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•••• S•••••••• L••
Latest filing Jul 15, 2026
First filing on the tape May 30, 2019 · 11 filings
SEC status approved since Jun 28, 2019
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
50
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$0 as of Jul 15, 2026
Mar 31, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Jul 15, 2026
Mar 30, 202013 then
Employees (5.A)50 as of Jul 15, 2026
Mar 30, 202049 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 6 to 6
Practice profile
derived from the filing of Jul 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 16.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, otherreportedItem 5.E
- Advisory activities
- otherreportedItem 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
- is a broker-dealer (6.A.1)
- buys or sells securities as principal to or from clients (8.A.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
- 6reported
- Charitable clients
- 7reported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=49.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• H•••••••• | New York, Ny | Feb 18, 2021 | 23 y | 1 |
| R•••••• L•••• | New York, Ny | Apr 11, 2025 | 11 y | 1 |
| M•••••• P• H••••• | New York, Ny | Nov 21, 2025 | 24 y | 6 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- J••••••• M•••• to C•••••• S••••• • C••• I•••Dec 9, 2024 · Other
Joined, latest
- M•••••• P• H••••• from P••••••• A••••••• L••Nov 21, 2025 · Other
- R•••••• L•••• from T• R••• P•••• A••••••••• I•••Apr 11, 2025 · Other
- J••••••• M•••• from A••••••••• F•••••••• S•••••••• L••Sep 15, 2023 · Other
- G••••• H•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 18, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• N••••••• G•••••• · President / Coocontrolsince 09/2008 · owns less than 5%
- B••••• S••••• G•••••• · Directorcontrolsince 01/2018 · owns less than 5%
- L••••••••• J•• A• · Directorcontrolsince 01/2018 · owns less than 5%
- T•••••••• J•••• R•••••• · Chairman / Ceocontrolsince 09/2008 · owns less than 5%
- G••••• E••••• M••••••• · Chief Compliance Officersince 11/2010 · owns less than 5%
- G•••••••• M••• D•••• · Finop / Cfosince 12/2009 · owns less than 5%
- R••••••••• D••••• J•••• · Vice Chairman / Principalsince 09/2008 · owns less than 5%
- T•••••• M•••••• A• · Chief Technology Officersince 09/2008 · owns less than 5%
Entity owners
- B•••• F•••••••• C••••••••• · Shareholderdirect · owns 75% or more
- B•••• F•••••••• G••••• I•• · Shareholderindirect · owns 75% or more of B•••• F•••••••• C•••••••••
Related persons
Schedule D 7.A
- B•••• T•••• C••••••n
- G•••• I•••••••• L••investment advisernRAUM $2.3B
- R••••••••• I••••••••• G••••• L••investment advisernRAUM $2.2B
- R••••• W• B•••• • C•• I•••••••••broker-dealerinvestment adviserLP sponsornRAUM $394B
- R••••• W• B•••• L••••••broker-dealerinvestment advisern
- S•••••••• A•••• M••••••••• L••investment advisernRAUM $458M
Advisers that list B•••• S•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Washington, DC3 employees
What changed
consecutive filings, newest first
- Business name · S•••••••• S••••••••• L•• D•• S•••••••• R••••••• P••••••• to B•••• S•••••••• L••Mar 31, 2026 to Jul 15, 2026
- Legal name · S•••••••• S••••••••• L•• to B•••• S•••••••• L••Mar 31, 2026 to Jul 15, 2026
- BD registered reps · 41 to 49Oct 21, 2025 to Mar 31, 2026
- Charity clients · 5 to 7Oct 21, 2025 to Mar 31, 2026
- Pooled vehicle clients · 18 to 19Oct 21, 2025 to Mar 31, 2026
- Employees · 47 to 50Oct 21, 2025 to Mar 31, 2026
- Insurance-licensed employees · 4 to 3Oct 21, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Oct 21, 2025
- Accounts · unset to 0.0Mar 27, 2024 to Mar 31, 2025
- BD registered reps · 43 to 41Mar 27, 2024 to Mar 31, 2025
- Charity clients · 6 to 5Mar 27, 2024 to Mar 31, 2025
- Corporate clients · 2 to 1Mar 27, 2024 to Mar 31, 2025
- Pension plan clients · 7 to 6Mar 27, 2024 to Mar 31, 2025
- Employees · 44 to 47Mar 27, 2024 to Mar 31, 2025
- State-registered IARs · 2 to 6Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · unset to 0.0Mar 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · unset to 0.0Mar 27, 2024 to Mar 31, 2025
- RAUM · unset to 0.0Mar 27, 2024 to Mar 31, 2025
- Advisory employees · 14 to 15Mar 31, 2023 to Mar 27, 2024
- BD registered reps · 42 to 43Mar 31, 2023 to Mar 27, 2024
- Advisory employees · 29 to 14Mar 31, 2022 to Mar 31, 2023
- Charity clients · 8 to 6Mar 31, 2022 to Mar 31, 2023
- Corporate clients · 3 to 2Mar 31, 2022 to Mar 31, 2023
- Pension plan clients · 6 to 7Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 22 to 18Mar 31, 2022 to Mar 31, 2023
- Employees · 48 to 44Mar 31, 2022 to Mar 31, 2023
- Insurance-licensed employees · 3 to 4Mar 31, 2022 to Mar 31, 2023
- Financial planning clients · unset to 0Mar 31, 2022 to Mar 31, 2023
- State-registered IARs · 0 to 2Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 30 to 29Mar 29, 2021 to Mar 31, 2022
- BD registered reps · 44 to 42Mar 29, 2021 to Mar 31, 2022
- Corporate clients · 1 to 3Mar 29, 2021 to Mar 31, 2022
- Pension plan clients · 4 to 6Mar 29, 2021 to Mar 31, 2022
- Pooled vehicle clients · 19 to 22Mar 29, 2021 to Mar 31, 2022
- Employees · 49 to 48Mar 29, 2021 to Mar 31, 2022
- Insurance-licensed employees · 0 to 3Mar 29, 2021 to Mar 31, 2022
- Advisory employees · 31 to 30Apr 22, 2020 to Mar 29, 2021
- Charity clients · 7 to 8Apr 22, 2020 to Mar 29, 2021
- Corporate clients · 0 to 1Apr 22, 2020 to Mar 29, 2021
- Pension plan clients · 3 to 4Apr 22, 2020 to Mar 29, 2021
Signals
4 dated events
- J••••••• M•••• left B•••• S•••••••• L•• for C•••••• S••••• • C••• I••• (registered 2025-01-14)Dec 9, 2024 · Advisor changed firm · fact
- B•••• S•••••••• L•• reported 0 state-registered advisory representatives, down from 13 (2020-04-22 to 2021-03-29)Mar 29, 2021 · Advisor headcount change · derived
- Paul Edward Purcell (Director) no longer on Schedule A of B•••• S•••••••• L•• (listed 2020-03-30, absent 2020-04-22)Apr 22, 2020 · Control person left · inference
- S•••••••• S••••••••• L•• D•• S•••••••• R••••••• P••••••• filed its initial SEC registration (Form ADV)May 30, 2019 · First SEC registration · fact
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
- bairdstrategas.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-906-0130reportedpublic record, Form ADV, Jul 15, 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
- No RAUM reportedderiveda 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