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
Buchanan Street Partners
Legal name Buchanan Street Partners, LP
Latest filing Jun 3, 2013
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$519M
reported, Item 5.F
Discretionary
70%
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
21
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$71.2M gross assets
History
7 filings and snapshots on the tape
RAUM$519M as of Mar 28, 2013
Mar 30, 2012$580M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 21
Private funds3 as of Mar 28, 2013
Mar 30, 20123 then
RAUM -10% over the last fiscal year
Practice profile
derived from the filing of Jun 3, 2013; 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
- $43.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 70%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
- -10%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $77.0M, 10 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- 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
- 12reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $77.0M for 10 clientsreported
- Compensation
- % of AUM, fixed, 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J. Timothy Ballard · President, Chief Investment Officer And Chief Financial Officercontrolsince 01/2013 · owns less than 5%
- Stanley Robert Brunswick · Chairman, Ceocontrolsince 06/1999 · owns less than 5%
- D. Christian Macdonald · Chief Compliance Officercontrolsince 01/2013 · owns less than 5%
- J. Timothy Ballard · Shareholdercontrolsince 06/1999 · owns 25% to 50% of Main Beach Partners, Inc.
- Stanley Robert Brunswick · Shareholdercontrolsince 06/1999 · owns 25% to 50% of Main Beach Partners, Inc.
- Elias William Conway · Non-Voting Membercontrolsince 09/2011 · owns 25% to 50% of Dbd Cayman Holdings, Ltd.
- Anthony Daniel D'Aniello · Non-Voting Membercontrolsince 09/2011 · owns 25% to 50% of Dbd Cayman Holdings, Ltd.
- Mark David Rubenstein · Non-Voting Membercontrolsince 09/2011 · owns 25% to 50% of Dbd Cayman Holdings, Ltd.
Entity owners
- Main Beach Partners, Inc. · Limited Partnerdirect · owns 10% to 25%
- The Tcw Group, Inc · Limited Partnerdirect · owns 75% or more
- Carlyle Financial Services Harbor, L.P. · Limited Partnerindirect · owns 25% to 50% of Clipper Holding, L.P.
- Carlyle Financial Services Holdings, Ltd. · General Partnerindirect · owns F of Tcg Financial Services Investment Holdings, L.P.
- Carlyle Financial Services, Ltd. · General Partnerindirect · owns F of Tcg Financial Services, L.P.
- Carlyle Global Financial Services, L.P. · Sole Memberindirect · owns 75% or more of Clipper Gp, L.L.C.
- Carlyle Global Financial Services, L.P. · Limited Partnerindirect · owns 75% or more of Carlyle Financial Services Harbor, L.P.
- Carlyle Group Management L.L.C. · General Partnerindirect · owns F of The Carlyle Group L.P.
- Carlyle Holdings II Gp, L.L.C. · General Partnerindirect · owns F of Carlyle Holdings II, L.P.
- Carlyle Holdings II, L.P. · General Partnerindirect · owns F of Tc Group Cayman Investment Holdings, L.P.
- Carlyle Offshore Partners II Holdings, Ltd. · Memberindirect · owns 75% or more of Carlyle Offshore Partners II, Ltd.
- Carlyle Offshore Partners II, Ltd. · Voting Memberindirect · owns 75% or more of Dbd Cayman Holdings, Ltd.
- Carlyle Partners V, L.P. · Limited Partnerindirect · owns 25% to 50% of Clipper Holding, L.P.
- Clipper Acquisitions Corp. · Shareholderindirect · owns 75% or more of The Tcw Group, Inc.
- Clipper Gp, L.L.C. · General Partnerindirect · owns F of Clipper Holding, L.P.
- Clipper Holding, L.P. · Shareholderindirect · owns 75% or more of Clipper Intermediate Corp.
- Clipper Intermediate Corp. · Shareholderindirect · owns 75% or more of Clipper Acquisitions Corp.
- Cp V Ilp Gp, Ltd. · General Partnerindirect · owns F of Cp V Investment Holdings L.P.
- Cp V Investment Holdings, L.P. · Limited Partnerindirect · owns 25% to 50% of Tc Group V, L.P.
- Dbd Cayman Holdings, Ltd. · Memberindirect · owns 75% or more of Dbd Cayman, Ltd.
Related persons
Schedule D 7.A
- Bf Vi Advisors, LLCpooled vehicle sponsory
- Bgp Fund Manager, LLCpooled vehicle sponsory
- Crescent/Mach I Gp Corporationpooled vehicle sponsorn
- Hpp General Partner, LLCpooled vehicle sponsorn
- Metropolitan West Asset Management LLCinvestment adviserbankpooled vehicle sponsornRAUM $79B
- Regiment Capital V Gp, LPpooled vehicle sponsorn
- Tcw (Linc II) LPpooled vehicle sponsorn
- Tcw (Linc IV) LLCpooled vehicle sponsorn
- Tcw (Shop II) L.P.pooled vehicle sponsorn
- Tcw (Shop IV) LLCpooled vehicle sponsorn
- Tcw (Shop V) LLCpooled vehicle sponsorn
- Tcw Advisors (Bermuda) LLCpooled vehicle sponsorn
- Tcw Asset Management Company LLCinvestment adviserbankpooled vehicle sponsornRAUM $81B
- Tcw Asset Management Company International Limitedpooled vehicle sponsorn
- Tcw Funds Distributorsbroker-dealern
- Tcw Investment Management Company LLCinvestment adviserbankpooled vehicle sponsornRAUM $39B
- Tcw Special Mortgage Credits Fund II Gp LLCpooled vehicle sponsorn
- Tcw Special Situations, LLCinvestment advisernRAUM $21.6M
- Tcw-Wla Jv Venture LLCinvestment advisernRAUM $1.0M
- Tcw/Crescent Mezzanine III, LLCpooled vehicle sponsorn
- Tcw/Scoggin Administrator, LLCpooled vehicle sponsorn
- Tcw/Scoggin, LLCinvestment advisernRAUM $59.7M
- Trust Company Of The Westinvestment adviserpooled vehicle sponsorn
- West Gate Advisors, LLCinvestment adviserpooled vehicle sponsornRAUM $2.4M
- Wgma, LLCpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA
What changed
consecutive filings, newest first
- Accounts · 9 to 12Feb 27, 2013 to Mar 28, 2013
- Advisory employees · 12 to 11Feb 27, 2013 to Mar 28, 2013
- Advisory activities · 3 to 4Feb 27, 2013 to Mar 28, 2013
- BD registered reps · 2 to 1Feb 27, 2013 to Mar 28, 2013
- Assets in custody · $90.7M to $77.0MFeb 27, 2013 to Mar 28, 2013
- Employees · 25 to 21Feb 27, 2013 to Mar 28, 2013
- Discretionary RAUM · $451M to $365MFeb 27, 2013 to Mar 28, 2013
- Non-discretionary RAUM · $129M to $154MFeb 27, 2013 to Mar 28, 2013
- RAUM · $580M to $519MFeb 27, 2013 to Mar 28, 2013
- Advisory employees · unset to 12.0Jun 6, 2012 to Dec 20, 2012
- BD registered reps · unset to 2.0Jun 6, 2012 to Dec 20, 2012
- Employees · unset to 25.0Jun 6, 2012 to Dec 20, 2012
- State-registered IARs · unset to 0.0Jun 6, 2012 to Dec 20, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Buchanan Street Partners 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.
Checking your plan…