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 May 18, 2026
First filing on the tape Feb 3, 2012 · 28 filings
SEC status approved since Feb 9, 2012
RAUM
$1.3B
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.3B as of May 18, 2026
Mar 27, 2013$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 18, 2026
Mar 27, 20130 then
Employees (5.A)4 as of May 18, 2026
Mar 27, 20137 then
Private funds1 as of May 18, 2026
Mar 27, 20131 then
RAUM -7.8% over the last fiscal year-8.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 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
- $1.3BderivedRAUM 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
- -7.8%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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
- 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)
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.3B100%
- 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
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• P•••••••• L••• | Other Private Fund | $1.5B | 121 | Feb 3, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• K••••• M•••• · Chief Financial Officer & Chief Compliance Officercontrolsince 09/2020 · owns less than 5%
- B••••• M••••••• D••••• · Managing Membercontrolsince 03/2003 · owns 75% or more
- S••••• S•••••• S••••• · Membersince 01/2012 · owns less than 5%
Related persons
Schedule D 7.A
- M•••••• D• B••••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.4B to $1.3BMay 15, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $1.4B to $1.3BMay 15, 2025 to Mar 16, 2026
- RAUM · $1.4B to $1.3BMay 15, 2025 to Mar 16, 2026
- Financial planning clients · unset to Mar 20, 2025 to May 15, 2025
- Advisory employees · 3 to 2May 16, 2024 to Mar 20, 2025
- Employees · 7 to 4May 16, 2024 to Mar 20, 2025
- Discretionary RAUM · $1.5B to $1.4BMay 16, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $1.5B to $1.4BMay 16, 2024 to Mar 20, 2025
- RAUM · $1.5B to $1.4BMay 16, 2024 to Mar 20, 2025
- Discretionary RAUM · $1.7B to $1.5BMay 17, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $1.7B to $1.5BMay 17, 2023 to Mar 20, 2024
- RAUM · $1.7B to $1.5BMay 17, 2023 to Mar 20, 2024
- Employees · 6 to 7May 20, 2022 to Mar 21, 2023
- Discretionary RAUM · $2.5B to $1.7BMay 20, 2022 to Mar 21, 2023
- Pooled vehicle RAUM · $2.5B to $1.7BMay 20, 2022 to Mar 21, 2023
- RAUM · $2.5B to $1.7BMay 20, 2022 to Mar 21, 2023
- Advisory employees · 4 to 3May 27, 2021 to Mar 25, 2022
- Employees · 8 to 6May 27, 2021 to Mar 25, 2022
- Discretionary RAUM · $2.9B to $2.5BMay 27, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $2.9B to $2.5BMay 27, 2021 to Mar 25, 2022
- RAUM · $2.9B to $2.5BMay 27, 2021 to Mar 25, 2022
- Discretionary RAUM · $1.8B to $2.9BSep 30, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $1.8B to $2.9BSep 30, 2020 to Mar 26, 2021
- RAUM · $1.8B to $2.9BSep 30, 2020 to Mar 26, 2021
- Discretionary RAUM · $1.7B to $1.8BJun 14, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $1.7B to $1.8BJun 14, 2019 to Mar 27, 2020
- RAUM · $1.7B to $1.8BJun 14, 2019 to Mar 27, 2020
- Discretionary RAUM · $1.6B to $1.7BMar 26, 2018 to Mar 20, 2019
- Pooled vehicle RAUM · $1.6B to $1.7BMar 26, 2018 to Mar 20, 2019
- RAUM · $1.6B to $1.7BMar 26, 2018 to Mar 20, 2019
- Advisory employees · 5 to 4Mar 24, 2017 to Mar 26, 2018
- Pooled vehicle clients · unset to 1.0Mar 24, 2017 to Mar 26, 2018
- Other offices · unset to 0.0Mar 24, 2017 to Mar 26, 2018
- Discretionary RAUM · $1.4B to $1.6BMar 24, 2017 to Mar 26, 2018
- Pooled vehicle RAUM · unset to 1646176970.0Mar 24, 2017 to Mar 26, 2018
- RAUM · $1.4B to $1.6BMar 24, 2017 to Mar 26, 2018
- Advisory employees · 6 to 5Jan 27, 2017 to Mar 24, 2017
- Discretionary RAUM · $1.5B to $1.4BJan 27, 2017 to Mar 24, 2017
- RAUM · $1.5B to $1.4BJan 27, 2017 to Mar 24, 2017
- Assets in custody · $1.5B to $0Mar 27, 2015 to Mar 28, 2016
Signals
4 dated events
- B••••••• A•••• M••••••••• L•• reported RAUM $1.7B, down 33% from $2.5B (2022-05-20 to 2023-03-21)Mar 21, 2023 · RAUM change · derived
- B••••••• A•••• M••••••••• L•• reported RAUM $2.9B, up 61% from $1.8B (2020-09-30 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- Marie Kelly Mcevoy (Chief Financial Officer & Chief Compliance Officer) appeared on Schedule A of B••••••• A•••• M••••••••• L••Sep 30, 2020 · Control person joined · fact
- James Timothy Meszaros (Chief Financial Officer And Chief Compliance Officer) no longer on Schedule A of B••••••• A•••• M••••••••• L•• (listed 2020-05-19, absent 2020-07-17)Jul 17, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- B••••••• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- 434-243-7800reportedpublic record, Form ADV, May 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