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••••••••• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Mar 30, 2012 · 36 filings
SEC status approved since Apr 18, 2001
RAUM
$47B
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
70
45 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$47B as of Mar 23, 2026
Mar 30, 2012$15B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 30, 20120 then
Employees (5.A)70 as of Mar 23, 2026
Mar 22, 201347 then
Private funds1 as of Mar 27, 2020
Mar 6, 20152 then
RAUM +4.1% over the last fiscal year+7.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- $4.7BderivedRAUM 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
- +4.1%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 businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$47B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- 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=false bd_reps=3.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•• M••••••••• O••••••••• F••• L•••no longer reported | Hedge Fund | $218M | 1 | Mar 6, 2015 |
| O•• R••• R••••• F••• L••no longer reported | Other Private Fund | $135M | 1 | Mar 6, 2015 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• Y•••••• M•••• · Secretary/Managing Director/Directorcontrolsince 01/2019 · owns less than 5%
- G••••• R••• · Chief Compliance Officercontrolsince 04/2021 · owns less than 5%
- H•••••••• A••••••• D•••• · Managing Director/Treasurer/Directorcontrolsince 01/2022 · owns less than 5%
- M••••••••• H••••• H•••••• · Presidentcontrolsince 12/2019 · owns less than 5%
- S••••• M•••• D•••• · Directorcontrolsince 10/2012 · owns less than 5%
Entity owners
- B••••••• T•••• C••••••• N• · Memberdirect · owns 75% or more
- T•• B••••••• G••••• I••••••••• · Shareholderindirect · owns 75% or more of B••••••• T•••• C••••••• N•
Related persons
Schedule D 7.A
- B••••••• I••••••• S•••••••• I•••broker-dealern
- B••••••• T•••• C••••••n
- B••••••• T•••• C•••••• ••••••• L••••••n
- B••••••• T•••• C•••••• N••••••• A•••••••••y
- B••••••• T•••• C•••••• O• C••••••••• N•••n
- B••••••• T•••• C•••••• O• D•••••••• N•••n
- B••••••• T•••• C•••••• O• F••••••n
- B••••••• T•••• C•••••• O• N•••••• N••••••• A•••••••••n
- T•• B••••••• G••••• I•••••••••y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 9 to 10Feb 9, 2026 to Mar 23, 2026
- Advisory employees · 44 to 45Feb 9, 2026 to Mar 23, 2026
- BD registered reps · 2 to 3Feb 9, 2026 to Mar 23, 2026
- Employees · 69 to 70Feb 9, 2026 to Mar 23, 2026
- Discretionary RAUM · $45B to $47BFeb 9, 2026 to Mar 23, 2026
- RAUM · $45B to $47BFeb 9, 2026 to Mar 23, 2026
- Advisory employees · 42 to 44Mar 25, 2024 to Mar 21, 2025
- Employees · 65 to 69Mar 25, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 21, 2025
- Discretionary RAUM · $42B to $45BMar 25, 2024 to Mar 21, 2025
- RAUM · $42B to $45BMar 25, 2024 to Mar 21, 2025
- Accounts · 8 to 9Mar 28, 2023 to Mar 25, 2024
- Advisory employees · 40 to 42Mar 28, 2023 to Mar 25, 2024
- BD registered reps · 3 to 2Mar 28, 2023 to Mar 25, 2024
- Employees · 64 to 65Mar 28, 2023 to Mar 25, 2024
- Discretionary RAUM · $38B to $42BMar 28, 2023 to Mar 25, 2024
- RAUM · $38B to $42BMar 28, 2023 to Mar 25, 2024
- Advisory employees · 38 to 40Mar 22, 2022 to Mar 28, 2023
- Employees · 60 to 64Mar 22, 2022 to Mar 28, 2023
- Discretionary RAUM · $48B to $38BMar 22, 2022 to Mar 28, 2023
- RAUM · $48B to $38BMar 22, 2022 to Mar 28, 2023
- Advisory employees · 49 to 38Aug 9, 2021 to Mar 22, 2022
- BD registered reps · 2 to 3Aug 9, 2021 to Mar 22, 2022
- Employees · 61 to 60Aug 9, 2021 to Mar 22, 2022
- Discretionary RAUM · $47B to $48BAug 9, 2021 to Mar 22, 2022
- RAUM · $47B to $48BAug 9, 2021 to Mar 22, 2022
- Discretionary RAUM · $44B to $47BMay 12, 2021 to Aug 9, 2021
- RAUM · $44B to $47BMay 12, 2021 to Aug 9, 2021
- Accounts · 9 to 8Mar 29, 2021 to May 12, 2021
- Discretionary RAUM · $40B to $44BMar 29, 2021 to May 12, 2021
- RAUM · $40B to $44BMar 29, 2021 to May 12, 2021
- Accounts · 10 to 9Aug 20, 2020 to Mar 29, 2021
- Advisory activities · 3 to 2Aug 20, 2020 to Mar 29, 2021
- Pooled vehicle clients · 1.0 to unsetAug 20, 2020 to Mar 29, 2021
- Employees · 60 to 61Aug 20, 2020 to Mar 29, 2021
- Private funds · 1 to unsetAug 20, 2020 to Mar 29, 2021
- Discretionary RAUM · $38B to $40BAug 20, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · 218106082.0 to unsetAug 20, 2020 to Mar 29, 2021
- RAUM · $38B to $40BAug 20, 2020 to Mar 29, 2021
- Related adviser · true to falseAug 20, 2020 to Mar 29, 2021
Signals
10 dated events
- Diana Allison Heilborn (Managing Director/Treasurer/Director) appeared on Schedule A of B••••••• I••••••••• M••••••••• L••Mar 22, 2022 · Control person joined · fact
- Gerard John Macdonald (Managing Director/Treasurer/Director) no longer on Schedule A of B••••••• I••••••••• M••••••••• L•• (listed 2021-08-09, absent 2022-03-22)Mar 22, 2022 · Control person left · inference
- Ritu Gupta (Chief Compliance Officer) appeared on Schedule A of B••••••• I••••••••• M••••••••• L••May 12, 2021 · Control person joined · fact
- Sean Gray (Chief Compliance Officer) no longer on Schedule A of B••••••• I••••••••• M••••••••• L•• (listed 2021-03-29, absent 2021-05-12)May 12, 2021 · Control person left · inference
- Gordon Thomas Kennedy (Chief Compliance Officer) no longer on Schedule A of B••••••• I••••••••• M••••••••• L•• (listed 2020-03-27, absent 2020-08-20)Aug 20, 2020 · Control person left · inference
- Sean Gray (Chief Compliance Officer) appeared on Schedule A of B••••••• I••••••••• M••••••••• L••Aug 20, 2020 · Control person joined · fact
- Hope Rebecca Patterson (President) no longer on Schedule A of B••••••• I••••••••• M••••••••• L•• (listed 2019-10-28, absent 2020-01-07)Jan 7, 2020 · Control person left · inference
- Huffman Holly Macdonald (President) appeared on Schedule A of B••••••• I••••••••• M••••••••• L••Jan 7, 2020 · Control person joined · fact
- Marie Yvette Garcia (Secretary/Managing Director/Director) appeared on Schedule A of B••••••• I••••••••• M••••••••• L••Jan 16, 2019 · Control person joined · fact
- Lloyd Steven Williamson (Secretary/Managing Director/Director) no longer on Schedule A of B••••••• I••••••••• M••••••••• L•• (listed 2018-03-30, absent 2019-01-16)Jan 16, 2019 · Control person left · inference
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
- 212-708-9100reportedpublic record, Form ADV, Mar 23, 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