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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SEC-registered adviser
B••• A•••• M••••••••• U•• I••
Latest filing Mar 25, 2026
First filing on the tape Mar 22, 2012 · 19 filings
SEC status approved since May 12, 1998
RAUM
$344M
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$344M as of Mar 25, 2026
Mar 22, 2012$156M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 22, 20120 then
Employees (5.A)0 as of Mar 25, 2026
Feb 26, 201315 then
Private funds2 as of Mar 25, 2026
Mar 22, 20122 then
RAUM +0.0% over the last fiscal year-3.5% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 25, 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
- $172MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- +0.0%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 assetsreportedItem 5.E
- Advisory activities
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$344M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
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 |
|---|---|---|---|---|
| B••• A•••••••• T•••• | Other Private Fund | $218M | 3 | Mar 22, 2012 |
| B••• G••••• T•••• | Other Private Fund | $165M | 3 | Mar 22, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• K••••• J••• · D•••••Or And Company Secretarycontrolsince 06/2019 · owns less than 5%
- K••••• T••••••• J••• · Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
- L•••••• M••••••• A••••• · Presidentcontrolsince 09/2024 · owns less than 5%
- T•••••• E••••••• L•••••• · D•••••Orcontrolsince 06/2019 · owns less than 5%
- B•••• A•••••• G••••• · Shareholdercontrolsince 03/1998 · owns 25% to 50% of B••• Group Holdings L••••••
- B•••• E••••• O• C••••• M••••• · Shareholdercontrolsince 03/1998 · owns 25% to 50% of B••• A•••• M••••••••• L••••••
- B•••• L••••• M••••• · Shareholdercontrolsince 03/1998 · owns 25% to 50% of B••• Group Holdings L••••••
- P•••••• D••••• A••••••• · Shareholdercontrolsince 03/1998 · owns 25% to 50% of B••• Group Holdings L••••••
Entity owners
- B••• A•••• M••••••••• L•••••• · Shareholderdirect · owns 75% or more
- B••• A•••• M••••••••• ••••••••• P•• L•••••• · Shareholderindirect · owns 50% to 75% of B••• A•••• M••••••••• L••••••
- B••• G•••• H••••••• P•• L•••••• · Shareholderindirect · owns 25% to 50% of B••• A•••• M••••••••• ••••••••• P•• L••••••
Related persons
Schedule D 7.A
- B••• A•••• M••••••••• L••••••investment adviseryRAUM $2.2B
- B••• P••••• S••••••••• ••• L••broker-dealern
- B••• P••••• S••••••••• L••••••broker-dealern
- T•••• P•••• P••••••• P•• L••••••broker-dealern
Advisers that list B••• A•••• M••••••••• U•• I•• as a related person
- 146144 y
Offices
Schedule D 1.F, the 25 largest
- Melbourne, Australia8 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $383M to $344MOct 22, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $383M to $344MOct 22, 2025 to Mar 25, 2026
- RAUM · $383M to $344MOct 22, 2025 to Mar 25, 2026
- Other offices · 1 to 0Mar 25, 2025 to Oct 22, 2025
- Discretionary RAUM · $344M to $383MMar 25, 2025 to Oct 22, 2025
- Pooled vehicle RAUM · $344M to $383MMar 25, 2025 to Oct 22, 2025
- RAUM · $344M to $383MMar 25, 2025 to Oct 22, 2025
- Financial planning clients · unset to Oct 9, 2024 to Mar 25, 2025
- HQ city · NEW YORK to Oct 9, 2024 to Mar 25, 2025
- HQ state · NY to Oct 9, 2024 to Mar 25, 2025
- Discretionary RAUM · $422M to $344MOct 9, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $422M to $344MOct 9, 2024 to Mar 25, 2025
- RAUM · $422M to $344MOct 9, 2024 to Mar 25, 2025
- Discretionary RAUM · $383M to $422MMar 16, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $383M to $422MMar 16, 2023 to Mar 25, 2024
- RAUM · $383M to $422MMar 16, 2023 to Mar 25, 2024
- Discretionary RAUM · $461M to $383MMar 24, 2022 to Mar 16, 2023
- Pooled vehicle RAUM · $461M to $383MMar 24, 2022 to Mar 16, 2023
- RAUM · $461M to $383MMar 24, 2022 to Mar 16, 2023
- Advisory employees · 8 to 0Mar 24, 2021 to Mar 24, 2022
- Employees · 25 to 0Mar 24, 2021 to Mar 24, 2022
- Discretionary RAUM · $384M to $461MMar 24, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $384M to $461MMar 24, 2021 to Mar 24, 2022
- RAUM · $384M to $461MMar 24, 2021 to Mar 24, 2022
- Discretionary RAUM · $343M to $384MMar 18, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $343M to $384MMar 18, 2020 to Mar 24, 2021
- RAUM · $343M to $384MMar 18, 2020 to Mar 24, 2021
- Advisory employees · 7 to 8Jun 3, 2019 to Mar 18, 2020
- Employees · 20 to 25Jun 3, 2019 to Mar 18, 2020
- Discretionary RAUM · $272M to $343MJun 3, 2019 to Mar 18, 2020
- Pooled vehicle RAUM · $272M to $343MJun 3, 2019 to Mar 18, 2020
- RAUM · $272M to $343MJun 3, 2019 to Mar 18, 2020
- Advisory employees · 6 to 7Mar 19, 2018 to Mar 19, 2019
- Discretionary RAUM · $293M to $272MMar 19, 2018 to Mar 19, 2019
- Pooled vehicle RAUM · $293M to $272MMar 19, 2018 to Mar 19, 2019
- RAUM · $293M to $272MMar 19, 2018 to Mar 19, 2019
- Pooled vehicle clients · unset to 2.0Mar 29, 2017 to Mar 19, 2018
- Employees · 19 to 20Mar 29, 2017 to Mar 19, 2018
- Other offices · unset to 1.0Mar 29, 2017 to Mar 19, 2018
- Discretionary RAUM · $240M to $293MMar 29, 2017 to Mar 19, 2018
Signals
7 dated events
- James Nicholas Fels (Director/President/Chief Compliance Officer) no longer on Schedule A of B••• A•••• M••••••••• U•• I•• (listed 2024-03-25, absent 2024-10-09)Oct 9, 2024 · Control person left · inference
- John Timothy Kelly (Chief Compliance Officer) appeared on Schedule A of B••• A•••• M••••••••• U•• I••Oct 9, 2024 · Control person joined · fact
- Ashley Michael Lovett (President) appeared on Schedule A of B••• A•••• M••••••••• U•• I••Oct 9, 2024 · Control person joined · fact
- Lansing Eleanor Thomas (Director) appeared on Schedule A of B••• A•••• M••••••••• U•• I••Jun 3, 2019 · Control person joined · fact
- John Kevin Blanchfield (Director And Company Secretary) appeared on Schedule A of B••• A•••• M••••••••• U•• I••Jun 3, 2019 · Control person joined · fact
- Kathleen Donna Gilding (Director) no longer on Schedule A of B••• A•••• M••••••••• U•• I•• (listed 2019-03-19, absent 2019-06-03)Jun 3, 2019 · Control person left · inference
- D. Joseph Tydings (Director) no longer on Schedule A of B••• A•••• M••••••••• U•• I•• (listed 2018-03-19, absent 2019-03-19)Mar 19, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 613 8637 6000reportedpublic record, Form ADV, Mar 25, 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
- Asset manager (funds and pooled vehicles)deriveda 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