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.

Former SEC-registered adviser

Bank Of America Capital Advisors LLC

Former SEC-registered adviserBoston, MassachusettsCRD 112613SEC 801-60464IAPD
Latest filing Oct 1, 2013
First filing on the tape Mar 29, 2012 · 15 filings
RAUM
$3.8B
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
106
60 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
47
$2.7B gross assets
History
15 filings and snapshots on the tape
RAUM$3.7B as of Mar 28, 2013
Mar 29, 2012$3.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 61
Employees (5.A): 106
Private funds47 as of Mar 28, 2013
Mar 29, 201250 then
RAUM +6.8% over the last fiscal year
Practice profile
derived from the filing of Oct 1, 2013; every figure names its basis
RAUM per advisor
$62.7MderivedRAUM 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
$41.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
15.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+2.0%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
Custody
$3.7B, 92 clientsreportedItem 9.A
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
  • 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
92reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$3.7B for 92 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Ba Hedge Fund Direct, LP - Oz Domestic Partners IIHedge Fund$215M254Mar 29, 2012
      Ba Hedge Fund Direct, LP - Renaissance Institutional Equities FundHedge Fund$72.2M86Mar 29, 2012
      Ba Hedge Fund Solutions, LLC: Ba Global Macro Hedge FundHedge Fund$56.3M68Mar 29, 2012
      Ba Hedge Fund Direct, LP - Clough Investment Partners IHedge Fund$33.6M58Mar 29, 2012
      Ba Alternative Investment Solutions Master Fund, LLC: Low Volatility Hedge Fund (Mf)Hedge Fund$2.1M94Mar 29, 2012
      Bacap Multi-Strategy Hedge Fund, LLC (Series III)Hedge Fund$263,93068Mar 29, 2012
      Ba Hedge Fund Direct, LP - Trian PartnersHedge Fund$08Mar 29, 2012
      Excelsior Directional Hedge Fund Of Funds, LtdHedge Fund$08Mar 29, 2012
      Excelsior Multi-Strategy Hedge Fund Of Funds 2, Ltd.Hedge Fund$01Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Norton Spencer Boggess · President And Ceocontrol
        since 04/2010 · owns less than 5%
      • Michael Brian Maune · Treasurercontrol
        since 04/2010 · owns less than 5%
      • Lawrence Steven Suss · Senior Vice Presidentcontrol
        since 07/2007 · owns less than 5%
      • Jeffrey Brian Woldow · Chief Compliance Officercontrol
        since 07/2011 · owns less than 5%
      Entity owners
      • Nb Holdings Corporation · Sole Member And Manager
        direct · owns 75% or more
      • Bank Of America Corporation · Indirect Owner
        indirect · owns 75% or more of Nb Holdings Corporation · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      • New York, NY
      • Stamford, CT
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $3.7B to $3.8B
        Mar 28, 2013 to Apr 23, 2013
      • RAUM · $3.7B to $3.8B
        Mar 28, 2013 to Apr 23, 2013
      • Accounts · 98 to 92
        Sep 17, 2012 to Mar 28, 2013
      • Advisory employees · unset to 60.0
        Sep 17, 2012 to Mar 28, 2013
      • Advisory activities · 2 to 3
        Sep 17, 2012 to Mar 28, 2013
      • BD registered reps · unset to 66.0
        Sep 17, 2012 to Mar 28, 2013
      • Assets in custody · $3.6B to $3.7B
        Sep 17, 2012 to Mar 28, 2013
      • Employees · unset to 106.0
        Sep 17, 2012 to Mar 28, 2013
      • Insurance-licensed employees · 52 to 61
        Sep 17, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 61.0
        Sep 17, 2012 to Mar 28, 2013
      • Private funds · 50 to 47
        Sep 17, 2012 to Mar 28, 2013
      • Discretionary RAUM · $3.6B to $3.7B
        Sep 17, 2012 to Mar 28, 2013
      • RAUM · $3.6B to $3.7B
        Sep 17, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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
      Former SEC-registered adviserderiveda 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
      Across the graphs

      Bank Of America Capital Advisors LLC is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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