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.

Former SEC-registered adviser

Baml Capital Access Funds Management, LLC

Former SEC-registered adviserChicago, IllinoisCRD 157801SEC 801-72483IAPD
Latest filing Aug 21, 2015
First filing on the tape Jan 3, 2012 · 37 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
86%
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
18
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
9
$1.1B gross assets
History
37 filings and snapshots on the tape
RAUM$1.1B as of Mar 10, 2015
Jan 3, 2012$667M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 10, 2015
Jan 3, 20120 then
Employees (5.A)18 as of Mar 10, 2015
Mar 12, 201321 then
Private funds9 as of Mar 10, 2015
Jan 3, 20125 then
RAUM +37% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 21, 2015; 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
$104MderivedRAUM over accounts (5.F.2.f)
Discretionary
86%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+37%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
Custody
$1.1B, 9 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)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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 acts as qualified custodian (9.D.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
n/areported
Charitable clients
n/areported
Accounts
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.1B for 9 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Nyscrf Pioneer Partnership Fund A, L.P.Private Equity Fund$214M8Jan 3, 2012
      Calstrs Lower Middle Market Fund IV, LLCPrivate Equity Fund$212M8Jan 3, 2012
      Calstrs Lower Middle Market Fund III, LLCPrivate Equity Fund$195M7Jan 3, 2012
      Nyscrf Pioneer Partnership Fund A-II, L.P.Private Equity Fund$152M9Mar 10, 2015
      The First Capital Access Fund, L.P.Private Equity Fund$103M8Mar 12, 2013
      Calstrs Lower Middle Market Fund V, L.P.Private Equity Fund$101M7Mar 10, 2015
      Banc Of America California Community Venture Fund, LLCPrivate Equity Fund$68.4M6Jan 3, 2012
      Calstrs California Impact Fund, LLCPrivate Equity Fund$52.9M6Jan 3, 2012
      Horizon Impact Fund, L.P.Private Equity Fund$50.3M8Mar 10, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • Terese Stephanie Beale · Treasurer Of Registrant And Relying Advisercontrol
        since 05/2007 · owns less than 5%
      • Joseph Daniel Brinkman · Senior Risk Partner For Business Banking Of Registrantcontrol
        since 11/2013 · owns less than 5%
      • Vincent Gregory Costigan · Chief Compliance Officer Of Registrant And Relying Advisercontrol
        since 08/2013 · owns less than 5%
      • Cameron Craig Fowler · Managing Director Of Registrant And Relying Advisercontrol
        since 02/2003 · owns less than 5%
      • Gregory Matthew Hoganbruen · Member Of Board Of Managers Of Registrantcontrol
        since 11/2013 · owns less than 5%
      • Sae Whan Daniel Lim · Member Of Board Of Managers And Senior Risk Executive Of Registrantcontrol
        since 10/2014 · owns less than 5%
      • William James Phillips · Assistant Controller Of Registrant And Relying Advisercontrol
        since 09/2006 · owns less than 5%
      • John Edward Powers · President And Member Of Board Of Managers Of Registrant And Relying Advisercontrol
        since 09/2006 · owns less than 5%
      • Kanu Sanjiv Shah · Member Of Board Of Managers Of Registrantcontrol
        since 11/2013 · owns less than 5%
      • W George Smith Jr · Member Of Board Of Managers Of Registrant And Relying Advisercontrol
        since 11/2011 · owns less than 5%
      Entity owners
      • Banc Of America Strategic Investments Corporation · Member Of Registrant
        direct · owns 75% or more
      • Bank Of America Corporation · Shareholder
        indirect · owns 75% or more of Banc Of America Strategic Investments Corporation · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Baml Capital Access Funds Management, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Clayton, MO
      • New York, NY
      • Washington, DC
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 11
        Dec 23, 2014 to Mar 10, 2015
      • Advisory activities · 2 to 3
        Dec 23, 2014 to Mar 10, 2015
      • Assets in custody · $818M to $1.1B
        Dec 23, 2014 to Mar 10, 2015
      • Private funds · 6 to 9
        Dec 23, 2014 to Mar 10, 2015
      • Discretionary RAUM · $818M to $990M
        Dec 23, 2014 to Mar 10, 2015
      • Non-discretionary RAUM · $18.9M to $158M
        Dec 23, 2014 to Mar 10, 2015
      • RAUM · $837M to $1.1B
        Dec 23, 2014 to Mar 10, 2015
      • Assets in custody · $771M to $818M
        Jan 29, 2014 to Mar 10, 2014
      • Employees · 21 to 18
        Jan 29, 2014 to Mar 10, 2014
      • Discretionary RAUM · $771M to $818M
        Jan 29, 2014 to Mar 10, 2014
      • Non-discretionary RAUM · $83.9M to $18.9M
        Jan 29, 2014 to Mar 10, 2014
      • RAUM · $855M to $837M
        Jan 29, 2014 to Mar 10, 2014
      • Accounts · 6 to 7
        Jul 31, 2012 to Mar 12, 2013
      • Advisory employees · unset to 11.0
        Jul 31, 2012 to Mar 12, 2013
      • BD registered reps · unset to 2.0
        Jul 31, 2012 to Mar 12, 2013
      • Assets in custody · $544M to $771M
        Jul 31, 2012 to Mar 12, 2013
      • Employees · unset to 21.0
        Jul 31, 2012 to Mar 12, 2013
      • Private funds · 5 to 6
        Jul 31, 2012 to Mar 12, 2013
      • Discretionary RAUM · $544M to $771M
        Jul 31, 2012 to Mar 12, 2013
      • Non-discretionary RAUM · $123M to $83.9M
        Jul 31, 2012 to Mar 12, 2013
      • RAUM · $667M to $855M
        Jul 31, 2012 to Mar 12, 2013
      • Business name · BANC OF AMERICA CAPITAL ACCESS FUNDS MANAGEMENT LLC to BAML CAPITAL ACCESS FUNDS MANAGEMENT, LLC
        May 23, 2012 to Jun 18, 2012
      • Legal name · BANC OF AMERICA CAPITAL ACCESS FUNDS MANAGEMENT LLC to BAML CAPITAL ACCESS FUNDS MANAGEMENT, LLC
        May 22, 2012 to May 23, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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
      Former SEC-registered 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