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•••• V•••••• P••••••• M••••••••• C•••••• I• L•••••
Latest filing Oct 19, 2023
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$2.0M
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
10
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$2.0M gross assets
History
15 filings and snapshots on the tape
RAUM$2.0M as of Mar 31, 2023
Mar 30, 2012$52.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 31, 2023
Mar 15, 201310 then
Employees (5.A)10 as of Mar 31, 2023
Mar 15, 201310 then
Private funds1 as of Mar 31, 2023
Mar 30, 20122 then
RAUM -75% over the last fiscal year-44% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Oct 19, 2023; every figure names its basis
- RAUM per advisor
- $392,200derivedRAUM 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
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -75%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%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 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)
- 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)
- 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
- Pooled investment vehicles$2.0M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- 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 |
|---|---|---|---|---|
| B•••• V•••••• P••••••• I• •• L•••••• P••••••••• | Private Equity Fund | $2.0M | 30 | Mar 30, 2012 |
| B•••• V•••••• P••••••• I• L•••••• P•••••••••no longer reported | Private Equity Fund | $1.1M | 35 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- P•••••• A•••••• M•••• · Chief Compliance Officercontrolsince 03/2014 · owns less than 5%
- P••• G•••••• G••••• · Member, Manager, Director, Investment Committee Membercontrolsince 02/2012 · owns 5% to 10%
- B••••• S•••••• G•••••• · Investment Committee Membersince 01/2014 · owns less than 5%
- P•••••• J••••• E••••• · Member, P••••••••, Investment Committee Membersince 01/2011 · owns less than 5%
- R••••••• B•••••••• P•••••• · Member, P••••••••, Investment Committee Membersince 01/2011 · owns less than 5%
- S••••••• P•••• L•• · Chief Legal Officersince 03/2013 · owns less than 5%
Entity owners
- R••••• W• B•••• • C•• I••••••••• · Memberdirect · owns 75% or more
- B•••• F•••••••• C••••••••• · Shareholderindirect · owns 75% or more of R••••• W• B•••• • C•• I•••••••••
- B•••• F•••••••• G••••• I••• · Shareholderindirect · owns 75% or more of B•••• F•••••••• C•••••••••
- B•••• E•••••••• O••••••• P••••••••• I•• L•• · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- B•••• C•••••• ••••••••• P••• L•••investment advisern
- B•••• C•••••• G••••• F••• M••••••••• I• L•investment adviserpooled vehicle sponsornRAUM $322M
- B•••• C•••••• G••••• F••• M••••••••• I• L••investment adviserpooled vehicle sponsoryRAUM $357M
- B•••• C•••••• M••••••••• C••••••• L••investment adviserpooled vehicle sponsornRAUM $738M
- B•••• C•••••• P••••••• M••••••••• C•••••• V• L••investment adviserpooled vehicle sponsornRAUM $1.5M
- B•••• I•••••••• S•••••••• I•••real estaten
- B•••• I••••••••• A••••••• C•• L•••broker-dealern
- B•••• P•••••••• G•••• M••••••••• C•••••• I• L••investment adviserpooled vehicle sponsornRAUM $22.4M
- B•••• P•••••••• G•••• M••••••••• C•••••• I•• L••investment adviserpooled vehicle sponsornRAUM $81.7M
