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••••••••• P••••• S••••••••• G•••• L••
Latest filing Sep 2, 2026
First filing on the tape Mar 30, 2012 · 42 filings
SEC status approved since May 30, 1989
RAUM
$66B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.9%
$611M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
90
41 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$66B as of Jun 30, 2026
Mar 30, 2012$15B then
HNW client RAUM$431M as of Jun 30, 2026
Feb 16, 2018$25.1M then
State-registered IARs (5.B.3)0 as of Jun 30, 2026
Apr 1, 20130 then
Employees (5.A)90 as of Jun 30, 2026
Apr 1, 2013146 then
Private funds3 as of Jun 30, 2026
Mar 30, 20121 then
RAUM +38% over the last fiscal year+45% a year over threeIARs 0 to 0offices 4 to 3
Practice profile
derived from the filing of Sep 2, 2026; every figure names its basis
Archetypes, each a printed rule
- i•••itutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- ocio i•••itutional a••••••y · selection of other advisers (5.G.7) and institutional share at least 50 percent
- 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
- $61.6MderivedHNW RAUM over HNW clients
- Average account
- $722MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 71%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +38%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $1.4B, 4 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$46B69%
- Pooled investment vehicles$14B22%
- Investment companies$3.1B4.7%
- Corporations and businesses$842M1.3%
- State and municipal entities$659M1.0%
- Sovereign wealth funds$605M0.9%
- Pension and profit-sharing plans$601M0.9%
- High-net-worth individuals$431M0.7%
- Individuals$180M0.3%
- Charitable organizations$40.9M0.1%
- Individual clients
- 344reported
- HNW clients
- 7reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 92reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $180M managedreported
- Custody of client assets
- $1.4B for 4 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.26 institutional_share=0.71 related_bd=true related_bank=true bd_reps=7.0derived
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
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••••• R••• A••••• H••••• M••••• F••• L••• | Other Private Fund | $229M | 815 | Feb 16, 2018 |
| B••••••••• G••••• L••••• I••••••••• C••••••••• S•• L• | Other Private Fund | $225M | 2 | Mar 31, 2023 |
| B••••••••• R••• A••••• H••••• Q•••• F••• | Other Private Fund | $36.4M | 3 | Mar 31, 2023 |
| B••••••••• I••••••••• F•••• •••••• P••no longer reported | Other Private Fund | $35.3M | 3 | Aug 3, 2012 |
| W•••• S••••• O••••••• L••••••no longer reported | Hedge Fund | $33.7M | 3 | Mar 30, 2012 |
| B••••••••• A•••••••• F••• L•no longer reported | Hedge Fund | $33.5M | 3 | May 29, 2015 |
| B••••••••• R••• E••••• S••••••••• R••••••• F••• | Other Private Fund | $31.1M | 2 | Mar 31, 2022 |
| W•••• S••••• G••••• P•••••••• L• | Hedge Fund | $18.9M | 6 | Mar 30, 2012 |
| B••••••••• G••••• R••••••••• • S••••••••• I••••••••• L•no longer reported | Other Private Fund | $18.0M | 4 | Mar 30, 2020 |
| B••••••••• G••••• E••••• L••••••••• F••• L•no longer reported | Hedge Fund | $17.6M | 3 | Aug 28, 2015 |
| C••••• C•••• B••••••••• C•••••• P•••••••• L•••no longer reported | Hedge Fund | $15.2M | 26 | Mar 30, 2012 |
| B••••••••• G••••• L••••• I••••••••• M••••• F••• L•no longer reported | Hedge Fund | $10.4M | 16 | Aug 3, 2012 |
| B••••••••• H••• Y•••• A•••••••• F••• L•no longer reported | Other Private Fund | $20,527 | 1 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••••••• B••••• T••••• · Chief Compliance Officer And Regulatory Counselcontrolsince 12/2017 · owns less than 5%
- H•••••• B••••• F••••••••• · General Counselcontrolsince 10/2017 · owns less than 5%
- L•••• D••••• W•••••• · Chief Executive Officercontrolsince 07/2019 · owns less than 5%
Entity owners
- B••••••••• P••••• S••••••••• G•••• H••••••• L•• · Sole Member Of B••••••••• P••••• S••••••••• G•••• L••direct · owns 75% or more
- B••••••••• A•••• M••••••••• L••• · Ownerindirect · owns 25% to 50% of B••••••••• A•••• M••••••••• U•• · public reporting company
- B••••••••• A•••• M••••••••• U•• · Ownerindirect · owns 75% or more of B••••••••• U• H••••••• I••
- B••••••••• C••••••••• · Ownerindirect · owns 75% or more of B••••••••• A•••• M••••••••• U•• · public reporting company
- B••••••••• U• H••••••• I•• · Ownerindirect · owns 75% or more of B••••••••• U• I••
- B••••••••• U• I•• · Ownerindirect · owns 75% or more of B••••••••• P••••• S••••••••• G•••• H••••••• L••
Related persons
Schedule D 7.A
- Bam Credit And I•••••••• S•••••••• A•••••• LLCinvestment adviserbanknRAUM $107B
- B••••••••• A•••• M••••••••• P•• A•••••• ••••••• E••••••• L•••investment adviserbanknRAUM $74B
- B••••••••• A•••• M••••••••• P•• B••• L••investment adviserbanknRAUM $912M
- B••••••••• A•••• M••••••••• P•• C•••••• L•investment adviserbanknRAUM $152B
- B••••••••• A•••• M••••••••• P•• U•• L••investment adviserbanknRAUM $105B
