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•••••• C•••••• I••••••••• M••••••••• L••
Latest filing Jul 16, 2026
First filing on the tape Mar 24, 2014 · 37 filings
SEC status approved since Apr 3, 2014
RAUM
$3.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$3.2B
derived; firm RAUM over IAPD count
Employees
170
79 advisory (5.B.1)
Offices
18
beyond the principal office
Private funds
12
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$3.2B as of Jul 16, 2026
Mar 31, 2015$843M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jul 16, 2026
Mar 31, 20150 then
Employees (5.A)170 as of Jul 16, 2026
Mar 31, 201511 then
Private funds12 as of Jul 16, 2026
Mar 31, 20153 then
RAUM -7.7% over the last fiscal year-1.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $3.2BderivedRAUM 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
- $167MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 170.0derivedItem 5.A over advisors
- Advisors per office
- 0.1derived19 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1,000, 1 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)
- 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$3.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 19reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1,000 for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• C•••••••• | Richardson, Tx | Jul 10, 2023 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
20 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••••• O••••••••• F••• C• L• | Private Equity Fund | $954M | 2 | Mar 29, 2019 |
| B••• P••••••• I••• L• | Private Equity Fund | $433M | 64 | Mar 30, 2016 |
| B••• C••••• O••••••••• L• | Private Equity Fund | $411M | 26 | Oct 22, 2014 |
| B•••••• A•••••••• M••••• F••• L• | Private Equity Fund | $394M | 10 | Mar 30, 2022 |
| B•••••• O••••••••• F••• L• | Private Equity Fund | $379M | 45 | Mar 29, 2019 |
| B•••••• A••••••••• I••••• F••• I• L• | Private Equity Fund | $368M | 15 | Mar 31, 2023 |
| B•••••• A••••••••• I••••• F••• L• | Private Equity Fund | $221M | 14 | Mar 29, 2019 |
| B••• P••••••• I•• L• | Private Equity Fund | $147M | 38 | Mar 24, 2014 |
| P•••••• I••••••••• F••• L• | Private Equity Fund | $62.7M | 1 | Mar 30, 2022 |
| O••••• F•••••• C• 2• L• | Private Equity Fund | $49.2M | 8 | Mar 31, 2021 |
| B••• P••••••• I• L•no longer reported | Private Equity Fund | $25.7M | 24 | May 2, 2013 |
| B••• S•••••••• V•••• M••••• F•••• L• | Hedge Fund | $14.6M | 48 | Mar 30, 2018 |
| B•••••• O••••••••• F••• B• L• | Private Equity Fund | $8.0M | 40 | Mar 29, 2019 |
| C••••• F•••••• C•• L••no longer reported | Private Equity Fund | $3.3M | 4 | Mar 30, 2018 |
| A•••••• F••••••••• L•• | Private Equity Fund | $2.7M | 5 | Mar 30, 2016 |
| B••• S• S•• I• L•• | Hedge Fund | $470,000 | 1 | Mar 30, 2018 |
| A•• S••• L••no longer reported | Private Equity Fund | $69,000 | 8 | Mar 31, 2017 |
| Z•••• F••••••••• L••no longer reported | Private Equity Fund | $64,000 | 1 | Mar 31, 2017 |
| P•••••• F••••••••• L••no longer reported | Private Equity Fund | $51,000 | 17 | Mar 31, 2017 |
| C••••••• F••••••••• L••no longer reported | Private Equity Fund | $4,000 | 17 | Mar 30, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• C••••••••• P•••• · Chief Executive Officercontrolsince 12/2016 · owns less than 5%
- L••••• J•••••• D•••• · Chief Financial Officercontrolsince 09/2022 · owns less than 5%
- M••••• J•••••••• T••• · Chief Investment Officercontrolsince 12/2016 · owns less than 5%
- S••••• M•••••• K••••• · Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- K••••• M•••• N••• · G•••••• Counselsince 09/2017 · owns less than 5%
- P••••• D••••• M• · Co-Chief Operating Officersince 01/2020 · owns less than 5%
- W•••• A•••• · Co-Chief Operating Officersince 01/2020 · owns less than 5%
Entity owners
- B••• H•••••••• L•• · Memberdirect · owns 75% or more
- B•••••• C•••••• H••••••• ••• L•••••• · Manager / Memberindirect · owns 75% or more of B•••••• C•••••• L••
- B•••••• C•••••• L•••••• · Shareholderindirect · owns 75% or more of B•••••• C•••••• H••••••• ••• L••••••
- B•••••• C•••••• L•• · Manager / Memberindirect · owns 75% or more of B••• H•••••••• L••
Related persons
Schedule D 7.A
- B••• C••• G•• L•pooled vehicle sponsorn
- B••• G•••••• P•••••• I•• L•pooled vehicle sponsorn
- B••• G•••••• P•••••• I••• L•pooled vehicle sponsorn
- B•••••• A•••••••• F••• G• L•pooled vehicle sponsorn
- B•••••• A••••••••• I••••• F••• G• L•pooled vehicle sponsorn
- B•••••• A••••••••• I••••• F••• I• G• L•pooled vehicle sponsorn
- B•••••• C•••••• ••• L••••••real estaten
- B•••••• O••••••••• F••• G• L•pooled vehicle sponsorn
- B•••••• W•••••••• I•••••••• L••••••real estaten
