DFX Intelligence
RIA Intelligence
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SEC-registered adviser
B••••••• C•••••• M••••••••• L•••••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 26 filings
SEC status approved since Jun 20, 2011
RAUM
$2.8B
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
16
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$2.8B as of Mar 30, 2026
Mar 30, 2012$1.3B then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)16 as of Mar 30, 2026
Apr 1, 201312 then
Private funds9 as of Mar 30, 2026
Mar 30, 20125 then
RAUM +35% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $188MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 22%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
- +35%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $81.4M, 5 clientsreportedItem 9.A
- 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.2B78%
- State and municipal entities$457M16%
- Charitable organizations$156M5.5%
- Corporations and businesses$18.9M0.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $81.4M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.78 institutional_share=0.22 related_bd=false related_bank=true bd_reps=0.0derived
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
15 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• O••••••••• P•••••••• L••• | Hedge Fund | $938M | 29 | Mar 30, 2012 |
| B••••••• F•••••••• F•••• L••• | Hedge Fund | $318M | 27 | Mar 30, 2012 |
| M••• S••••• M•••••• L•••no longer reported | Hedge Fund | $50.0M | 21 | Aug 21, 2013 |
| B•• S••••• E••••• I• M•••••• L•••no longer reported | Hedge Fund | $42.5M | 9 | Feb 27, 2015 |
| B••••••• F•••••••• L••• O••• F•••• L••• | Hedge Fund | $27.8M | 13 | Mar 30, 2012 |
| B••••••• F•••••••• F•••• I•••no longer reported | Hedge Fund | $24.4M | 3 | Aug 21, 2013 |
| B••••••• I••••••••• F•••• L••• | Hedge Fund | $15.1M | 3 | Mar 31, 2021 |
| B••••••• I••••••••• F•••• L••• | Hedge Fund | $15.0M | 16 | Mar 31, 2021 |
| B••••••• C••••••••• F••• ••••• L••• | Hedge Fund | $7.7M | 2 | Nov 28, 2016 |
| B••••••• O••••••••• F•••• I••• | Hedge Fund | $7.5M | 2 | Mar 30, 2012 |
| B••••••• E••••••• L••• S•••• F•••• L•••no longer reported | Hedge Fund | $7.3M | 10 | Mar 30, 2012 |
| B•••••••• D••••• M•••••• L•••no longer reported | Hedge Fund | $5.9M | 1 | Mar 27, 2015 |
| B••••••• I••••••••• L••• O••• F•••• L••• | Hedge Fund | $5.7M | 3 | Nov 26, 2021 |
| B••••••• T••• F•••• L•no longer reported | Hedge Fund | $3.7M | 15 | Apr 1, 2013 |
| B••••••• I••••••••• L••• O••• F•••• L••• | Hedge Fund | $1.9M | 1 | Nov 26, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• S••••• B•••• · Chief Financial Officercontrolsince 01/2006 · owns less than 5%
- C••••••••• J•••••• M•••••• · Chief Compliance Officercontrolsince 10/2011 · owns less than 5%
- L••••••••• B••••••• D•••• · Principal / Managing Membercontrolsince 01/1999 · owns 25% to 50%
- L••••••••• M••••••• A•••• · Principal / Managing Membercontrolsince 01/1999 · owns 25% to 50%
- S••••• M•••• E••• · Principal, Chief Operating Officer / Membercontrolsince 01/1999 · owns 10% to 25%
Related persons
Schedule D 7.A
- B••••••• P•••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Harrison, NY1 employees
What changed
consecutive filings, newest first
- Assets in custody · $39.7M to $81.4MMar 31, 2025 to Mar 30, 2026
- Employees · 17 to 16Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.1B to $2.8BMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.5B to $2.2BMar 31, 2025 to Mar 30, 2026
- RAUM · $2.1B to $2.8BMar 31, 2025 to Mar 30, 2026
- Assets in custody · $36.0M to $39.7MMar 30, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 30, 2024 to Mar 31, 2025
- Other offices · 1 to 0Mar 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.0B to $2.1BMar 30, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.3B to $1.5BMar 30, 2024 to Mar 31, 2025
- RAUM · $2.0B to $2.1BMar 30, 2024 to Mar 31, 2025
- Accounts · 20 to 15Mar 30, 2023 to Mar 30, 2024
- Advisory employees · 10 to 9Mar 30, 2023 to Mar 30, 2024
- Pooled vehicle clients · 13 to 11Mar 30, 2023 to Mar 30, 2024
- Assets in custody · $36.0M to $36.0MMar 30, 2023 to Mar 30, 2024
- Employees · 19 to 17Mar 30, 2023 to Mar 30, 2024
- Discretionary RAUM · $2.0B to $2.0BMar 30, 2023 to Mar 30, 2024
- Pension RAUM · 145280362.0 to unsetMar 30, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $1.3B to $1.3BMar 30, 2023 to Mar 30, 2024
- RAUM · $2.0B to $2.0BMar 30, 2023 to Mar 30, 2024
- Accounts · 21 to 20Apr 29, 2022 to Mar 30, 2023
- Advisory employees · 11 to 10Apr 29, 2022 to Mar 30, 2023
- Pooled vehicle clients · 14 to 13Apr 29, 2022 to Mar 30, 2023
- Assets in custody · $31.9M to $36.0MApr 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $2.6B to $2.0BApr 29, 2022 to Mar 30, 2023
- Pension RAUM · $199M to $145MApr 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.9B to $1.3BApr 29, 2022 to Mar 30, 2023
- RAUM · $2.6B to $2.0BApr 29, 2022 to Mar 30, 2023
- Accounts · 19 to 21Nov 26, 2021 to Mar 30, 2022
- Advisory employees · 8 to 11Nov 26, 2021 to Mar 30, 2022
- Assets in custody · $49.8M to $31.9MNov 26, 2021 to Mar 30, 2022
- Employees · 18 to 19Nov 26, 2021 to Mar 30, 2022
- Private funds · 10 to 9Nov 26, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.8B to $2.6BNov 26, 2021 to Mar 30, 2022
- Pension RAUM · $119M to $199MNov 26, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.3B to $1.9BNov 26, 2021 to Mar 30, 2022
- RAUM · $1.8B to $2.6BNov 26, 2021 to Mar 30, 2022
- Private funds · 8 to 10Sep 17, 2021 to Nov 26, 2021
- Other offices · 0 to 1Jun 10, 2021 to Sep 17, 2021
- Discretionary RAUM · $1.7B to $1.8BMar 31, 2021 to Apr 30, 2021
Signals
3 dated events
- B••••••• C•••••• M••••••••• L••••• reported RAUM $2.8B, up 35% from $2.1B (2025-03-31 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- B••••••• C•••••• M••••••••• L••••• reported RAUM $2.6B, up 48% from $1.8B (2021-11-26 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- B••••••• C•••••• M••••••••• L••••• reported RAUM $1.9B, down 29% from $2.6B (2019-03-31 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
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
- Website
- basswoodpartners.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-521-9500reportedpublic record, Form ADV, Mar 30, 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