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 Mar 6, 2026
First filing on the tape Dec 16, 2011 · 15 filings
SEC status approved since Mar 24, 2020
RAUM
$139M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$113M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$69.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$139M as of Mar 6, 2026
Feb 4, 2021$151M then
HNW client RAUM$102M as of Mar 6, 2026
Feb 4, 2021$113M then
State-registered IARs (5.B.3)2 as of Mar 6, 2026
Feb 4, 20212 then
Employees (5.A)2 as of Mar 6, 2026
Feb 4, 20212 then
Private funds1 as of Mar 6, 2026
Feb 4, 20211 then
RAUM -6.0% over the last fiscal year+0.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $69.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $971,497derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$102M74%
- Pooled investment vehicles$25.7M19%
- Individuals$10.7M7.7%
- Charitable organizations$170,1200.1%
- Corporations and businesses$93,0280.1%
- Individual clients
- 40reported
- HNW clients
- 31reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 143reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.81 fund_share=0.19 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• R••••• E•••• | Grand Rapids, Mi | Jan 12, 2012 | 29 y | 1 |
| H••••• E••• L••••Chartered Financial Analyst | Grand Rapids, Mi | Mar 6, 2020 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••• F••••• I••••••••• L•• | Other Private Fund | $27.6M | 12 | Feb 25, 2020 |
Owners and control persons
Schedule A and B, latest filing
- E••••• B••••• R••••• · President/Chief Compliance Officercontrolsince 08/1996 · owns 50% to 75%
- L••••• H•••••• E••• · Vice President-Portfolio Managercontrolsince 10/2018 · owns 50% to 75%
Related persons
Schedule D 7.A
- B•••• R••••• E••••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Grand Rapids, Mi · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 71 to 143Mar 5, 2025 to Mar 6, 2026
- HNW clients · 30 to 31Mar 5, 2025 to Mar 6, 2026
- Individual clients · 38 to 40Mar 5, 2025 to Mar 6, 2026
- Discretionary RAUM · $148M to $139MMar 5, 2025 to Mar 6, 2026
- HNW RAUM · $103M to $102MMar 5, 2025 to Mar 6, 2026
- Individual RAUM · $12.7M to $10.7MMar 5, 2025 to Mar 6, 2026
- Pooled vehicle RAUM · $31.9M to $25.7MMar 5, 2025 to Mar 6, 2026
- RAUM · $148M to $139MMar 5, 2025 to Mar 6, 2026
- Accounts · 78 to 71Feb 29, 2024 to Mar 5, 2025
- HNW clients · 32 to 30Feb 29, 2024 to Mar 5, 2025
- Individual clients · 43 to 38Feb 29, 2024 to Mar 5, 2025
- Financial planning clients · unset to Feb 29, 2024 to Mar 5, 2025
- Discretionary RAUM · $133M to $148MFeb 29, 2024 to Mar 5, 2025
- HNW RAUM · $94.2M to $103MFeb 29, 2024 to Mar 5, 2025
- Individual RAUM · $10.8M to $12.7MFeb 29, 2024 to Mar 5, 2025
- Pooled vehicle RAUM · $27.6M to $31.9MFeb 29, 2024 to Mar 5, 2025
- RAUM · $133M to $148MFeb 29, 2024 to Mar 5, 2025
- Accounts · 156 to 78Sep 5, 2023 to Feb 29, 2024
- Corporate clients · 0 to 1Sep 5, 2023 to Feb 29, 2024
- HNW clients · 35 to 32Sep 5, 2023 to Feb 29, 2024
- Individual clients · 42 to 43Sep 5, 2023 to Feb 29, 2024
- Discretionary RAUM · $137M to $133MSep 5, 2023 to Feb 29, 2024
- HNW RAUM · $101M to $94.2MSep 5, 2023 to Feb 29, 2024
- Individual RAUM · $11.1M to $10.8MSep 5, 2023 to Feb 29, 2024
- Pooled vehicle RAUM · $25.0M to $27.6MSep 5, 2023 to Feb 29, 2024
- RAUM · $137M to $133MSep 5, 2023 to Feb 29, 2024
- HNW clients · 88 to 35Mar 24, 2023 to Mar 28, 2023
- Individual clients · 66 to 42Mar 24, 2023 to Mar 28, 2023
- Accounts · 151 to 156Feb 16, 2022 to Mar 24, 2023
- HNW clients · 35 to 88Feb 16, 2022 to Mar 24, 2023
- Individual clients · 33 to 66Feb 16, 2022 to Mar 24, 2023
- Discretionary RAUM · $176M to $137MFeb 16, 2022 to Mar 24, 2023
- HNW RAUM · $133M to $101MFeb 16, 2022 to Mar 24, 2023
- Individual RAUM · $9.6M to $11.1MFeb 16, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $32.4M to $25.0MFeb 16, 2022 to Mar 24, 2023
- RAUM · $176M to $137MFeb 16, 2022 to Mar 24, 2023
- Accounts · 138 to 151Dec 13, 2021 to Feb 16, 2022
- Individual clients · 29 to 33Dec 13, 2021 to Feb 16, 2022
- Discretionary RAUM · $151M to $176MDec 13, 2021 to Feb 16, 2022
- HNW RAUM · $113M to $133MDec 13, 2021 to Feb 16, 2022
Signals
2 dated events
- Eric Hunter Lewis (Vice President-Portfolio Manager) appeared on Schedule A of B•••••••• C•••••• M••••••••• I•••Feb 25, 2020 · Control person joined · fact
- B•••••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Feb 25, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B•••••••• C•••••• M••••••••• I••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business email
- i•••@b•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 616-774-3159reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/brooktree-capital-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- B••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 616-774-3159reportedpublic record, Form ADV, Mar 6, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $69.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026