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom25 employees
- New York, NY22 employees
- Dubai, United Arab Emirates3 employees
- Washington, DC2 employees
- Central, Hong Kong, China1 employees
- Paddington, Australia1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 71 to 79Apr 29, 2025 to Mar 31, 2026
- Assets in custody · $2.2M to $1,000Apr 29, 2025 to Mar 31, 2026
- Employees · 153 to 170Apr 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.4B to $3.2BApr 29, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.4B to $3.2BApr 29, 2025 to Mar 31, 2026
- RAUM · $3.4B to $3.2BApr 29, 2025 to Mar 31, 2026
- Advisory employees · 73 to 71Apr 16, 2024 to Apr 29, 2025
- Assets in custody · $2.7M to $2.2MApr 16, 2024 to Apr 29, 2025
- Employees · 149 to 153Apr 16, 2024 to Apr 29, 2025
- Financial planning clients · unset to Apr 16, 2024 to Apr 29, 2025
- Other offices · 20 to 18Apr 16, 2024 to Apr 29, 2025
- Discretionary RAUM · $3.4B to $3.4BApr 16, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · $3.4B to $3.4BApr 16, 2024 to Apr 29, 2025
- RAUM · $3.4B to $3.4BApr 16, 2024 to Apr 29, 2025
- Accounts · 24 to 19Jun 2, 2023 to Mar 29, 2024
- Advisory employees · 76 to 73Jun 2, 2023 to Mar 29, 2024
- Pooled vehicle clients · 24 to 19Jun 2, 2023 to Mar 29, 2024
- Assets in custody · $3.2M to $2.7MJun 2, 2023 to Mar 29, 2024
- Employees · 151 to 149Jun 2, 2023 to Mar 29, 2024
- State-registered IARs · 0 to 1Jun 2, 2023 to Mar 29, 2024
- Other offices · 24 to 20Jun 2, 2023 to Mar 29, 2024
- Private funds · 14 to 12Jun 2, 2023 to Mar 29, 2024
- Discretionary RAUM · $3.3B to $3.4BJun 2, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $3.3B to $3.4BJun 2, 2023 to Mar 29, 2024
- RAUM · $3.3B to $3.4BJun 2, 2023 to Mar 29, 2024
- Accounts · 21 to 24Sep 13, 2022 to Mar 31, 2023
- Advisory employees · 93 to 76Sep 13, 2022 to Mar 31, 2023
- Pooled vehicle clients · 21 to 24Sep 13, 2022 to Mar 31, 2023
- Assets in custody · $6.7M to $3.2MSep 13, 2022 to Mar 31, 2023
- Employees · 134 to 151Sep 13, 2022 to Mar 31, 2023
- Other offices · 18 to 24Sep 13, 2022 to Mar 31, 2023
- Private funds · 13 to 14Sep 13, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.8B to $3.3BSep 13, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $2.8B to $3.3BSep 13, 2022 to Mar 31, 2023
- RAUM · $2.8B to $3.3BSep 13, 2022 to Mar 31, 2023
- Accounts · 20 to 21Jan 11, 2022 to Mar 30, 2022
- Advisory employees · 95 to 93Jan 11, 2022 to Mar 30, 2022
- Pooled vehicle clients · 20 to 21Jan 11, 2022 to Mar 30, 2022
- Assets in custody · $9.0M to $6.7MJan 11, 2022 to Mar 30, 2022
- Employees · 117 to 134Jan 11, 2022 to Mar 30, 2022
Signals
10 dated events
- B•••••• C•••••• I••••••••• M••••••••• L•• reported 24 offices beyond its principal office, up from 18 (2022-09-13 to 2023-03-31)Mar 31, 2023 · Office count change · derived
- David Jordan Licht (Chief Financial Officer) appeared on Schedule A of B•••••• C•••••• I••••••••• M••••••••• L••Sep 13, 2022 · Control person joined · fact
- Alan Kenneth Brause (Chief Financial Officer) no longer on Schedule A of B•••••• C•••••• I••••••••• M••••••••• L•• (listed 2022-08-04, absent 2022-09-13)Sep 13, 2022 · Control person left · inference
- Kumari Monika Singh (Chief Compliance Officer) appeared on Schedule A of B•••••• C•••••• I••••••••• M••••••••• L••Aug 4, 2022 · Control person joined · fact
- B•••••• C•••••• I••••••••• M••••••••• L•• reported 18 offices beyond its principal office, up from 13 (2022-01-11 to 2022-03-30)Mar 30, 2022 · Office count change · derived
- Alan Kenneth Brause (Chief Financial Officer) appeared on Schedule A of B•••••• C•••••• I••••••••• M••••••••• L••May 5, 2021 · Control person joined · fact
- Michelle Jeanne Elizabeth Oconnell (Chief Financial Officer - B•••••• C•••••• L••) no longer on Schedule A of B•••••• C•••••• I••••••••• M••••••••• L•• (listed 2019-05-01, absent 2019-09-10)Sep 10, 2019 · Control person left · inference
- James Kilman (Chief Financial Officer) appeared on Schedule A of B•••••• C•••••• I••••••••• M••••••••• L••Sep 10, 2019 · Control person joined · fact
- B•••••• C•••••• I••••••••• M••••••••• L•• reported RAUM $2.5B, up 66% from $1.5B (2019-01-16 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- G•••••• K••••• C••••••• L•• filed its initial SEC registration (Form ADV)Mar 24, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B•••••• C•••••• I••••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- B•••••• C•••••• I••••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 312-757-6070reportedpublic record, Form ADV, Jul 16, 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
- $3.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026