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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Former SEC-registered adviser
B•• P•••••• A•••• M••••••••• U• L••••••
Latest filing Jul 29, 2025
First filing on the tape Feb 14, 2012 · 36 filings
SEC status approved since Mar 8, 2012
RAUM
$54B
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
177
90 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$54B as of Jul 29, 2025
Apr 1, 2013$25B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 29, 2025
Apr 1, 20130 then
Employees (5.A)177 as of Jul 29, 2025
Apr 1, 2013162 then
Private funds: no history
RAUM +5.0% over the last fiscal year+6.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 29, 2025; 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
- $526MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 26%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
- +5.0%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$38B72%
- Sovereign wealth funds$9.2B18%
- Insurance companies$3.6B7.0%
- Pension and profit-sharing plans$1.3B2.6%
- Corporations and businesses$167M0.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 103reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• R••••••• G•• · Directorcontrolsince 06/2016 · owns less than 5%
- H••••• I••• · Deputy Chief Executive Officer And Directorcontrolsince 05/2017 · owns less than 5%
- L•••••• C•••••• M••••••••• V•••••••• · Directorcontrolsince 08/2018 · owns less than 5%
- M••••••••• D•••••• S•••• · Directorcontrolsince 07/2024 · owns less than 5%
- M•••••• R••••• P••• · Chief Executive Officer And Directorcontrolsince 07/2020 · owns less than 5%
- P•••••••• A••••••••• J••• · Head Of Legalcontrolsince 04/2016 · owns less than 5%
- P•••••• S•••••• A•••••• · Directorcontrolsince 12/2021 · owns less than 5%
- P•••• A••• K•• M•• · Head Of Uk Compliancecontrolsince 09/2024 · owns less than 5%
- T••••••• T••••••• W•••••• · Chief Compliance Officer, US Regulatory Matterscontrolsince 02/2019 · owns less than 5%
- V••••••••• A••• M••••• O•••• A•••••••• · Directorcontrolsince 09/2023 · owns less than 5%
- V•• Z••• J•••••• · Head Of Financesince 01/2019 · owns less than 5%
Entity owners
- B•• P•••••• A•••• M••••••••• H•••••• S• · Shareholder Of Applicantdirect · owns 75% or more
- B•• P•••••• F••••• S• · Shareholderindirect · owns 25% to 50% of B•• P•••••• A•••• M••••••••• H•••••• S•
- B•• P•••••• S• · Shareholderindirect · owns 75% or more of B•• P•••••• A•••• M••••••••• H•••••• S•
Related persons
Schedule D 7.A
- A••••• B••• A• K••••••••• A•investment advisern
- B•• P•••••• A•••• M••••••••• A••• L••••••investment advisern
- B•• P•••••• A•••• M••••••••• B••••• L•••investment advisern
- B•• P•••••• A•••• M••••••••• E•••••investment advisern
- B•• P•••••• A•••• M••••••••• E•••••• B•••••• B•••••investment advisern
- B•• P•••••• A•••• M••••••••• L•••••••••investment advisern
- B•• P•••••• A•••• M••••••••• M••••••• S••• B•••investment advisern
- B•• P•••••• A•••• M••••••••• S•••••••• L••••••investment advisernRAUM $292M
- B•• P•••••• A•••• M••••••••• U••• I•••investment adviserbanknRAUM $48B
- B•• P•••••• S•y
- B•• P•••••• S••••••••• S•••••••n
- E•••• S•broker-dealern
- T•• P•••••• Y••••••• A•••investment advisern
Advisers that list B•• P•••••• A•••• M••••••••• U• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 28, 2025 to Jul 29, 2025
- Accounts · 102 to 103Sep 20, 2024 to Mar 28, 2025
- Advisory employees · 79 to 90Sep 20, 2024 to Mar 28, 2025
- Pension plan clients · 6.0 to unsetSep 20, 2024 to Mar 28, 2025
- Pooled vehicle clients · 78 to 80Sep 20, 2024 to Mar 28, 2025
- Employees · 164 to 177Sep 20, 2024 to Mar 28, 2025
- HQ state · unset to Sep 20, 2024 to Mar 28, 2025
- Discretionary RAUM · $52B to $54BSep 20, 2024 to Mar 28, 2025
- Pension RAUM · $1.4B to $1.3BSep 20, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $35B to $38BSep 20, 2024 to Mar 28, 2025
- RAUM · $52B to $54BSep 20, 2024 to Mar 28, 2025
- Accounts · 110 to 102Sep 29, 2023 to Mar 28, 2024
- Advisory employees · 75 to 79Sep 29, 2023 to Mar 28, 2024
- Pension plan clients · 5 to 6Sep 29, 2023 to Mar 28, 2024
- Pooled vehicle clients · 88 to 78Sep 29, 2023 to Mar 28, 2024
- Employees · 157 to 164Sep 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $48B to $52BSep 29, 2023 to Mar 28, 2024
- Pension RAUM · $1.2B to $1.4BSep 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $35B to $35BSep 29, 2023 to Mar 28, 2024
- RAUM · $48B to $52BSep 29, 2023 to Mar 28, 2024
- Accounts · 97 to 110Aug 3, 2022 to Mar 31, 2023
- Advisory employees · 70 to 75Aug 3, 2022 to Mar 31, 2023
