorcontrolsince 01/2023 · owns less than 5%
- F•••••• D•••• A•••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- L•••• G•••••• P•••••• · Chief Financial Officercontrolsince 11/2023 · owns less than 5%
- M••••••• M••••••• A••••• · President And Chaircontrolsince 03/2022 · owns less than 5%
- W•••••••• P•••••••• B••• · Directorcontrolsince 10/2023 · owns less than 5%
Entity owners
- B•• F•••••••• C•••• · Sole Shareholder Of B•• A•••• M••••••••• C••••direct · owns 75% or more
- B••• O• M••••••• · Shareholderindirect · owns 75% or more of B•• F•••••••• C•••• · public reporting company
Related persons
Schedule D 7.A
- B••• O• M•••••••y
- B•• B••• N•••LP sponsorn
- B•• C•••••• M•••••• C••••broker-dealerinvestment advisernRAUM $1.2B
- B•• D••••••• T•••• C••••••n
- B•• F••••• O•••••• L••investment advisernRAUM $10.0B
- B•• F•••••••• C•••••••••y
- B•• N•••••• B•••• S••••••••• L•••broker-dealerinvestment advisern
- S••••• O•••••• A• P••• O• B•• F•••••••• G••••investment advisernRAUM $3.7B
Advisers that list B•• A•••• M••••••••• C•••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Milwaukee, Wi | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- p•••••• fund count surgeChange between filings · filing Apr 24, 2026private funds (Schedule D 7.B.1) moved from 10.0 to 16.0 (+60.0%) between the annual amendments of 2025-03-31 and 2026-04-24; the peer median change was 0.0% (49 comparable advisers, 98.0th percentile of changes)peers: other advisers, $5B to $20B (49) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 16 to 21Dec 3, 2025 to Mar 31, 2026
- Advisory employees · 3 to 4Dec 3, 2025 to Mar 31, 2026
- Corporate clients · 3.0 to unsetDec 3, 2025 to Mar 31, 2026
- Pooled vehicle clients · 10 to 16Dec 3, 2025 to Mar 31, 2026
- Employees · 4 to 5Dec 3, 2025 to Mar 31, 2026
- Private funds · 10 to 16Dec 3, 2025 to Mar 31, 2026
- Discretionary RAUM · $5.2B to $6.2BDec 3, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.4B to $3.4BDec 3, 2025 to Mar 31, 2026
- RAUM · $5.2B to $6.2BDec 3, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to May 15, 2025
- Discretionary RAUM · $4.2B to $5.2BNov 8, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.8B to $2.4BNov 8, 2024 to Mar 31, 2025
- RAUM · $4.2B to $5.2BNov 8, 2024 to Mar 31, 2025
- Related bank · false to trueNov 8, 2024 to Mar 31, 2025
- Accounts · 15 to 16Nov 8, 2024 to Mar 31, 2025
- Advisory employees · 4 to 3Nov 8, 2024 to Mar 31, 2025
- Pooled vehicle clients · 9 to 10Nov 8, 2024 to Mar 31, 2025
- Assets in custody · $21,380 to $0Nov 8, 2024 to Mar 31, 2025
- Custody of client assets · true to falseNov 8, 2024 to Mar 31, 2025
- Employees · 5 to 4Nov 8, 2024 to Mar 31, 2025
- Private funds · 9 to 10Nov 8, 2024 to Mar 31, 2025
- Advisory employees · 3 to 4Dec 12, 2023 to Mar 28, 2024
- BD registered reps · 0 to 1Dec 12, 2023 to Mar 28, 2024
- Corporate clients · 5 to 3Dec 12, 2023 to Mar 28, 2024
- Assets in custody · unset to 21380.0Dec 12, 2023 to Mar 28, 2024
- Custody of client assets · false to trueDec 12, 2023 to Mar 28, 2024
- State-registered IARs · 0 to 1Dec 12, 2023 to Mar 28, 2024
- Other offices · 1 to 0Dec 12, 2023 to Mar 28, 2024
- Discretionary RAUM · $4.6B to $4.2BDec 12, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.9B to $1.8BDec 12, 2023 to Mar 28, 2024
- RAUM · $4.6B to $4.2BDec 12, 2023 to Mar 28, 2024
- Accounts · 13 to 15Aug 15, 2023 to Sep 11, 2023
- Corporate clients · 7 to 5Aug 15, 2023 to Sep 11, 2023
- Pooled vehicle clients · 5 to 9Aug 15, 2023 to Sep 11, 2023
- Private funds · 5 to 9Aug 15, 2023 to Sep 11, 2023
- Discretionary RAUM · $4.7B to $4.6BAug 15, 2023 to Sep 11, 2023
- Pooled vehicle RAUM · $1.6B to $1.9BAug 15, 2023 to Sep 11, 2023
- RAUM · $4.7B to $4.6BAug 15, 2023 to Sep 11, 2023
- Accounts · 15 to 13Feb 17, 2023 to Mar 27, 2023
- Corporate clients · 4 to 7Feb 17, 2023 to Mar 27, 2023
Signals
39 dated events
- P•••••• G••••• L••• (Chief Financial Officer) appeared on Schedule A of B•• A•••• M••••••••• C••••Mar 28, 2024 · Control person joined · fact
- J••••• J•••• P•••••• left B•• A•••• M••••••••• C•••• for E••••••• F•••••••• L•• (registered 2023-11-08)Dec 12, 2023 · Advisor changed firm · fact
- B••• P••••••• W••••••• (Director) appeared on Schedule A of B•• A•••• M••••••••• C••••Nov 17, 2023 · Control person joined · fact
- Rayman Stephen Isaacs (Director) no longer on Schedule A of B•• A•••• M••••••••• C•••• (listed 2023-03-29, absent 2023-06-02)Jun 2, 2023 · Control person left · inference
