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•••• B••••••• H••••••• M••••• F••• A••••••• D•••••••••
Legal name B•••• B••••••• H••••••• • C••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 25 filings
SEC status approved since May 30, 2001
RAUM
$7.2B
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
48
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$7.2B as of Mar 30, 2026
Mar 30, 2012$6.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)48 as of Mar 30, 2026
Mar 27, 201353 then
Private funds: no history
RAUM -71% over the last fiscal year-27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $1.0BderivedRAUM 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
- -71%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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$6.8B95%
- Pooled investment vehicles$356M5.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- 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=true bd_reps=4.0derived
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
- J••••••• A••••••• B••• to G• F••••••••Jan 21, 2010 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• T•••••• E••• · Partnercontrolsince 01/2005 · owns 5% to 10%
- B•••••• T•••••• S•••••••• · Partnercontrolsince 01/1999 · owns 5% to 10%
- B••••••• S••••••• E•••••••• · Partnercontrolsince 01/2019 · owns less than 5%
- B•••••• C••••••••• M•••••• · Partnercontrolsince 01/2024 · owns less than 5%
- C••••• H•••••• M•••••• · Partnercontrolsince 01/2024 · owns less than 5%
- C•••••••• V••••••••• D••• · Partnercontrolsince 01/2021 · owns less than 5%
- C••••••• G••••• S•••• · Partnercontrolsince 01/2019 · owns less than 5%
- C•••• G•••••••• M•••••••• · Partnercontrolsince 01/2009 · owns 5% to 10%
- C•••••• J••• M••• · Partnercontrolsince 01/2015 · owns less than 5%
- D••••• T•••••• J•••• · Partnercontrolsince 01/2023 · owns less than 5%
- D••••••• D••••••• A•••• · Partnercontrolsince 01/1990 · owns less than 5%
- F••••• O•••• E• · Partnercontrolsince 01/2024 · owns less than 5%
- G•••••• K••••••• C•••••• · Partnercontrolsince 01/2007 · owns less than 5%
- G•••••• L•••••• L••• · Partnercontrolsince 01/2019 · owns less than 5%
- G••••••• C••••••••• N••• A•••••• · Partnercontrolsince 01/2023 · owns less than 5%
- H••••••• N•••• M• · Partnercontrolsince 01/2024 · owns less than 5%
- H••••• W••••••• H•••••• · Partnercontrolsince 01/2024 · owns less than 5%
- I••••• C••••••• O••• · Partnercontrolsince 01/2004 · owns less than 5%
- K••••• R••••••• W••••• · Partnercontrolsince 01/1995 · owns less than 5%
- L•••••• B••••••• M• · Partnercontrolsince 01/2024 · owns less than 5%
- L••••••••• S••••• C•••• · Partnercontrolsince 01/1998 · owns less than 5%
- L••••• H••••••• S•••••• · Partnercontrolsince 01/1994 · owns less than 5%
- M•••••••• M••••••• J•••• · Partnercontrolsince 01/2019 · owns less than 5%
- M•••••• J••••••• B•••• · Partnercontrolsince 01/2011 · owns 5% to 10%
- N•••••••• Y•••••••• N•• · Partnercontrolsince 01/2004 · owns less than 5%
- P•••••••• S•••• N•• · Partnercontrolsince 01/2010 · owns 5% to 10%
- R•••• J•••••• V• · Partnercontrolsince 01/2023 · owns less than 5%
- R••••••• C••••••••• C•••••• · Partnercontrolsince 01/2012 · owns less than 5%
- S••••••••• J••••••• A••• · Partnercontrolsince 01/1996 · owns 5% to 10%
- S•••••• N•••••••• N•• · Partnercontrolsince 01/2021 · owns less than 5%
Entity owners
- B•• P••••••••• L• · Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- B•••• B••••••• H••••••• • C••bankpooled vehicle sponsory
- B•••• B••••••• H••••••• I••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 30, 2026employees (Item 5.A) moved from 71.0 to 48.0 (-32.0%) between the annual amendments of 2025-02-11 and 2026-03-30; the peer median change was +3.0% (595 comparable advisers, 1.0th percentile of changes)peers: asset managers, $5B to $20B (595) · 1.0% percentile
- RAUM down 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $24,917,256,923 to $7,152,290,266 (-71.0%) between the annual amendments of 2025-02-11 and 2026-03-30; the peer median change was +13.0% (631 comparable advisers, 0.0th percentile of changes)peers: asset managers, $5B to $20B (631) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 15 to 7Feb 11, 2025 to Feb 6, 2026
- Advisory employees · 44 to 25Feb 11, 2025 to Feb 6, 2026
- BD registered reps · 8 to 4Feb 11, 2025 to Feb 6, 2026
- Pooled vehicle clients · 3 to 1Feb 11, 2025 to Feb 6, 2026
- Employees · 71 to 48Feb 11, 2025 to Feb 6, 2026
- Discretionary RAUM · $25B to $7.2BFeb 11, 2025 to Feb 6, 2026
- Pooled vehicle RAUM · $1.2B to $356MFeb 11, 2025 to Feb 6, 2026
- RAUM · $25B to $7.2BFeb 11, 2025 to Feb 6, 2026
- Accounts · 16 to 15Mar 25, 2024 to Feb 11, 2025
- BD registered reps · 10 to 8Mar 25, 2024 to Feb 11, 2025
- Employees · 74 to 71Mar 25, 2024 to Feb 11, 2025
- Financial planning clients · unset to Mar 25, 2024 to Feb 11, 2025
- Discretionary RAUM · $21B to $25BMar 25, 2024 to Feb 11, 2025
- Pooled vehicle RAUM · $1.2B to $1.2BMar 25, 2024 to Feb 11, 2025
- RAUM · $21B to $25BMar 25, 2024 to Feb 11, 2025
- Accounts · 11 to 16Mar 23, 2023 to Mar 25, 2024
- Advisory employees · 39 to 44Mar 23, 2023 to Mar 25, 2024
- Employees · 67 to 74Mar 23, 2023 to Mar 25, 2024
- Discretionary RAUM · $18B to $21BMar 23, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $1.2B to $1.2BMar 23, 2023 to Mar 25, 2024
- RAUM · $18B to $21BMar 23, 2023 to Mar 25, 2024
- Accounts · 12 to 11Apr 22, 2022 to Mar 23, 2023
