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••••• I•••
Latest filing May 27, 2026
First filing on the tape May 31, 2012 · 33 filings
SEC status approved since Mar 6, 1987
RAUM
$40B
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
221
41 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$40B as of May 27, 2026
May 31, 2012$16B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 27, 2026
May 31, 20120 then
Employees (5.A)221 as of May 27, 2026
May 31, 2013100 then
Private funds: no history
RAUM +9.7% over the last fiscal year-5.6% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of May 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $878MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.6%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 vehicles, portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$39B99%
- Pooled investment vehicles$403M1.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 45reported
- Financial planning clients
- 0reported
- 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=70.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• D••••• R••••• · Director & Vice Presidentcontrolsince 07/2017 · owns less than 5%
- B••••• M••••••• R• · Director & Vice Presidentcontrolsince 07/2017 · owns less than 5%
- B••••• R•••••• S•••••• · Chairman & Ceocontrolsince 01/1987 · owns less than 5%
- B••••••• L••••• B•••••• · Chief Compliance Officercontrolsince 09/2014 · owns less than 5%
- B••••••••• R•••••• · Directorcontrolsince 07/2017 · owns less than 5%
- G••••••••• C••••••• · Director & Senior Vice President & Co-Ciocontrolsince 02/2020 · owns less than 5%
- M••••••••• L••••• S• · Directorcontrolsince 01/1987 · owns less than 5%
- N•••••• A••••• M•••• · Directorcontrolsince 02/2008 · owns less than 5%
- P•••••••• P••••••• M•••••• · Vice President, General Counsel & Secretarycontrolsince 08/2007 · owns less than 5%
- P•••• A•••••• J••••• · Director, Senior Vice President & Co-Ciocontrolsince 02/2020 · owns less than 5%
- R••••••• S••••• J•• · Director & Vice Presidentcontrolsince 01/1987 · owns less than 5%
- S••••• R•••••• R•••••• · Director, Sr. Vice President & Chief Operating Officercontrolsince 04/2018 · owns less than 5%
- W•••• P••••• C• · Directorcontrolsince 06/1987 · owns less than 5%
Entity owners
- B•••• C•••••• G••••• I••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- B•••• C•••••• M••••••••• G•• L••pooled vehicle sponsorn
- B•••• C•••••• M••••••••• U• L••••••broker-dealern
- B•••• C•••••• M••••••••• I•••investment adviserpooled vehicle sponsornRAUM $11B
- B•••• C••••••• I•••broker-dealern
Advisers that list B••••• I••• as a related person
- 110791 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 39 to 45Oct 30, 2025 to May 27, 2026
- Advisory employees · 44 to 41Oct 30, 2025 to May 27, 2026
- BD registered reps · 55 to 70Oct 30, 2025 to May 27, 2026
- Pooled vehicle clients · 9 to 11Oct 30, 2025 to May 27, 2026
- Employees · 208 to 221Oct 30, 2025 to May 27, 2026
- Discretionary RAUM · $38B to $40BOct 30, 2025 to May 27, 2026
- Pooled vehicle RAUM · $509M to $403MOct 30, 2025 to May 27, 2026
- RAUM · $38B to $40BOct 30, 2025 to May 27, 2026
- Financial planning clients · 0 to 0Jul 8, 2025 to Oct 30, 2025
- Accounts · 38 to 39Jan 31, 2025 to May 21, 2025
- Advisory employees · 45 to 44Jan 31, 2025 to May 21, 2025
- BD registered reps · 59 to 55Jan 31, 2025 to May 21, 2025
- Employees · 210 to 208Jan 31, 2025 to May 21, 2025
- Other offices · 0 to 1Jan 31, 2025 to May 21, 2025
- Discretionary RAUM · $39B to $38BJan 31, 2025 to May 21, 2025
- Pooled vehicle RAUM · $539M to $509MJan 31, 2025 to May 21, 2025
- RAUM · $39B to $38BJan 31, 2025 to May 21, 2025
- Accounts · 37 to 38May 11, 2023 to May 28, 2024
- Advisory employees · 43 to 45May 11, 2023 to May 28, 2024
- BD registered reps · 55 to 59May 11, 2023 to May 28, 2024
- Pooled vehicle clients · 8 to 9May 11, 2023 to May 28, 2024
- Employees · 196 to 210May 11, 2023 to May 28, 2024
- Discretionary RAUM · $36B to $39BMay 11, 2023 to May 28, 2024
- Pooled vehicle RAUM · $509M to $539MMay 11, 2023 to May 28, 2024
- RAUM · $36B to $39BMay 11, 2023 to May 28, 2024
- Accounts · 36 to 37May 25, 2022 to May 11, 2023
- Advisory employees · 38 to 43May 25, 2022 to May 11, 2023
- BD registered reps · 52 to 55May 25, 2022 to May 11, 2023
- Pooled vehicle clients · 7 to 8May 25, 2022 to May 11, 2023
- Employees · 171 to 196May 25, 2022 to May 11, 2023
- Discretionary RAUM · $45B to $36BMay 25, 2022 to May 11, 2023
- Pooled vehicle RAUM · $617M to $509MMay 25, 2022 to May 11, 2023
- RAUM · $45B to $36BMay 25, 2022 to May 11, 2023
- Accounts · 27 to 36Jul 16, 2021 to May 24, 2022
- Advisory employees · 37 to 38Jul 16, 2021 to May 24, 2022
- BD registered reps · 53 to 52Jul 16, 2021 to May 24, 2022
- Pooled vehicle clients · 6 to 7Jul 16, 2021 to May 24, 2022
- Employees · 166 to 171Jul 16, 2021 to May 24, 2022
- Discretionary RAUM · $47B to $45BJul 16, 2021 to May 24, 2022
- Pooled vehicle RAUM · $765M to $617MJul 16, 2021 to May 24, 2022
Signals
4 dated events
- B••••• I••• reported RAUM $47.0B, up 66% from $28.2B (2020-09-17 to 2021-05-25)May 25, 2021 · RAUM change · derived
- Richard Bronstein (Director) appeared on Schedule A of B••••• I•••May 18, 2020 · Control person joined · fact
- Rebecca Rachel Stern (Director) appeared on Schedule A of B••••• I•••May 18, 2020 · Control person joined · fact
- B••••• I••• reported RAUM $25.6B, up 27% from $20.1B (2017-05-22 to 2018-05-25)May 25, 2018 · RAUM change · derived
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
- H••••://WWW.LINKEDIN.COM/COMPANY/B••••-CAPITALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••://WWW.B•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-583-2000reportedpublic record, Form ADV, May 27, 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