- Pinegrove Opportunity Partners, LLCinvestment adviserbanknRAUM $2.9B
- B••••••••• B•• A••••••• ••• L••••••investment advisery
- B••••••••• I••••••••• M••••••••• ••••••• U••investment advisern
- B••••••••• O•••••• W••••• S•••••••• L••broker-dealern
- B••••••••• P•••••• A••••••• L••broker-dealern
- B••••••••• R•••••••• E••••• G•••• L••investment advisernRAUM $99B
- C•••••• R•••• C•••••• A••••••• L••investment advisery
- O•••••• C•••••• M••••••••• L•••investment advisernRAUM $183B
- O•••••• F••• A•••••••• L••investment advisernRAUM $14B
- S••• G••••• S••••••••• C••••• L•broker-dealern
- S••• G••••• S••••••••• U• L•broker-dealern
- S••• G••••• S••••••••• U• L••broker-dealern
Advisers that list B••••••••• P••••• S••••••••• G•••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL33 employees
- Houston, TX6 employees
- Austin, TX1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $48,286,884,607 to $66,463,831,334 (+38.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (83 comparable advisers, 98.0th percentile of changes)peers: I•••ITUTIONAL, $20B and over (83) · 98% percentile
Data quality: total accounts (5.F.2.f) is below the private client count (5.D) by half or more on the filing of 2026-09-02
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJun 30, 2026 to Sep 2, 2026
- Private funds · 3 to unsetJun 30, 2026 to Sep 2, 2026
- Succession · false to unsetJun 30, 2026 to Sep 2, 2026
- Accounts · 115 to 92Jan 2, 2026 to Mar 31, 2026
- Advisory employees · 38 to 41Jan 2, 2026 to Mar 31, 2026
- BD registered reps · 10 to 7Jan 2, 2026 to Mar 31, 2026
- HNW clients · 12 to 7Jan 2, 2026 to Mar 31, 2026
- Individual clients · 287 to 344Jan 2, 2026 to Mar 31, 2026
- Pension plan clients · 7 to 5Jan 2, 2026 to Mar 31, 2026
- Pooled vehicle clients · 26 to 23Jan 2, 2026 to Mar 31, 2026
- Employees · 113 to 90Jan 2, 2026 to Mar 31, 2026
- Other offices · 4 to 3Jan 2, 2026 to Mar 31, 2026
- Discretionary RAUM · $48B to $66BJan 2, 2026 to Mar 31, 2026
- HNW RAUM · $401M to $431MJan 2, 2026 to Mar 31, 2026
- Individual RAUM · $209M to $180MJan 2, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $40.9M to $18.0MJan 2, 2026 to Mar 31, 2026
- Pension RAUM · $527M to $601MJan 2, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $13B to $14BJan 2, 2026 to Mar 31, 2026
- RAUM · $48B to $66BJan 2, 2026 to Mar 31, 2026
- Wrap assets (manager) · $168M to $180MJan 2, 2026 to Mar 31, 2026
- Accounts · 478 to 115Jun 29, 2024 to Mar 31, 2025
- Advisory employees · 39 to 38Jun 29, 2024 to Mar 31, 2025
- BD registered reps · 11 to 10Jun 29, 2024 to Mar 31, 2025
- Corporate clients · 13 to 8Jun 29, 2024 to Mar 31, 2025
- Individual clients · 289 to 287Jun 29, 2024 to Mar 31, 2025
- Pension plan clients · 8 to 7Jun 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 95 to 26Jun 29, 2024 to Mar 31, 2025
- Assets in custody · $828M to $1.4BJun 29, 2024 to Mar 31, 2025
- Employees · 118 to 113Jun 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jun 29, 2024 to Mar 31, 2025
- Other offices · 3 to 4Jun 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $22B to $48BJun 29, 2024 to Mar 31, 2025
- HNW RAUM · $353M to $401MJun 29, 2024 to Mar 31, 2025
- Individual RAUM · $131M to $209MJun 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $40.9MJun 29, 2024 to Mar 31, 2025
- Pension RAUM · $564M to $527MJun 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $9.7B to $13BJun 29, 2024 to Mar 31, 2025
- RAUM · $22B to $48BJun 29, 2024 to Mar 31, 2025
- Wrap assets (manager) · $131M to $168MJun 29, 2024 to Mar 31, 2025
- Accounts · 519 to 478Feb 9, 2024 to Mar 28, 2024
Signals
6 dated events
- B••••••••• P••••• S••••••••• G•••• L•• reported RAUM $66.5B, up 38% from $48.3B (2026-01-02 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- B••••••••• P••••• S••••••••• G•••• L•• reported RAUM $48.3B, up 123% from $21.7B (2024-06-29 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Thomas Kevin English (Chief Operating Officer) no longer on Schedule A of B••••••••• P••••• S••••••••• G•••• L•• (listed 2023-06-30, absent 2024-02-09)Feb 9, 2024 · Control person left · inference
- Craig Noble (Chief Executive Officer & Chief Investment Officer) no longer on Schedule A of B••••••••• P••••• S••••••••• G•••• L•• (listed 2019-03-29, absent 2019-07-02)Jul 2, 2019 · Control person left · inference
- B••••••••• P••••• S••••••••• G•••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 19, 2019 · Succession (Item 4) · fact
- B••••••••• P••••• S••••••••• G•••• L•• reported RAUM $16.3B, up 32% from $12.3B (2018-01-12 to 2018-02-16)Feb 16, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- B••••••••• P••••• S••••••••• G•••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- publicsecurities.brookfield.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-417-7000reportedpublic record, Form ADV, Sep 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
- Institutional managerderiveda 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