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.
SEC-registered adviser
Battery Global Advisors, LLC
Latest filing Jun 30, 2026
First filing on the tape Feb 10, 2012 · 40 filings
SEC status approved since Feb 17, 2012
RAUM
$8.4B
reported, Item 5.F
Discretionary
43%
of RAUM
Private clients
61%
$5.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
38
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
77
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$8.4B as of Jun 30, 2026
Mar 22, 2013$652M then
HNW client RAUM$5.1B as of Jun 30, 2026
Mar 26, 2018$494M then
State-registered IARs (5.B.3)0 as of Jun 30, 2026
Mar 22, 20130 then
Employees (5.A)38 as of Jun 30, 2026
Mar 22, 201312 then
Private funds77 as of Jun 30, 2026
Mar 22, 20134 then
RAUM +21% over the last fiscal year+25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $79.0MderivedHNW RAUM over HNW clients
- Average account
- $59.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 43%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.6%derived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $8.1B, 142 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
- 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 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
- High-net-worth individuals$5.1B61%
- Pooled investment vehicles$3.2B39%
- Individual clients
- 0reported
- HNW clients
- 65reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 142reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.1B for 142 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.61 fund_share=0.39 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
100 reported on Schedule D 7.B.(1)
All funds of Battery Global Advisors, LLC
Owners and control persons
Schedule A and B, latest filing
- Lindsey Philip Bullen · Directorcontrolsince 04/2011 · owns less than 5%
- Louis Daniel Burns · Cco (3/2013), Cfo (4/2011),controlsince 04/2011 · owns 5% to 10%
- Wagner John Dinneen · Coo (4/2011), Director Of Tax &controlsince 04/2011 · owns 5% to 10%
- Alan Christopher Hanson · Directorcontrolsince 04/2018 · owns less than 5%
- Michael John O'Connor · Ceo, Manager, Directorcontrolsince 04/2011 · owns 25% to 50%
- Redpath Alexander Cobb · Membersince 01/2017 · owns 5% to 10%
- Carney Allison Drushella · Membersince 01/2017 · owns 5% to 10%
- Nmn Hillel Moskovits · Membersince 01/2019 · owns 5% to 10%
- David Rothenhaus · Membersince 01/2021 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Ra'Anana, Israel2 employees
What changed
consecutive filings, newest first
- Accounts · 126 to 142Jul 2, 2025 to Mar 30, 2026
- HNW clients · 61 to 65Jul 2, 2025 to Mar 30, 2026
- Pooled vehicle clients · 65 to 77Jul 2, 2025 to Mar 30, 2026
- Assets in custody · $6.7B to $8.1BJul 2, 2025 to Mar 30, 2026
- Employees · 37 to 38Jul 2, 2025 to Mar 30, 2026
- Private funds · 65 to 77Jul 2, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.7B to $3.6BJul 2, 2025 to Mar 30, 2026
- HNW RAUM · $4.4B to $5.1BJul 2, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $4.2B to $4.8BJul 2, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $2.5B to $3.2BJul 2, 2025 to Mar 30, 2026
- RAUM · $6.9B to $8.4BJul 2, 2025 to Mar 30, 2026
- Financial planning clients · 101-250 to 101-250May 5, 2025 to Jul 2, 2025
- Private funds · 66 to 65Mar 27, 2025 to May 5, 2025
- Accounts · 117 to 126Jul 2, 2024 to Mar 27, 2025
- Advisory employees · 13 to 12Jul 2, 2024 to Mar 27, 2025
- HNW clients · 57 to 61Jul 2, 2024 to Mar 27, 2025
- Pooled vehicle clients · 60 to 65Jul 2, 2024 to Mar 27, 2025
- Assets in custody · $3.0B to $6.7BJul 2, 2024 to Mar 27, 2025
- Employees · 35 to 37Jul 2, 2024 to Mar 27, 2025
- Private funds · 61 to 66Jul 2, 2024 to Mar 27, 2025
- Discretionary RAUM · $2.4B to $2.7BJul 2, 2024 to Mar 27, 2025
- HNW RAUM · $1.9B to $4.4BJul 2, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $1.7B to $4.2BJul 2, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $2.2B to $2.5BJul 2, 2024 to Mar 27, 2025
- RAUM · $4.1B to $6.9BJul 2, 2024 to Mar 27, 2025
- Accounts · 111 to 117Nov 21, 2023 to Mar 28, 2024
- Advisory employees · 12 to 13Nov 21, 2023 to Mar 28, 2024
- Charity clients · unset to 0.0Nov 21, 2023 to Mar 28, 2024
- HNW clients · 59 to 57Nov 21, 2023 to Mar 28, 2024
- Pooled vehicle clients · 51 to 60Nov 21, 2023 to Mar 28, 2024
- Assets in custody · $2.7B to $3.0BNov 21, 2023 to Mar 28, 2024
- Employees · 32 to 35Nov 21, 2023 to Mar 28, 2024
- Private funds · 55 to 61Nov 21, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.1B to $2.4BNov 21, 2023 to Mar 28, 2024
- HNW RAUM · $2.1B to $1.9BNov 21, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $2.2B to $1.7BNov 21, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.9B to $2.2BNov 21, 2023 to Mar 28, 2024
- RAUM · $4.3B to $4.1BNov 21, 2023 to Mar 28, 2024
- Accounts · 94 to 111Jul 1, 2022 to Mar 31, 2023
- Advisory employees · 9 to 12Jul 1, 2022 to Mar 31, 2023
Signals
7 dated events
- Battery Global Advisors, Llc reported RAUM $6.9B, up 67% from $4.1B (2024-07-02 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Joseph Thomas Crotty (Director (7/2018), Member (4/2011)) no longer on Schedule A of Battery Global Advisors, Llc (listed 2022-07-01, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Battery Global Advisors, Llc reported RAUM $4.2B, up 67% from $2.5B (2021-11-04 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Battery Global Advisors, Llc reported RAUM $2.5B, up 26% from $2.0B (2020-06-24 to 2021-03-25)Mar 25, 2021 · RAUM change · derived
- Battery Global Advisors, Llc reported RAUM $2.0B, up 58% from $1.2B (2019-03-29 to 2020-03-29)Mar 29, 2020 · RAUM change · derived
- Alan Christopher Hanson (Director) appeared on Schedule A of Battery Global Advisors, LlcMar 29, 2019 · Control person joined · fact
- Battery Global Advisors, Llc reported RAUM $1.3B, up 40% from $901.9M (2017-07-07 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Battery Global Advisors, LLC · Independent Sponsorsshared crd · capital_provider
- Battery Global Advisors, LLC · Private Equityshared crd · organization
- Battery Global Advisors, LLC · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/battery-global-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- bga.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 617-948-3800reportedpublic record, Form ADV, Jun 30, 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
- Independent wealth managerderiveda 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
Across the graphs
Battery Global Advisors, LLC is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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