- B•••• P••••••••• L••investment companyn
- B•••• T•••• C••••••n
- B•••• V•••••• P••••••• G• V•• L••pooled vehicle sponsorn
- B•••• V•••••• P••••••• M••••••••• C•••••• I••• L••investment adviserpooled vehicle sponsornRAUM $1.3M
- B•••• V•••••• P••••••• M••••••••• C•••••• I•• L••investment adviserpooled vehicle sponsornRAUM $252M
- B•••• V•••••• P••••••• M••••••••• C•••••• V• L••investment adviserpooled vehicle sponsornRAUM $195M
- R••••• W• B•••• • C•• I•••••••••broker-dealerinvestment adviserbankpooled vehicle sponsorLP sponsorcustodianyRAUM $394B
Advisers that list B•••• V•••••• P••••••• M••••••••• C•••••• I• L••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL3 employees
What changed
consecutive filings, newest first
- Advisory employees · 5 to 3Mar 29, 2022 to Mar 31, 2023
- BD registered reps · 7 to 6Mar 29, 2022 to Mar 31, 2023
- Employees · 9 to 10Mar 29, 2022 to Mar 31, 2023
- State-registered IARs · 6 to 5Mar 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $7.7M to $2.0MMar 29, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $7.7M to $2.0MMar 29, 2022 to Mar 31, 2023
- RAUM · $7.7M to $2.0MMar 29, 2022 to Mar 31, 2023
- Employees · 8 to 9Mar 31, 2021 to Mar 29, 2022
- Discretionary RAUM · $8.9M to $7.7MMar 31, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $8.9M to $7.7MMar 31, 2021 to Mar 29, 2022
- RAUM · $8.9M to $7.7MMar 31, 2021 to Mar 29, 2022
- Advisory employees · 6 to 5Mar 23, 2020 to Mar 31, 2021
- BD registered reps · 8 to 7Mar 23, 2020 to Mar 31, 2021
- Employees · 11 to 8Mar 23, 2020 to Mar 31, 2021
- State-registered IARs · 7 to 6Mar 23, 2020 to Mar 31, 2021
- Discretionary RAUM · $11.1M to $8.9MMar 23, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $11.1M to $8.9MMar 23, 2020 to Mar 31, 2021
- RAUM · $11.1M to $8.9MMar 23, 2020 to Mar 31, 2021
- Related bank · false to trueMar 23, 2020 to Mar 31, 2021
- Advisory employees · 5 to 6Mar 25, 2019 to Mar 23, 2020
- BD registered reps · 7 to 8Mar 25, 2019 to Mar 23, 2020
- State-registered IARs · 6 to 7Mar 25, 2019 to Mar 23, 2020
- Discretionary RAUM · $11.5M to $11.1MMar 25, 2019 to Mar 23, 2020
- Pooled vehicle RAUM · $11.5M to $11.1MMar 25, 2019 to Mar 23, 2020
- RAUM · $11.5M to $11.1MMar 25, 2019 to Mar 23, 2020
- Advisory employees · 4 to 5Mar 21, 2018 to Mar 25, 2019
- Employees · 8 to 11Mar 21, 2018 to Mar 25, 2019
- State-registered IARs · 5 to 6Mar 21, 2018 to Mar 25, 2019
- Discretionary RAUM · $11.5M to $11.5MMar 21, 2018 to Mar 25, 2019
- Pooled vehicle RAUM · $11.5M to $11.5MMar 21, 2018 to Mar 25, 2019
- RAUM · $11.5M to $11.5MMar 21, 2018 to Mar 25, 2019
- Accounts · 3 to 1Mar 13, 2017 to Mar 21, 2018
- BD registered reps · 9 to 7Mar 13, 2017 to Mar 21, 2018
- Pooled vehicle clients · unset to 1.0Mar 13, 2017 to Mar 21, 2018
- Employees · 10 to 8Mar 13, 2017 to Mar 21, 2018
- State-registered IARs · 6 to 5Mar 13, 2017 to Mar 21, 2018
- Other offices · unset to 1.0Mar 13, 2017 to Mar 21, 2018
- Private funds · 2 to 1Mar 13, 2017 to Mar 21, 2018
- Discretionary RAUM · $12.8M to $11.5MMar 13, 2017 to Mar 21, 2018
- Pooled vehicle RAUM · unset to 11528000.0Mar 13, 2017 to Mar 21, 2018
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- B•••• V•••••• P••••••• M••••••••• C•••••• I• L••••• · Private Equityshared crd · organization
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