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••••••••• A•••• M••••••••• L•••
Latest filing Mar 27, 2026
First filing on the tape Nov 30, 2011 · 31 filings
SEC status approved since Jan 3, 2011
RAUM
$2.3B
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
19
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$2.3B as of Mar 27, 2026
Mar 27, 2012$200M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20130 then
Employees (5.A)19 as of Mar 27, 2026
Mar 28, 201311 then
Private funds9 as of Mar 27, 2026
Mar 27, 20121 then
RAUM +32% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $260MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- +32%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 pooled vehiclesreportedItem 5.G
- Custody
- $2.3B, 9 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$2.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.3B for 9 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••••• I••• L••• | Other Private Fund | $903M | 44 | Mar 26, 2018 |
| B••••••••• I• L• | Other Private Fund | $322M | 5 | Mar 31, 2023 |
| B••••••••• I•••• L••• | Other Private Fund | $131M | 1 | Mar 31, 2015 |
| A•• W••••• G•••• L••• | Private Equity Fund | $119M | 7 | Mar 27, 2024 |
| B••••••••• I•• L••• | Other Private Fund | $104M | 8 | Mar 29, 2016 |
| B••••••••• L••• S••••••••• C••••• F••• I• L• | Other Private Fund | $81.5M | 2 | Mar 28, 2022 |
| D•••••• L• I• L• | Other Private Fund | $43.0M | 6 | Mar 30, 2017 |
| B••••••••• I• L••••• 2••• L• | Other Private Fund | $41.1M | 3 | Mar 31, 2023 |
| B••••••••• L••••••••• F•••••• I• L• | Private Equity Fund | $18.5M | 3 | Mar 28, 2022 |
| B••••••••• I• L•••no longer reported | Other Private Fund | $7.7M | 1 | Nov 30, 2011 |
Owners and control persons
Schedule A and B, latest filing
- C•••• L••• · General Counsel And Chief Compliance Officercontrolsince 08/2022 · owns less than 5%
- L••••• D•••• · Managing Director, Coocontrolsince 11/2022 · owns less than 5%
- P•••••• A•••••• H••••• · Co-Chief Executive Officercontrolsince 02/2011 · owns 25% to 50%
- S•••••• P•••••• J••••• · Co-Chief Executive Officercontrolsince 02/2011 · owns 25% to 50%
- P•••••• A•••••• H••••• · Membercontrolsince 02/2011 · owns 50% to 75% of B••• G•• L••
- S•••••• P•••••• J••••• · Membercontrolsince 02/2011 · owns 50% to 75% of B••• G•• L••
Entity owners
- B••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- B••••••••• 2•••• L•••pooled vehicle sponsorn
- B••••••••• 2•••• L•••pooled vehicle sponsorn
- B••••••••• 2••• L•pooled vehicle sponsorn
- B••••••••• 2••• L•pooled vehicle sponsorn
- B••••••••• L• 2••• L•pooled vehicle sponsorn
- B••••••••• L•• 2••• L•pooled vehicle sponsorn
- D•••••• L• G• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $1.8B to $2.3BMar 25, 2025 to Mar 27, 2026
- Employees · 21 to 19Mar 25, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.8B to $2.3BMar 25, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.8B to $2.3BMar 25, 2025 to Mar 27, 2026
- RAUM · $1.8B to $2.3BMar 25, 2025 to Mar 27, 2026
- Assets in custody · $1.7B to $1.8BMar 27, 2024 to Mar 25, 2025
- Employees · 22 to 21Mar 27, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.7B to $1.8BMar 27, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $1.7B to $1.8BMar 27, 2024 to Mar 25, 2025
- RAUM · $1.7B to $1.8BMar 27, 2024 to Mar 25, 2025
- Accounts · 8 to 9Mar 31, 2023 to Mar 27, 2024
- Pooled vehicle clients · 8 to 9Mar 31, 2023 to Mar 27, 2024
- Assets in custody · $1.6B to $1.7BMar 31, 2023 to Mar 27, 2024
- Employees · 24 to 22Mar 31, 2023 to Mar 27, 2024
- Private funds · 8 to 9Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.6B to $1.7BMar 31, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.6B to $1.7BMar 31, 2023 to Mar 27, 2024
- RAUM · $1.6B to $1.7BMar 31, 2023 to Mar 27, 2024
- Accounts · 6 to 8Aug 10, 2022 to Mar 31, 2023
- Pooled vehicle clients · 6 to 8Aug 10, 2022 to Mar 31, 2023
- Assets in custody · unset to 1611491060.0Aug 10, 2022 to Mar 31, 2023
- Custody of client assets · false to trueAug 10, 2022 to Mar 31, 2023
- Employees · 25 to 24Aug 10, 2022 to Mar 31, 2023
- Private funds · 6 to 8Aug 10, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.4B to $1.6BAug 10, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.4B to $1.6BAug 10, 2022 to Mar 31, 2023
- RAUM · $1.4B to $1.6BAug 10, 2022 to Mar 31, 2023
- Accounts · 4 to 6Oct 14, 2021 to Mar 28, 2022
- Pooled vehicle clients · 4 to 6Oct 14, 2021 to Mar 28, 2022
- Private funds · 4 to 6Oct 14, 2021 to Mar 28, 2022
- Discretionary RAUM · $1.2B to $1.4BOct 14, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $1.2B to $1.4BOct 14, 2021 to Mar 28, 2022
- RAUM · $1.2B to $1.4BOct 14, 2021 to Mar 28, 2022
- Employees · 21 to 25Mar 24, 2020 to Mar 26, 2021
- Discretionary RAUM · $1.3B to $1.2BMar 24, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $1.3B to $1.2BMar 24, 2020 to Mar 26, 2021
- RAUM · $1.3B to $1.2BMar 24, 2020 to Mar 26, 2021
- Employees · 20 to 21Jul 19, 2019 to Mar 24, 2020
- Discretionary RAUM · $1.4B to $1.3BJul 19, 2019 to Mar 24, 2020
Signals
6 dated events
- B••••••••• A•••• M••••••••• L••• reported RAUM $2.3B, up 32% from $1.8B (2025-03-25 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Lisa Chun (General Counsel And Chief Compliance Officer) appeared on Schedule A of B••••••••• A•••• M••••••••• L•••Aug 10, 2022 · Control person joined · fact
- May Emma Dickson (General Counsel And Cco) no longer on Schedule A of B••••••••• A•••• M••••••••• L••• (listed 2022-03-28, absent 2022-08-10)Aug 10, 2022 · Control person left · inference
- David Louie (Managing Director Of Ops And Cao) appeared on Schedule A of B••••••••• A•••• M••••••••• L•••Mar 24, 2020 · Control person joined · fact
- May Emma Dickson (General Counsel And Cco) appeared on Schedule A of B••••••••• A•••• M••••••••• L•••Jul 19, 2019 · Control person joined · fact
- B••••••••• A•••• M••••••••• L••• reported RAUM $1.3B, up 179% from $462.0M (2017-09-28 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- B••••••••• A•••• M••••••••• L••• · Independent Sponsorsshared crd · capital_provider
- B••••••••• A•••• M••••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- B•••••••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-486-0600reportedpublic record, Form ADV, Mar 27, 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