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••••• C•••••• M••••••••• L••
Latest filing Jun 18, 2026
First filing on the tape Mar 2, 2012 · 37 filings
SEC status approved since Mar 23, 2012
RAUM
$2.6B
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
0.0%
$481,241 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
37
21 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$2.6B as of Jun 18, 2026
Mar 28, 2013$97.7M then
HNW client RAUM$481,241 as of Jun 18, 2026
Mar 31, 2022$2.0M then
State-registered IARs (5.B.3)0 as of Jun 18, 2026
Mar 28, 20130 then
Employees (5.A)37 as of Jun 18, 2026
Mar 28, 201316 then
Private funds7 as of Jun 18, 2026
Mar 28, 20133 then
RAUM +11% over the last fiscal year+6.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 18, 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
- $98.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%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
- +11%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $331M, 22 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$2.4B93%
- Corporations and businesses$173M6.8%
- High-net-worth individuals$481,2410.0%
- Charitable organizations$155,4900.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $331M for 22 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.93 institutional_share=0.0 related_bd=false related_bank=false 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••• D••••• L•••••• • S•••• D••••••• F•••• L• | Hedge Fund | $1.1B | 432 | Mar 2, 2012 |
| B••••• D••••• L•••••• • S•••• D••••••• F•••• L••• | Hedge Fund | $231M | 107 | Mar 30, 2018 |
| B••••• D••••• L•••••• • I••••••••• D••••••• F•••• L••• | Private Equity Fund | $195M | 35 | Mar 30, 2018 |
| B••••• D••••• L•••••• • I••••••••• D••••••• F••• ••••••••• L••• | Private Equity Fund | $39.3M | 25 | Mar 29, 2019 |
| B••••• C•••••• S•••••• O••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $26.8M | 44 | Mar 2, 2012 |
| S• C••••• F••• L• • S••••• C•••• | Hedge Fund | $9.2M | 1 | Mar 29, 2024 |
| B••••• C•••••• S•••••• O••••••••• F••• I••• L•••no longer reported | Hedge Fund | $206,913 | 1 | Mar 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• M•••• J••••••• · Presidentcontrolsince 09/2006 · owns less than 5%
- C••••••••• V••••••• · Chief Financial Officercontrolsince 05/2021 · owns less than 5%
- D• S•••• V•••• M••••• · Chief Commercial Officercontrolsince 02/2024 · owns less than 5%
- E••••• M•••• A• · Chief Compliance Officercontrolsince 02/2024 · owns less than 5%
- M••••••••• D••••••• A•••••• · Chief Investment Officer And Chief Executive Officercontrolsince 09/2006 · owns less than 5%
- M••••••••• D••••••• A•••••• · Membercontrolsince 12/2011 · owns 75% or more of B••••• H•••••••• L••
Entity owners
- B••••• H•••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- B••••• S•••• D••••••• P•••••••• L••pooled vehicle sponsorn
- E••• S••••••••• L••pooled vehicle sponsorn
- I•• B••••• P•••••••• L••pooled vehicle sponsorn
- P••••• C•••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 24 to 21Sep 15, 2025 to Mar 30, 2026
- Corporate clients · 5 to 6Sep 15, 2025 to Mar 30, 2026
- Pooled vehicle clients · 17 to 16Sep 15, 2025 to Mar 30, 2026
- Assets in custody · $335M to $331MSep 15, 2025 to Mar 30, 2026
- Employees · 39 to 37Sep 15, 2025 to Mar 30, 2026
- Private funds · 5 to 7Sep 15, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.7B to $1.9BSep 15, 2025 to Mar 30, 2026
- HNW RAUM · $185,077 to $481,241Sep 15, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $584M to $695MSep 15, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $2.1B to $2.4BSep 15, 2025 to Mar 30, 2026
- RAUM · $2.3B to $2.6BSep 15, 2025 to Mar 30, 2026
- Accounts · 25 to 26Mar 3, 2025 to Apr 1, 2025
- Advisory employees · 15 to 24Mar 3, 2025 to Apr 1, 2025
- Advisory activities · 4 to 3Mar 3, 2025 to Apr 1, 2025
- Pooled vehicle clients · 16 to 17Mar 3, 2025 to Apr 1, 2025
- Assets in custody · $305M to $335MMar 3, 2025 to Apr 1, 2025
- Employees · 31 to 39Mar 3, 2025 to Apr 1, 2025
- Financial planning clients · unset to Mar 3, 2025 to Apr 1, 2025
- Discretionary RAUM · $1.8B to $1.7BMar 3, 2025 to Apr 1, 2025
- HNW RAUM · $1.8M to $185,077Mar 3, 2025 to Apr 1, 2025
- Non-discretionary RAUM · $270M to $584MMar 3, 2025 to Apr 1, 2025
- Pooled vehicle RAUM · $1.9B to $2.1BMar 3, 2025 to Apr 1, 2025
- RAUM · $2.1B to $2.3BMar 3, 2025 to Apr 1, 2025
- Advisory employees · 14 to 15Apr 24, 2023 to Mar 29, 2024
- Advisory activities · 3 to 4Apr 24, 2023 to Mar 29, 2024
- Corporate clients · unset to 5.0Apr 24, 2023 to Mar 29, 2024
- Pooled vehicle clients · 15 to 16Apr 24, 2023 to Mar 29, 2024
- Assets in custody · $182M to $305MApr 24, 2023 to Mar 29, 2024
- Employees · 34 to 31Apr 24, 2023 to Mar 29, 2024
- Private funds · 4 to 5Apr 24, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.9B to $1.8BApr 24, 2023 to Mar 29, 2024
- HNW RAUM · $1.7M to $1.8MApr 24, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $287M to $270MApr 24, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $2.0B to $1.9BApr 24, 2023 to Mar 29, 2024
- RAUM · $2.1B to $2.1BApr 24, 2023 to Mar 29, 2024
- Accounts · 24 to 25Nov 4, 2022 to Mar 31, 2023
- Advisory employees · 15 to 14Nov 4, 2022 to Mar 31, 2023
- Pooled vehicle clients · 16 to 15Nov 4, 2022 to Mar 31, 2023
- Assets in custody · $181M to $182MNov 4, 2022 to Mar 31, 2023
- Employees · 35 to 34Nov 4, 2022 to Mar 31, 2023
Signals
4 dated events
- A. Mark Egert (Chief Compliance Officer) appeared on Schedule A of B••••• C•••••• M••••••••• L••Mar 29, 2024 · Control person joined · fact
- V••••••• C••••••••• (Interim Chief Financial Officer) appeared on Schedule A of B••••• C•••••• M••••••••• L••Jun 14, 2021 · Control person joined · fact
- V••••• S•••• (Chief Financial Officer) no longer on Schedule A of B••••• C•••••• M••••••••• L•• (listed 2021-04-30, absent 2021-06-14)Jun 14, 2021 · Control person left · inference
- B••••• C•••••• M••••••••• L•• reported RAUM $1.5B, up 245% from $422.7M (2017-04-03 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- B••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- B••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- B•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-313-5100reportedpublic record, Form ADV, Jun 18, 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