DFX Intelligence
RIA Intelligence
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SEC-registered adviser
B••••••••• C••••••
Legal name B••••••••• C•••••• M••••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Mar 21, 2012 · 14 filings
SEC status approved since Feb 26, 2025
RAUM
$155M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$155M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$51.8M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$155M as of Mar 16, 2026
Mar 21, 2012$98.0M then
HNW client RAUM$123M as of Mar 16, 2026
Jan 27, 2025$112M then
State-registered IARs (5.B.3)3 as of Mar 16, 2026
Mar 21, 20120 then
Employees (5.A)3 as of Mar 16, 2026
Apr 1, 20133 then
Private funds1 as of Mar 30, 2016
Mar 21, 20121 then
RAUM +10% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $51.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $282,958derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$123M79%
- Individuals$32.4M21%
- Individual clients
- 78reported
- HNW clients
- 28reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 549reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• L•• R•••••••• | Wayzata, Mn | May 1, 2017 | 42 y | 1 |
| S•••• D••••• L••••• | Wayzata, Mn | Oct 20, 2017 | 31 y | 1 |
| D•••• W••••••• H••• | Wayzata, Mn | Jul 30, 2019 | 15 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
- S•••• D••••• L••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 20, 2017 · Other
- G•••••• L•• R•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 1, 2017 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••• C•••• P••••••• L• | Hedge Fund | $5.0M | 5 | Mar 21, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L•••••• S••••• D••••• · Membercontrolsince 05/2008 · owns 10% to 25%
- R••••••••• G••••••• L•• · Chief Compliance Officer & Managing Membercontrolsince 05/2008 · owns 75% or more
Related persons
Schedule D 7.A
- G•••••• L• R•••••••• I••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wayzata, Mn · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 527 to 549Jul 18, 2025 to Mar 16, 2026
- HNW clients · 25 to 28Jul 18, 2025 to Mar 16, 2026
- Individual clients · 77 to 78Jul 18, 2025 to Mar 16, 2026
- Financial planning clients · 1-10 to 0Jul 18, 2025 to Mar 16, 2026
- Discretionary RAUM · $144M to $155MJul 18, 2025 to Mar 16, 2026
- HNW RAUM · $114M to $123MJul 18, 2025 to Mar 16, 2026
- Individual RAUM · $29.6M to $32.4MJul 18, 2025 to Mar 16, 2026
- RAUM · $144M to $155MJul 18, 2025 to Mar 16, 2026
- Accounts · 513 to 527Apr 29, 2025 to Jul 18, 2025
- Advisory activities · 3 to 2Apr 29, 2025 to Jul 18, 2025
- HNW clients · 22 to 25Apr 29, 2025 to Jul 18, 2025
- Assets in custody · 0.0 to unsetApr 29, 2025 to Jul 18, 2025
- Custody of client assets · true to falseApr 29, 2025 to Jul 18, 2025
- Financial planning clients · 1-10 to 1-10Apr 29, 2025 to Jul 18, 2025
- Discretionary RAUM · $141M to $144MApr 29, 2025 to Jul 18, 2025
- HNW RAUM · $112M to $114MApr 29, 2025 to Jul 18, 2025
- Individual RAUM · $29.0M to $29.6MApr 29, 2025 to Jul 18, 2025
- RAUM · $141M to $144MApr 29, 2025 to Jul 18, 2025
- Accounts · 441 to 513Feb 24, 2017 to Jan 27, 2025
- Advisory activities · 5 to 3Feb 24, 2017 to Jan 27, 2025
- Charity clients · unset to 0.0Feb 24, 2017 to Jan 27, 2025
- Corporate clients · unset to 0.0Feb 24, 2017 to Jan 27, 2025
- HNW clients · unset to 22.0Feb 24, 2017 to Jan 27, 2025
- Individual clients · unset to 77.0Feb 24, 2017 to Jan 27, 2025
- Pension plan clients · unset to 0.0Feb 24, 2017 to Jan 27, 2025
- Pooled vehicle clients · unset to 0.0Feb 24, 2017 to Jan 27, 2025
- Assets in custody · $4.0M to $0Feb 24, 2017 to Jan 27, 2025
- HQ city · DEEPHAVEN to WAYZATAFeb 24, 2017 to Jan 27, 2025
- State-registered IARs · 0 to 3Feb 24, 2017 to Jan 27, 2025
- Other offices · unset to 0.0Feb 24, 2017 to Jan 27, 2025
- Private funds · 1 to unsetFeb 24, 2017 to Jan 27, 2025
- Discretionary RAUM · $82.1M to $141MFeb 24, 2017 to Jan 27, 2025
- HNW RAUM · unset to 112120011.0Feb 24, 2017 to Jan 27, 2025
- Individual RAUM · unset to 29016000.0Feb 24, 2017 to Jan 27, 2025
- Pension RAUM · unset to 0.0Feb 24, 2017 to Jan 27, 2025
- Pooled vehicle RAUM · unset to 0.0Feb 24, 2017 to Jan 27, 2025
- RAUM · $82.1M to $141MFeb 24, 2017 to Jan 27, 2025
- Assets in custody · $5.5M to $4.0MFeb 17, 2017 to Feb 24, 2017
- Accounts · 438 to 441Mar 30, 2016 to Feb 17, 2017
- Discretionary RAUM · $78.1M to $82.1MMar 30, 2016 to Feb 17, 2017
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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@b•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 952-249-8888reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- B•••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 952-249-8888reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- b•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $51.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026