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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Former SEC-registered adviser
B•••• C•••••• P••••••• M••••••••• C•••••• V• L••
Latest filing Mar 31, 2025
First filing on the tape Mar 30, 2012 · 19 filings
SEC status approved since Oct 22, 2008
RAUM
$1.5M
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
14
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.5M as of Mar 31, 2025
Mar 30, 2012$107M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 31, 2025
Mar 18, 201315 then
Employees (5.A)14 as of Mar 31, 2025
Mar 18, 201315 then
Private funds2 as of Mar 31, 2025
Mar 30, 20122 then
RAUM -27% over the last fiscal year-73% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2025; every figure names its basis
- RAUM per advisor
- $368,500derivedRAUM 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
- $491,333derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.2M84%
- Investment companies$230,00016%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••• C•••••• P••••••• V• L•••••• P••••••••• | Private Equity Fund | $1.6M | 100 | Mar 30, 2012 |
| B•• V• S•••••• A••••••••• L•••••• P••••••••• | Private Equity Fund | $147,000 | 20 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- P•••••• A•••••• M•••• · Chief Compliance Officercontrolsince 03/2014 · owns less than 5%
- P••• G•••••• G••••• · Member, Inv. Committee Member, P••••••••controlsince 09/2008 · owns less than 5%
- B••••• S•••••• G•••••• · Investment Committee Membersince 01/2014 · owns less than 5%
- O••••••• R•••••• D•••••• · Investment Committee Membersince 01/2014 · owns less than 5%
- S••••••• P•••• L•• · Secretary And Chief Legal Officersince 09/2008 · owns less than 5%
- T•••••• B••••••• H• · Investment Committee Membersince 08/2020 · owns less than 5%
Entity owners
- R••••• W• B•••• • C•• I••••••••• · Memberdirect · owns 75% or more
- B•••• F•••••••• C••••••••• · Shareholderindirect · owns 75% or more of R••••• W• B•••• • C•• I•••••••••
- B•••• F•••••••• G••••• I••• · Shareholderindirect · owns 75% or more of B•••• F•••••••• C•••••••••
Related persons
Schedule D 7.A
- B•••• C•••••• ••••••••• P••• L•••investment advisern
- B•••• C•••••• G••••• F••• M••••••••• I• L•investment adviserpooled vehicle sponsornRAUM $322M
- B•••• C•••••• G••••• F••• M••••••••• I• L••investment adviserpooled vehicle sponsornRAUM $357M
- B•••• C•••••• M••••••••• C••••••• L••investment adviserpooled vehicle sponsornRAUM $738M
- B•••• I•••••••• S•••••••• I•••real estaten
- B•••• I••••••••• A••••••• C•• L•••broker-dealern
- B•••• P•••••••• G•••• M••••••••• C•••••• I• L••investment adviserpooled vehicle sponsornRAUM $22.4M
- B•••• P•••••••• G•••• M••••••••• C•••••• I•• L••investment adviserpooled vehicle sponsornRAUM $81.7M
- B•••• P•••••••• G•••• M••••••••• C••••••• L••investment adviserpooled vehicle sponsornRAUM $83.7M
- B•••• P••••••••• L••investment companyn
- B•••• T•••• C••••••n
- B•••• V•••••• P••••••• G• V•• L••pooled vehicle sponsorn
- B•••• V•••••• P••••••• M••••••••• C•••••• I••• L••investment adviserpooled vehicle sponsornRAUM $1.3M
- B•••• V•••••• P••••••• M••••••••• C•••••• I•• L••investment adviserpooled vehicle sponsornRAUM $252M
- B•••• V•••••• P••••••• M••••••••• C•••••• V• L••investment adviserpooled vehicle sponsornRAUM $195M
- R••••• W• B•••• • C•• I•••••••••broker-dealerinvestment adviserbankpooled vehicle sponsorLP sponsorcustodianyRAUM $394B
Advisers that list B•••• C•••••• P••••••• M••••••••• C•••••• V• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL2 employees
What changed
consecutive filings, newest first
- BD registered reps · 5 to 7Mar 27, 2024 to Mar 31, 2025
- Employees · 9 to 14Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.0M to $1.5MMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.7M to $1.2MMar 27, 2024 to Mar 31, 2025
- RAUM · $2.0M to $1.5MMar 27, 2024 to Mar 31, 2025
- Employees · 8 to 9Oct 19, 2023 to Mar 27, 2024
- State-registered IARs · 5 to 4Oct 19, 2023 to Mar 27, 2024
- Discretionary RAUM · $5.9M to $2.0MOct 19, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $5.2M to $1.7MOct 19, 2023 to Mar 27, 2024
- RAUM · $5.9M to $2.0MOct 19, 2023 to Mar 27, 2024
- Employees · 9 to 8Mar 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $75.8M to $5.9MMar 29, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $67.7M to $5.2MMar 29, 2022 to Mar 31, 2023
- RAUM · $75.8M to $5.9MMar 29, 2022 to Mar 31, 2023
- Employees · 7 to 9Mar 31, 2021 to Mar 29, 2022
- Discretionary RAUM · $77.8M to $75.8MMar 31, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $69.5M to $67.7MMar 31, 2021 to Mar 29, 2022
- RAUM · $77.8M to $75.8MMar 31, 2021 to Mar 29, 2022
- Advisory employees · 2 to 3Mar 23, 2020 to Mar 31, 2021
- BD registered reps · 4 to 5Mar 23, 2020 to Mar 31, 2021
- Employees · 9 to 7Mar 23, 2020 to Mar 31, 2021
- State-registered IARs · 4 to 5Mar 23, 2020 to Mar 31, 2021
- Discretionary RAUM · $109M to $77.8MMar 23, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $97.6M to $69.5MMar 23, 2020 to Mar 31, 2021
- RAUM · $109M to $77.8MMar 23, 2020 to Mar 31, 2021
- Related bank · false to trueMar 23, 2020 to Mar 31, 2021
- Advisory employees · 4 to 2Mar 25, 2019 to Mar 23, 2020
- BD registered reps · 5 to 4Mar 25, 2019 to Mar 23, 2020
- Employees · 10 to 9Mar 25, 2019 to Mar 23, 2020
- State-registered IARs · 5 to 4Mar 25, 2019 to Mar 23, 2020
- Discretionary RAUM · $165M to $109MMar 25, 2019 to Mar 23, 2020
- Pooled vehicle RAUM · $148M to $97.6MMar 25, 2019 to Mar 23, 2020
- RAUM · $165M to $109MMar 25, 2019 to Mar 23, 2020
- Discretionary RAUM · $186M to $165MMar 21, 2018 to Mar 25, 2019
- Pooled vehicle RAUM · $166M to $148MMar 21, 2018 to Mar 25, 2019
- RAUM · $186M to $165MMar 21, 2018 to Mar 25, 2019
- BD registered reps · 7 to 5Mar 13, 2017 to Mar 21, 2018
- Pooled vehicle clients · unset to 2.0Mar 13, 2017 to Mar 21, 2018
- Employees · 13 to 10Mar 13, 2017 to Mar 21, 2018
Signals
1 dated events
- B•••• C•••••• P••••••• M••••••••• C•••••• V• L•• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $1.5M)Feb 2, 2026 · Left the SEC roster · derived
Across DFX
shared identifiers only, never a name match
- B•••• C•••••• P••••••• M••••••••• C•••••• V• L•• · Private Equityshared crd · organization
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