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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A••••••• P••••••• L••
Latest filing Jul 2, 2026
First filing on the tape Feb 15, 2012 · 34 filings
SEC status approved since Jun 6, 2011
RAUM
$1.9B
reported, Item 5.F
Discretionary
23%
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
21
15 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.9B as of Jul 2, 2026
Apr 4, 2012$110M then
HNW client RAUM$0 as of Jul 2, 2026
Feb 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Jul 2, 2026
Apr 4, 20120 then
Employees (5.A)21 as of Jul 2, 2026
Mar 22, 201342 then
Private funds: no history
RAUM -14% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 2, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- $18.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 23%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, educational seminars, otherreportedItem 5.G
- Custody
- $4.9M, 106 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Banks and thrifts$1.9B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 107reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.9M for 106 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• L•••• H••••• · Co-Presidentcontrolsince 01/2020 · owns less than 5%
- H••••••• M••••••• A••••• · Chief Compliance Officer, Chief Financial Officer, Secretarycontrolsince 02/2017 · owns less than 5%
- O•••••••• H•••• M•••••• · Treasurercontrolsince 01/2018 · owns less than 5%
- T•••••• V•••••• · Co-Presidentcontrolsince 01/2020 · owns less than 5%
Entity owners
- F•••••••• B••• · Memberdirect · owns 75% or more
- F••••••••• I••• · Shareholderindirect · owns 75% or more of F•••••••• B•••
Related persons
Schedule D 7.A
- F•••••••• B•••y
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 120 to 107Jun 30, 2025 to Mar 24, 2026
- Advisory employees · 19 to 15Jun 30, 2025 to Mar 24, 2026
- Assets in custody · $5.3M to $4.9MJun 30, 2025 to Mar 24, 2026
- Employees · 25 to 21Jun 30, 2025 to Mar 24, 2026
- Discretionary RAUM · $375M to $440MJun 30, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $1.9B to $1.5BJun 30, 2025 to Mar 24, 2026
- RAUM · $2.2B to $1.9BJun 30, 2025 to Mar 24, 2026
- Financial planning clients · unset to Mar 24, 2025 to Jun 30, 2025
- Accounts · 131 to 120Jul 19, 2024 to Mar 24, 2025
- Advisory employees · 16 to 19Jul 19, 2024 to Mar 24, 2025
- Assets in custody · $8.1M to $5.3MJul 19, 2024 to Mar 24, 2025
- Employees · 23 to 25Jul 19, 2024 to Mar 24, 2025
- Other offices · 6 to 7Jul 19, 2024 to Mar 24, 2025
- Discretionary RAUM · $523M to $375MJul 19, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $2.1B to $1.9BJul 19, 2024 to Mar 24, 2025
- RAUM · $2.6B to $2.2BJul 19, 2024 to Mar 24, 2025
- Accounts · 168 to 131Mar 30, 2023 to Mar 27, 2024
- Advisory employees · 17 to 16Mar 30, 2023 to Mar 27, 2024
- Assets in custody · $12.6M to $8.1MMar 30, 2023 to Mar 27, 2024
- Employees · 24 to 23Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $629M to $523MMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $2.3B to $2.1BMar 30, 2023 to Mar 27, 2024
- RAUM · $2.9B to $2.6BMar 30, 2023 to Mar 27, 2024
- Accounts · 171 to 168Nov 8, 2022 to Mar 30, 2023
- Advisory employees · 39 to 17Nov 8, 2022 to Mar 30, 2023
- Assets in custody · $10.4M to $12.6MNov 8, 2022 to Mar 30, 2023
- Employees · 55 to 24Nov 8, 2022 to Mar 30, 2023
- Other offices · 4 to 6Nov 8, 2022 to Mar 30, 2023
- Discretionary RAUM · $705M to $629MNov 8, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $1.4B to $2.3BNov 8, 2022 to Mar 30, 2023
- RAUM · $2.1B to $2.9BNov 8, 2022 to Mar 30, 2023
- Accounts · 150 to 171Mar 28, 2021 to Mar 30, 2022
- Advisory employees · 28 to 39Mar 28, 2021 to Mar 30, 2022
- Assets in custody · $1.6M to $10.4MMar 28, 2021 to Mar 30, 2022
- Employees · 38 to 55Mar 28, 2021 to Mar 30, 2022
- Other offices · 5 to 4Mar 28, 2021 to Mar 30, 2022
- Discretionary RAUM · $220M to $705MMar 28, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $1.4B to $1.4BMar 28, 2021 to Mar 30, 2022
- RAUM · $1.6B to $2.1BMar 28, 2021 to Mar 30, 2022
- Accounts · 143 to 150Mar 24, 2020 to Mar 28, 2021
Signals
9 dated events
- A••••••• P••••••• L•• reported RAUM $2.9B, up 37% from $2.1B (2022-11-08 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- K••• O•••••• (Chief Legal Officer) no longer on Schedule A of A••••••• P••••••• L•• (listed 2022-11-08, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Marie Anne Balcer (Chief Legal Officer) no longer on Schedule A of A••••••• P••••••• L•• (listed 2022-06-08, absent 2022-07-15)Jul 15, 2022 · Control person left · inference
- K••• O•••••• (Chief Legal Officer) appeared on Schedule A of A••••••• P••••••• L••Jul 15, 2022 · Control person joined · fact
- A••••••• P••••••• L•• reported RAUM $2.1B, up 33% from $1.6B (2021-03-28 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- A••••••• P••••••• L•• reported RAUM $1.6B, up 26% from $1.3B (2020-03-24 to 2021-03-28)Mar 28, 2021 · RAUM change · derived
- Frank Donald Cole (President) no longer on Schedule A of A••••••• P••••••• L•• (listed 2019-03-29, absent 2020-03-24)Mar 24, 2020 · Control person left · inference
- Heller Lori Bettinger (Co-President) appeared on Schedule A of A••••••• P••••••• L••Mar 24, 2020 · Control person joined · fact
- Vincent Twomey (Co-President) appeared on Schedule A of A••••••• P••••••• L••Mar 24, 2020 · Control person joined · 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
- Firm profile
- linkedin.com/company/bancalliancereportedpublic record, Form ADV, Sep 18, 2026
- Website
- BANCA•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 301-232-5400reportedpublic record, Form ADV, Jul 2, 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
- Other 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