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••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 49 filings
SEC status approved since Sep 7, 2000
RAUM
$238M
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$238M as of Mar 31, 2026
Mar 30, 2012$1.9B then
HNW client RAUM$0 as of Mar 31, 2026
Feb 15, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)3 as of Mar 31, 2026
Mar 28, 201320 then
Private funds1 as of Mar 29, 2016
Mar 30, 20122 then
RAUM -0.0% over the last fiscal year-43% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 31, 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
- $59.6MderivedRAUM 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$234M98%
- Corporations and businesses$4.2M1.8%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.98 institutional_share=0.0 related_bd=true related_bank=true 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•••••••• D•••••• E••••••• E••••• A•••• F••• L•no longer reported | Hedge Fund | $9.3M | 17 | Mar 30, 2012 |
| B•••••••• D•••••• E••••••• E••••• A•••• F••• L••no longer reported | Hedge Fund | $532,658 | 1 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• R••••••• L•• · Ceo, Manager And Membercontrolsince 08/2023 · owns less than 5%
- D•••••• R••••••• P••• · Chief Investment Officer And Membercontrolsince 08/2023 · owns less than 5%
- E••••••• J•••• A•••••• · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- H••••• L••••• A• · Chief Operating Officer, Membercontrolsince 01/2010 · owns less than 5%
- H••••••••• W••••••• R•••• · Managersince 11/2022 · owns less than 5%
- L•••••• D••••• O•••••• · Managersince 06/2023 · owns less than 5%
Entity owners
- W••••••• H••••••• G••••• I••• · Memberdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- F•••••• S••••••••• L••broker-dealern
- S•••••• A•••••••• L•••investment adviserbanknRAUM $61.8M
- S•••••• C•••••• L•••broker-dealern
- S•••••• Z•••••• I••• G•• L••bankpooled vehicle sponsorn
- S•••••• Z•••••• I••• G•• L••bankpooled vehicle sponsorn
- S•••••• Z•••••• I••• G•• L••bankpooled vehicle sponsorn
- T•• S•••••• Z•••••• E••••• F••• G•• L•••investment adviserbankpooled vehicle sponsornRAUM $264M
- W••••••• W••••• M•••••••••investment advisernRAUM $750M
- W••••••• M••••••••• C•••investment advisernRAUM $12B
- W••••••• T••••n
- W•• P• H•••••• L••pooled vehicle sponsorn
Advisers that list B•••••••• A•••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA
What changed
consecutive filings, newest first
- Accounts · 3 to 4Feb 17, 2026 to Mar 31, 2026
- Advisory employees · 4 to 3Feb 17, 2026 to Mar 31, 2026
- Employees · 5 to 3Feb 17, 2026 to Mar 31, 2026
- Other offices · 1 to 0Feb 17, 2026 to Mar 31, 2026
- Discretionary RAUM · $238M to $238MFeb 17, 2026 to Mar 31, 2026
- RAUM · $238M to $238MFeb 17, 2026 to Mar 31, 2026
- Discretionary RAUM · $311M to $238MOct 1, 2024 to Mar 31, 2025
- RAUM · $311M to $238MOct 1, 2024 to Mar 31, 2025
- Financial planning clients · unset to Oct 1, 2024 to Mar 31, 2025
- HQ city · SAN FRANCISCO to DALLASMar 29, 2024 to Oct 1, 2024
- HQ state · CA to TXMar 29, 2024 to Oct 1, 2024
- Accounts · 7 to 3Aug 15, 2023 to Mar 29, 2024
- Advisory employees · 5 to 4Aug 15, 2023 to Mar 29, 2024
- Employees · 9 to 5Aug 15, 2023 to Mar 29, 2024
- Other offices · 0 to 1Aug 15, 2023 to Mar 29, 2024
- Discretionary RAUM · $409M to $311MAug 15, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $876M to $0Aug 15, 2023 to Mar 29, 2024
- RAUM · $1.3B to $311MAug 15, 2023 to Mar 29, 2024
- Wrap assets (manager) · 876297527.0 to unsetAug 15, 2023 to Mar 29, 2024
- Wrap assets (sponsor) · 0.0 to unsetAug 15, 2023 to Mar 29, 2024
- Advisory employees · 4 to 5Dec 2, 2022 to Mar 31, 2023
- Employees · 8 to 9Dec 2, 2022 to Mar 31, 2023
- Discretionary RAUM · $481M to $409MDec 2, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $956M to $876MDec 2, 2022 to Mar 31, 2023
- RAUM · $1.4B to $1.3BDec 2, 2022 to Mar 31, 2023
- Wrap assets (manager) · $956M to $876MDec 2, 2022 to Mar 31, 2023
- Accounts · 6 to 7Oct 25, 2021 to Mar 15, 2022
- Discretionary RAUM · $370M to $481MOct 25, 2021 to Mar 15, 2022
- Non-discretionary RAUM · $413M to $956MOct 25, 2021 to Mar 15, 2022
- RAUM · $783M to $1.4BOct 25, 2021 to Mar 15, 2022
- Wrap assets (manager) · $413M to $956MOct 25, 2021 to Mar 15, 2022
- Discretionary RAUM · $356M to $370MMar 3, 2021 to Mar 24, 2021
- Non-discretionary RAUM · $344M to $413MMar 3, 2021 to Mar 24, 2021
- RAUM · $700M to $783MMar 3, 2021 to Mar 24, 2021
- Wrap assets (manager) · $344M to $413MMar 3, 2021 to Mar 24, 2021
- Discretionary RAUM · $376M to $356MJan 7, 2020 to Feb 12, 2020
