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

Blackrock Kelso Capital Advisors LLC

Former SEC-registered adviserNew York, New YorkCRD 135051SEC 801-64260IAPD
Latest filing Nov 6, 2014
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
$1.3B
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
28
18 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$1.2B as of May 5, 2014
Mar 30, 2012$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 5, 2014
Mar 30, 20120 then
Employees (5.A)29 as of May 5, 2014
Mar 27, 201328 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Nov 6, 2014; 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
$632MderivedRAUM 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
+13%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 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
  • 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
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Matthew Fitzgerald · Chief Compliance Officercontrol
        since 11/2010 · owns less than 5%
      • Barry Michael Lazar · Chief Operating Officer And Managing Directorcontrol
        since 04/2005 · owns 10% to 25%
      • Robert James Maher · Chief Executive Officer And Chairman Of The Board Of Managerscontrol
        since 04/2005 · owns 10% to 25%
      • Corinne Pankovcin · Chief Financial Officercontrol
        since 08/2011 · owns less than 5%
      • Dennis Laurence Paredes · General Counselcontrol
        since 02/2009 · owns less than 5%
      Entity owners
      • Blackrock Advisors, LLC · Member- Class B Interests
        direct · owns 25% to 50%
      • Blackrock Capital Holdings, Inc. · Sole Shareholder
        indirect · owns 75% or more of Blackrock Advisors, LLC
      • Blackrock Holdco 2, Inc. · Sole Shareholder (Preferred)
        indirect · owns 50% to 75% of Blackrock Capital Holdings, Inc.
      • Blackrock, Inc. · Sole Shareholder
        indirect · owns 75% or more of Blackrock Holdco 2, Inc. · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Blackrock Kelso Capital Advisors LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 2
        Oct 23, 2014 to Nov 6, 2014
      • Advisory employees · 16 to 18
        Oct 23, 2014 to Nov 6, 2014
      • Advisory activities · 1 to 2
        Oct 23, 2014 to Nov 6, 2014
      • BD registered reps · 1 to 0
        Oct 23, 2014 to Nov 6, 2014
      • Employees · 29 to 28
        Oct 23, 2014 to Nov 6, 2014
      • Discretionary RAUM · $1.2B to $1.3B
        Oct 23, 2014 to Nov 6, 2014
      • RAUM · $1.2B to $1.3B
        Oct 23, 2014 to Nov 6, 2014
      • Discretionary RAUM · $1.3B to $1.2B
        Mar 26, 2014 to May 5, 2014
      • RAUM · $1.3B to $1.2B
        Mar 26, 2014 to May 5, 2014
      • Advisory employees · 18 to 16
        Feb 10, 2014 to Mar 26, 2014
      • Employees · 28 to 29
        Feb 10, 2014 to Mar 26, 2014
      • Discretionary RAUM · $1.1B to $1.3B
        Feb 10, 2014 to Mar 26, 2014
      • RAUM · $1.1B to $1.3B
        Feb 10, 2014 to Mar 26, 2014
      • Accounts · 2 to 1
        Aug 21, 2012 to Mar 27, 2013
      • Advisory employees · unset to 18.0
        Aug 21, 2012 to Mar 27, 2013
      • Advisory activities · 2 to 1
        Aug 21, 2012 to Mar 27, 2013
      • BD registered reps · 0 to 1
        Aug 21, 2012 to Mar 27, 2013
      • Employees · unset to 28.0
        Aug 21, 2012 to Mar 27, 2013
      • Discretionary RAUM · $1.1B to $1.1B
        Aug 21, 2012 to Mar 27, 2013
      • RAUM · $1.1B to $1.1B
        Aug 21, 2012 to Mar 27, 2013
      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