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•••• C•••••• M••••••••• I•••
Latest filing May 29, 2026
First filing on the tape May 31, 2012 · 37 filings
SEC status approved since Apr 15, 1983
RAUM
$11B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.4%
$364M 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
7
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$11B as of May 29, 2026
May 31, 2012$1.3B then
HNW client RAUM$364M as of May 29, 2026
May 25, 2018$158M then
State-registered IARs (5.B.3)0 as of May 29, 2026
May 31, 20120 then
Employees (5.A)221 as of May 29, 2026
May 31, 2013100 then
Private funds7 as of May 29, 2026
May 31, 20122 then
RAUM +262% over the last fiscal year+52% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of May 29, 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
- $24.3MderivedHNW RAUM over HNW clients
- Average account
- $86.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 24%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
- +37%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- Pooled investment vehicles$7.1B67%
- Pension and profit-sharing plans$2.3B21%
- Corporations and businesses$460M4.4%
- High-net-worth individuals$364M3.4%
- Charitable organizations$315M3.0%
- State and municipal entities$63.1M0.6%
- Individual clients
- 0reported
- HNW clients
- 15reported
- Pension plan clients
- 10reported
- Charitable clients
- 3reported
- Accounts
- 125reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $72.7M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.03 fund_share=0.66 institutional_share=0.24 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••••• L••• | Other Private Fund | $500M | 174 | May 24, 2022 |
| B•••• U•• P••••••• F••• L••• | Other Private Fund | $149M | 17 | May 31, 2012 |
| C••••• A•••••••• L••• | Other Private Fund | $131M | 97 | May 31, 2012 |
| B•••• E••••••• M•••••• F••• L•• | Other Private Fund | $107M | 13 | May 22, 2017 |
| B•••• I••••••••• F••• L• | Other Private Fund | $11.7M | 18 | May 25, 2018 |
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 02/2020 · owns less than 5%
- B••••• R•••••• S•••••• · Chairman & Ceocontrolsince 06/1982 · 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 05/1983 · 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 05/1982 · 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••••• I•••investment advisernRAUM $40B
- B•••• C•••••• M••••••••• G•• L••pooled vehicle sponsory
- B•••• C•••••• M••••••••• U• L••••••broker-dealern
- B•••• C••••••• I•••broker-dealern
Advisers that list B•••• C•••••• M••••••••• I••• as a related person
- 110789 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing May 29, 2026custody of client assets (Item 9.A): yes on the filing of 2025-10-30, no on the filing of 2026-05-29peers: asset managers, $5B to $20B (684)
What changed
consecutive filings, newest first
- Accounts · 124 to 125Oct 30, 2025 to May 29, 2026
- Advisory employees · 44 to 41Oct 30, 2025 to May 29, 2026
- BD registered reps · 55 to 70Oct 30, 2025 to May 29, 2026
- Charity clients · 5 to 3Oct 30, 2025 to May 29, 2026
- Corporate clients · 6 to 7Oct 30, 2025 to May 29, 2026
- Pension plan clients · 9 to 10Oct 30, 2025 to May 29, 2026
- Assets in custody · $630M to $0Oct 30, 2025 to May 29, 2026
- Custody of client assets · true to falseOct 30, 2025 to May 29, 2026
- Employees · 208 to 221Oct 30, 2025 to May 29, 2026
- Discretionary RAUM · $5.8B to $11BOct 30, 2025 to May 29, 2026
- HNW RAUM · $250M to $364MOct 30, 2025 to May 29, 2026
- Pension RAUM · $2.3B to $2.3BOct 30, 2025 to May 29, 2026
- Pooled vehicle RAUM · $2.3B to $7.1BOct 30, 2025 to May 29, 2026
- RAUM · $5.8B to $11BOct 30, 2025 to May 29, 2026
- Wrap assets (manager) · $73.2M to $72.7MOct 30, 2025 to May 29, 2026
- Financial planning clients · 0 to 0May 21, 2025 to Oct 30, 2025
- Other offices · 0 to 1May 21, 2025 to Oct 30, 2025
- Accounts · 126 to 124Jan 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
- Charity clients · 6 to 5Jan 31, 2025 to May 21, 2025
- Corporate clients · 7 to 6Jan 31, 2025 to May 21, 2025
- Pension plan clients · 10 to 9Jan 31, 2025 to May 21, 2025
- Pooled vehicle clients · 4 to 7Jan 31, 2025 to May 21, 2025
- Employees · 210 to 208Jan 31, 2025 to May 21, 2025
- Private funds · 4 to 7Jan 31, 2025 to May 21, 2025
- Discretionary RAUM · $4.1B to $5.8BJan 31, 2025 to May 21, 2025
- HNW RAUM · $203M to $250MJan 31, 2025 to May 21, 2025
- Pension RAUM · $2.2B to $2.3BJan 31, 2025 to May 21, 2025
- Pooled vehicle RAUM · $886M to $2.3BJan 31, 2025 to May 21, 2025
- RAUM · $4.1B to $5.8BJan 31, 2025 to May 21, 2025
- Wrap assets (manager) · $65.8M to $73.2MJan 31, 2025 to May 21, 2025
- Accounts · 132 to 126Oct 5, 2023 to May 28, 2024
- Advisory employees · 43 to 45Oct 5, 2023 to May 28, 2024
- BD registered reps · 55 to 59Oct 5, 2023 to May 28, 2024
- HNW clients · 16 to 15Oct 5, 2023 to May 28, 2024
- Pooled vehicle clients · 5 to 4Oct 5, 2023 to May 28, 2024
- Assets in custody · $230M to $630MOct 5, 2023 to May 28, 2024
- Employees · 196 to 210Oct 5, 2023 to May 28, 2024
- Private funds · 5 to 4Oct 5, 2023 to May 28, 2024
Signals
7 dated events
- B•••• C•••••• M••••••••• I••• reported RAUM $10.8B, up 87% from $5.8B (2025-10-30 to 2026-05-29)May 29, 2026 · RAUM change · derived
- B•••• C•••••• M••••••••• I••• reported RAUM $5.8B, up 41% from $4.1B (2025-01-31 to 2025-05-21)May 21, 2025 · RAUM change · derived
- B•••• C•••••• M••••••••• I••• reported RAUM $4.1B, up 37% from $3.0B (2023-10-05 to 2024-05-28)May 28, 2024 · RAUM change · derived
- B•••• C•••••• M••••••••• I••• reported RAUM $3.1B, up 60% from $1.9B (2020-09-17 to 2021-05-26)May 26, 2021 · RAUM change · derived
- Rebecca Rachel Stern (Director) appeared on Schedule A of B•••• C•••••• M••••••••• I•••May 18, 2020 · Control person joined · fact
- Richard Bronstein (Director) appeared on Schedule A of B•••• C•••••• M••••••••• I•••May 18, 2020 · Control person joined · fact
- B•••• C•••••• M••••••••• I••• reported RAUM $1.6B, up 66% from $937.5M (2017-05-22 to 2018-05-25)May 25, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- B•••• C•••••• M••••••••• I••• · Independent Sponsorsshared crd · capital_provider
- B•••• C•••••• M••••••••• I••• · Private Equityshared crd · organization
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 29, 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