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•••• F•••••••• S••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Mar 12, 2012 · 20 filings
SEC status approved since Mar 4, 2010
RAUM
$588M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$588M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$588M as of Apr 1, 2026
Mar 12, 2012$23B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2026
Mar 12, 20120 then
Employees (5.A)4 as of Apr 1, 2026
Apr 1, 201310 then
Private funds: no history
RAUM -27% over the last fiscal year-52% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $588MderivedRAUM 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
- $588MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -27%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$588M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• L•• | New York, Ny | Oct 24, 2013 | 19 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• C••••••• L••••••• · Chairman, Chief Executive Officer, And Chief Compliance Officercontrolsince 01/2010 · owns less than 5%
Entity owners
- B•••• C•••••• G•••• L•• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- B•••• S••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Apr 1, 2026RAUM (Item 5.F) moved from $805,003,601 to $588,153,609 (-27.0%) between the annual amendments of 2025-03-31 and 2026-04-01; the peer median change was +13.0% (63 comparable advisers, 3.0th percentile of changes)peers: institutional managers, $500M to $1B (63) · 3.2% percentile
What changed
consecutive filings, newest first
- Accounts · 2 to 1Mar 31, 2025 to Apr 1, 2026
- BD registered reps · 5 to 3Mar 31, 2025 to Apr 1, 2026
- Employees · 5 to 4Mar 31, 2025 to Apr 1, 2026
- Discretionary RAUM · $805M to $588MMar 31, 2025 to Apr 1, 2026
- Pension RAUM · $805M to $588MMar 31, 2025 to Apr 1, 2026
- RAUM · $805M to $588MMar 31, 2025 to Apr 1, 2026
- Accounts · 1 to 2Mar 29, 2024 to Mar 31, 2025
- Employees · 8 to 5Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $5.4B to $805MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $5.4B to $805MMar 29, 2024 to Mar 31, 2025
- RAUM · $5.4B to $805MMar 29, 2024 to Mar 31, 2025
- Accounts · 2 to 1Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $5.4B to $5.4BMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $5.4B to $5.4BMar 31, 2023 to Mar 29, 2024
- RAUM · $5.4B to $5.4BMar 31, 2023 to Mar 29, 2024
- Accounts · 1 to 2Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $5.6B to $5.4BMar 31, 2022 to Mar 31, 2023
- Pension RAUM · $5.6B to $5.4BMar 31, 2022 to Mar 31, 2023
- RAUM · $5.6B to $5.4BMar 31, 2022 to Mar 31, 2023
- Accounts · 2 to 1Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $9.5B to $5.6BMar 30, 2021 to Mar 31, 2022
- Pension RAUM · $9.5B to $5.6BMar 30, 2021 to Mar 31, 2022
- RAUM · $9.5B to $5.6BMar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $12B to $9.5BMar 26, 2020 to Mar 30, 2021
- Pension RAUM · $12B to $9.5BMar 26, 2020 to Mar 30, 2021
- RAUM · $12B to $9.5BMar 26, 2020 to Mar 30, 2021
- Discretionary RAUM · $12B to $12BAug 16, 2019 to Mar 26, 2020
- Pension RAUM · $12B to $12BAug 16, 2019 to Mar 26, 2020
- RAUM · $12B to $12BAug 16, 2019 to Mar 26, 2020
- BD registered reps · 6 to 5Apr 5, 2018 to Apr 4, 2019
- Employees · 7 to 8Apr 5, 2018 to Apr 4, 2019
- Discretionary RAUM · $15B to $12BApr 5, 2018 to Apr 4, 2019
- Pension RAUM · $15B to $12BApr 5, 2018 to Apr 4, 2019
- RAUM · $15B to $12BApr 5, 2018 to Apr 4, 2019
- Advisory activities · 2 to 1Jun 27, 2017 to Apr 5, 2018
- Other offices · unset to 0.0Jun 27, 2017 to Apr 5, 2018
- Discretionary RAUM · $13B to $15BJun 27, 2017 to Apr 5, 2018
- Pension RAUM · unset to 14900000000.0Jun 27, 2017 to Apr 5, 2018
- RAUM · $13B to $15BJun 27, 2017 to Apr 5, 2018
Signals
4 dated events
- B•••• F•••••••• S••••••• L•• reported RAUM $588.2M, down 27% from $805.0M (2025-03-31 to 2026-04-01)Apr 1, 2026 · RAUM change · derived
- B•••• F•••••••• S••••••• L•• reported RAUM $805.0M, down 85% from $5.4B (2024-03-29 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- B•••• F•••••••• S••••••• L•• reported RAUM $5.6B, down 41% from $9.5B (2021-03-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Marc Jeremy Josse (Compliance Director) no longer on Schedule A of B•••• F•••••••• S••••••• L•• (listed 2018-04-05, absent 2019-04-04)Apr 4, 2019 · Control person left · inference
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
- Firm profile
- LINKEDIN.COM/COMPANY/B••••-CAPITALreportedpublic record, Form ADV, Sep 19, 2026
- Website
- B••••CAPITAL.COM/INDEPENDENT-F••••••••reportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-209-3000reportedpublic record, Form ADV, Apr 1, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $588Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026