- Advisory employees · 41 to 39Apr 22, 2022 to Mar 23, 2023
- Employees · 70 to 67Apr 22, 2022 to Mar 23, 2023
- Discretionary RAUM · $24B to $18BApr 22, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $1.6B to $1.2BApr 22, 2022 to Mar 23, 2023
- RAUM · $24B to $18BApr 22, 2022 to Mar 23, 2023
- Accounts · 13 to 12Aug 6, 2021 to Mar 30, 2022
- Advisory employees · 40 to 41Aug 6, 2021 to Mar 30, 2022
- Pooled vehicle clients · 4 to 3Aug 6, 2021 to Mar 30, 2022
- Employees · 69 to 70Aug 6, 2021 to Mar 30, 2022
- Discretionary RAUM · $18B to $24BAug 6, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.2B to $1.6BAug 6, 2021 to Mar 30, 2022
- RAUM · $18B to $24BAug 6, 2021 to Mar 30, 2022
- Accounts · 12 to 13Mar 30, 2020 to Mar 26, 2021
- Advisory employees · 45 to 40Mar 30, 2020 to Mar 26, 2021
- BD registered reps · 7 to 10Mar 30, 2020 to Mar 26, 2021
- Pooled vehicle clients · 3 to 4Mar 30, 2020 to Mar 26, 2021
- Discretionary RAUM · $14B to $18BMar 30, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $1.1B to $1.2BMar 30, 2020 to Mar 26, 2021
Signals
26 dated events
- B•••• B••••••• H••••••• M••••• F••• A••••••• D••••••••• reported RAUM $7.2B, down 71% from $24.9B (2025-02-11 to 2026-02-06)Feb 6, 2026 · RAUM change · derived
- Nmn Dario Galindo (Partner) no longer on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D••••••••• (listed 2023-03-23, absent 2024-03-25)Mar 25, 2024 · Control person left · inference
- Nmn Jean-Pierre Paquin (Partner And President) no longer on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D••••••••• (listed 2023-03-23, absent 2024-03-25)Mar 25, 2024 · Control person left · inference
- Michael Christian Brunet (Partner) appeared on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D•••••••••Mar 25, 2024 · Control person joined · fact
- Martell Hilary Capay (Partner) appeared on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D•••••••••Mar 25, 2024 · Control person joined · fact
- E O••• F•••• (Partner) appeared on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D•••••••••Mar 25, 2024 · Control person joined · fact
- M N••• Hohmann (Partner) appeared on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D•••••••••Mar 25, 2024 · Control person joined · fact
- Hampton William Hyder (Partner) appeared on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D•••••••••Mar 25, 2024 · Control person joined · fact
- M Bradley Langer (Partner) appeared on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D•••••••••Mar 25, 2024 · Control person joined · fact
- B•••• B••••••• H••••••• M••••• F••• A••••••• D••••••••• reported RAUM $18.2B, down 25% from $24.3B (2022-04-22 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
- E. William Rosensweig (Partner) no longer on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D••••••••• (listed 2022-04-22, absent 2023-03-23)Mar 23, 2023 · Control person left · inference
- Robert Michael Keller (Partner And Equity Manager) no longer on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D••••••••• (listed 2022-04-22, absent 2023-03-23)Mar 23, 2023 · Control person left · inference
- James Thomas Davis (Partner) appeared on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D•••••••••Mar 23, 2023 · Control person joined · fact
- N••• A•••••• C••••••••• G•••••• (Partner) appeared on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D•••••••••Mar 23, 2023 · Control person joined · fact
- V. Justin Reed (Partner) appeared on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D•••••••••Mar 23, 2023 · Control person joined · fact
- B•••• B••••••• H••••••• M••••• F••• A••••••• D••••••••• reported RAUM $24.3B, up 34% from $18.1B (2021-08-06 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- B•••• B••••••• H••••••• M••••• F••• A••••••• D••••••••• reported RAUM $18.1B, up 28% from $14.2B (2020-03-30 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- Ewing Timothy Hartch (Partner) no longer on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D••••••••• (listed 2020-03-30, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Dino Valentino Carlotti (Partner) appeared on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D•••••••••Mar 26, 2021 · Control person joined · fact
- N••••••• S••••• (Partner) appeared on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D•••••••••Mar 26, 2021 · Control person joined · fact
- Jay John Borland (Partner) no longer on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D••••••••• (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Adams Brian Berris (Partner) no longer on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D••••••••• (listed 2018-12-18, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Scott Gavin Clemons (Partner) appeared on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D•••••••••Mar 29, 2019 · Control person joined · fact
- E•••••••• S•••••• B•••••• (Partner) appeared on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D•••••••••Mar 29, 2019 · Control person joined · fact
- Lynn Lorrie Gordon (Partner) appeared on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D•••••••••Mar 29, 2019 · Control person joined · fact
- James Michael Mcdonald (Partner) appeared on Schedule A of B•••• B••••••• H••••••• M••••• F••• A••••••• D•••••••••Mar 29, 2019 · Control person joined · fact
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
- Principal office phone
- 212-483-1818reportedpublic record, Form ADV, Mar 30, 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