- Pension plan clients · unset to 5.0Aug 3, 2022 to Mar 31, 2023
- Pooled vehicle clients · 63 to 88Aug 3, 2022 to Mar 31, 2023
- Employees · 158 to 157Aug 3, 2022 to Mar 31, 2023
- Discretionary RAUM · $23B to $48BAug 3, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $22B to $0Aug 3, 2022 to Mar 31, 2023
- Pension RAUM · $1.3B to $1.2BAug 3, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $37B to $35BAug 3, 2022 to Mar 31, 2023
- RAUM · $45B to $48BAug 3, 2022 to Mar 31, 2023
- Accounts · 99 to 97Mar 30, 2021 to Mar 30, 2022
- Advisory employees · 61 to 70Mar 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 85 to 63Mar 30, 2021 to Mar 30, 2022
- Employees · 154 to 158Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $17B to $23BMar 30, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $20B to $22BMar 30, 2021 to Mar 30, 2022
- Pension RAUM · $541M to $1.3BMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $35B to $37BMar 30, 2021 to Mar 30, 2022
- RAUM · $37B to $45BMar 30, 2021 to Mar 30, 2022
- Accounts · 164 to 99Jul 7, 2020 to Mar 30, 2021
Signals
20 dated events
- B•• P•••••• A•••• M••••••••• U• L•••••• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $54.2B)Feb 2, 2026 · Left the SEC roster · derived
- S•••• D••••• Mcpartlin (Director) appeared on Schedule A of B•• P•••••• A•••• M••••••••• U• L••••••Sep 20, 2024 · Control person joined · fact
- Kin Man Ada P••• (Head Of Uk Compliance) appeared on Schedule A of B•• P•••••• A•••• M••••••••• U• L••••••Sep 20, 2024 · Control person joined · fact
- O•••• A•••••••• A••• M•••• V••••••••• (Director) appeared on Schedule A of B•• P•••••• A•••• M••••••••• U• L••••••Mar 28, 2024 · Control person joined · fact
- C•••••••• L••••• F••••••••• (Director) no longer on Schedule A of B•• P•••••• A•••• M••••••••• U• L•••••• (listed 2023-09-29, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Frederic Janbon (Director) no longer on Schedule A of B•• P•••••• A•••• M••••••••• U• L•••••• (listed 2021-03-30, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Alfredo Sandro Pierri (Director) appeared on Schedule A of B•• P•••••• A•••• M••••••••• U• L••••••Mar 30, 2022 · Control person joined · fact
- P••• R•••• M••••• (Chief Executive Officer And Director) appeared on Schedule A of B•• P•••••• A•••• M••••••••• U• L••••••Jul 7, 2020 · Control person joined · fact
- C•••••••• L••••• F••••••••• (Director) appeared on Schedule A of B•• P•••••• A•••• M••••••••• U• L••••••Mar 27, 2020 · Control person joined · fact
- Deborah Lancaster (Director) no longer on Schedule A of B•• P•••••• A•••• M••••••••• U• L•••••• (listed 2019-11-13, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Jose Placido (Director) no longer on Schedule A of B•• P•••••• A•••• M••••••••• U• L•••••• (listed 2019-11-13, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- J••• M••• S•••••••• (Head Of Uk Compliance) no longer on Schedule A of B•• P•••••• A•••• M••••••••• U• L•••••• (listed 2019-07-09, absent 2019-11-13)Nov 13, 2019 · Control person left · inference
- J••• M••• S•••••••• (Head Of Uk Compliance) appeared on Schedule A of B•• P•••••• A•••• M••••••••• U• L••••••Jul 9, 2019 · Control person joined · fact
- Michael Robert Francois Regnier (Director) no longer on Schedule A of B•• P•••••• A•••• M••••••••• U• L•••••• (listed 2019-03-04, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Sue Robin Meister (Chief Compliance Officer, Us Regulatory Matters) no longer on Schedule A of B•• P•••••• A•••• M••••••••• U• L•••••• (listed 2018-04-03, absent 2019-03-04)Mar 4, 2019 · Control person left · inference
- Alicia Lovejoy (Chief Financial Officer) no longer on Schedule A of B•• P•••••• A•••• M••••••••• U• L•••••• (listed 2018-04-03, absent 2019-03-04)Mar 4, 2019 · Control person left · inference
- William Timothy Trotter (Chief Compliance Officer, Us Regulatory Matters) appeared on Schedule A of B•• P•••••• A•••• M••••••••• U• L••••••Mar 4, 2019 · Control person joined · fact
- Jose Placido (Director) appeared on Schedule A of B•• P•••••• A•••• M••••••••• U• L••••••Mar 4, 2019 · Control person joined · fact
- Marguerite Veronique Cecile Lesage (Director) appeared on Schedule A of B•• P•••••• A•••• M••••••••• U• L••••••Mar 4, 2019 · Control person joined · fact
- B•• P•••••• A•••• M••••••••• U• L•••••• reported RAUM $43.7B, up 34% from $32.7B (2017-12-22 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- B•• P•••••• A•••• M••••••••• U• L•••••• · Private Equityshared crd · intermediary
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