- P•••••• J•••• D••• (Director) appeared on Schedule A of B•• A•••• M••••••••• C••••Mar 27, 2023 · Control person joined · fact
- Rayman Stephen Isaacs (Director) appeared on Schedule A of B•• A•••• M••••••••• C••••Mar 27, 2023 · Control person joined · fact
- M•••• J•••• C•••••• (Director) appeared on Schedule A of B•• A•••• M••••••••• C••••Mar 27, 2023 · Control person joined · fact
- J•••••• Steven Arquilla (Director) no longer on Schedule A of B•• A•••• M••••••••• C•••• (listed 2023-02-17, absent 2023-03-27)Mar 27, 2023 · Control person left · inference
- Allan Dean Folias (Chief Compliance Officer) appeared on Schedule A of B•• A•••• M••••••••• C••••Jan 10, 2023 · Control person joined · fact
- Dragan Lazich (Chief Compliance Officer) no longer on Schedule A of B•• A•••• M••••••••• C•••• (listed 2023-01-03, absent 2023-01-10)Jan 10, 2023 · Control person left · inference
- N••••• C•••• S•••••• left B•• A•••• M••••••••• C•••• for L•• F•••••••• L•• (registered 2022-01-06)Jun 14, 2022 · Advisor changed firm · fact
- B••••••• D•••••• J•••• left B•• A•••• M••••••••• C•••• for F••••••• P•••••••• I••• (registered 2024-03-28)Apr 12, 2022 · Advisor changed firm · fact
- Gilles Ouellette (Director) no longer on Schedule A of B•• A•••• M••••••••• C•••• (listed 2021-11-18, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Ann S•••••••• L••• (Chief Financial Officer) no longer on Schedule A of B•• A•••• M••••••••• C•••• (listed 2021-11-18, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Ernesto Ramos (Chief Investment Officer) no longer on Schedule A of B•• A•••• M••••••••• C•••• (listed 2021-11-18, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Lynne Kristi Mitchem (Director) no longer on Schedule A of B•• A•••• M••••••••• C•••• (listed 2021-11-18, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- B•• A•••• M••••••••• C•••• reported 0 state-registered advisory representatives, down from 25 (2021-11-18 to 2022-03-31)Mar 31, 2022 · Advisor headcount change · derived
- B•• A•••• M••••••••• C•••• reported RAUM $4.3B, down 88% from $35.3B (2021-11-18 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- J•••• W•••• J••••• left B•• A•••• M••••••••• C•••• for S••••••••• W••••• L•• (registered 2022-01-03)Feb 4, 2022 · Advisor changed firm · fact
- M•••••• E• B•••••• left B•• A•••• M••••••••• C•••• for C••••••• M••••••••• I••••••••• A•••••••• L•• (registered 2022-01-28)Feb 4, 2022 · Advisor changed firm · fact
- E••• K••••• left B•• A•••• M••••••••• C•••• for D••• I••••••••• L•• (registered 2022-03-09)Feb 4, 2022 · Advisor changed firm · fact
- T••••• L•• P••••• left B•• A•••• M••••••••• C•••• for L•• F•••••••• L•• (registered 2024-12-09)Feb 4, 2022 · Advisor changed firm · fact
- C••••••••• L••••• B••••• left B•• A•••• M••••••••• C•••• for M••••• A••••••• S•••••••• I••• (registered 2023-01-24)Feb 4, 2022 · Advisor changed firm · fact
- T••••• L••• W••••••••• left B•• A•••• M••••••••• C•••• for M•••••• I••••••••• A•••••••• L•• (registered 2025-04-30)Feb 4, 2022 · Advisor changed firm · fact
- B•• A•••• M••••••••• C•••• reported 25 state-registered advisory representatives, up from 8 (2021-01-05 to 2021-03-29)Mar 29, 2021 · Advisor headcount change · derived
- Charles Darren Mcmillan (Chief Compliance Officer) no longer on Schedule A of B•• A•••• M••••••••• C•••• (listed 2020-06-15, absent 2021-01-05)Jan 5, 2021 · Control person left · inference
- Raymond Steve Ilott (Chief Investment Officer) no longer on Schedule A of B•• A•••• M••••••••• C•••• (listed 2020-06-15, absent 2021-01-05)Jan 5, 2021 · Control person left · inference
- Dragan Lazich (Chief Compliance Officer) appeared on Schedule A of B•• A•••• M••••••••• C••••Jan 5, 2021 · Control person joined · fact
- Ernesto Ramos (Chief Investment Officer) appeared on Schedule A of B•• A•••• M••••••••• C••••Jan 5, 2021 · Control person joined · fact
- Charles Darren Mcmillan (Chief Compliance Officer) appeared on Schedule A of B•• A•••• M••••••••• C••••Jun 15, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- B•• A•••• M••••••••• C•••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 312-461-4002reportedpublic record, Form ADV, Jul 2, 2026
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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $6.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
B•• A•••• M••••••••• C•••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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