- Non-discretionary RAUM · $322M to $344MJan 7, 2020 to Feb 12, 2020
- RAUM · $698M to $700MJan 7, 2020 to Feb 12, 2020
- Wrap assets (manager) · $322M to $344MJan 7, 2020 to Feb 12, 2020
- Advisory activities · 5 to 4Sep 7, 2018 to Mar 22, 2019
Signals
25 dated events
- B•••••••• A•••• M••••••••• L•• reported RAUM $311.1M, down 76% from $1.3B (2023-08-15 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Jon Christopher Guptill (Co-Ceo, President, Co-Chief Investment Officer, Manager And Member) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2023-08-15, absent 2023-08-15)Aug 15, 2023 · Control person left · inference
- Lee Ricardo Cortez (Ceo, Manager And Member) appeared on Schedule A of B•••••••• A•••• M••••••••• L••Aug 15, 2023 · Control person joined · fact
- Paul Richard Damico (Co-Chief Investment Officer And Member) appeared on Schedule A of B•••••••• A•••• M••••••••• L••Jul 26, 2023 · Control person joined · fact
- Thomas Mark Keeley (Manager) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2022-12-02, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Matthew Kevin Keeley (Trustee) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2022-12-02, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Geary Barbara Keeley (Trustee) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2022-12-02, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Kramer Julie Gerron (Senior Vice President - General Counsel And Chief Compliance Officer) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2022-12-02, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- J••• E•••••• (Chief Compliance Officer) appeared on Schedule A of B•••••••• A•••• M••••••••• L••Mar 31, 2023 · Control person joined · fact
- Kramer Julie Gerron (Senior Vice President - General Counsel And Chief Compliance Officer) appeared on Schedule A of B•••••••• A•••• M••••••••• L••Dec 2, 2022 · Control person joined · fact
- Kane William Enszer (Manager) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2022-03-15, absent 2022-12-02)Dec 2, 2022 · Control person left · inference
- Lindsay Kristen Bayazitoglu (Manager) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2022-03-15, absent 2022-12-02)Dec 2, 2022 · Control person left · inference
- B•••••••• A•••• M••••••••• L•• reported RAUM $1.4B, up 84% from $782.9M (2021-10-25 to 2022-03-15)Mar 15, 2022 · RAUM change · derived
- Allen Gregory Reid (Elected Manager) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2021-05-06, absent 2021-10-25)Oct 25, 2021 · Control person left · inference
- Lawrence Jeremy Radcliffe (Chairman, Manager) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2021-05-06, absent 2021-10-25)Oct 25, 2021 · Control person left · inference
- Lindsay Kristen Bayazitoglu (Manager) appeared on Schedule A of B•••••••• A•••• M••••••••• L••Oct 25, 2021 · Control person joined · fact
- Scott Matthew Hibbetts (Manager) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2020-07-09, absent 2020-09-22)Sep 22, 2020 · Control person left · inference
- Kane William Enszer (Manager) appeared on Schedule A of B•••••••• A•••• M••••••••• L••Sep 22, 2020 · Control person joined · fact
- Arthur J••• Blaisdell (Chairman, Manager) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2020-02-12, absent 2020-02-28)Feb 28, 2020 · Control person left · inference
- Wade Jonathan Depriest (Manager) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2019-07-10, absent 2019-10-28)Oct 28, 2019 · Control person left · inference
- Scott Matthew Hibbetts (Manager) appeared on Schedule A of B•••••••• A•••• M••••••••• L••Oct 28, 2019 · Control person joined · fact
- Joseph Daniel Barnett (Chairman, Manager And Member) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2019-03-22, absent 2019-07-10)Jul 10, 2019 · Control person left · inference
- J••• Kinder (Member, Manager) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2019-03-22, absent 2019-07-10)Jul 10, 2019 · Control person left · inference
- Jerome Crown (Elected Manager) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2019-03-22, absent 2019-07-10)Jul 10, 2019 · Control person left · inference
- Andrew Harvey Mcgrath (Member) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2019-03-22, absent 2019-07-10)Jul 10, 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
- Firm profile
- linkedin.com/company/broadmark-asset-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/westwoodholdingsgroupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- westwoodetfs.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 2147566900reportedpublic record, Form ADV, Mar 31, 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