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
A• B•••• G•••• L•
Legal name B•••• G•••• C•••••• L•
Latest filing Dec 11, 2024
First filing on the tape Jun 24, 2013 · 17 filings
SEC status approved since Jul 3, 2013
RAUM
$6.0B
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
32
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
$4.7B gross assets
History
17 filings and snapshots on the tape
RAUM$6.0B as of Mar 30, 2024
Feb 18, 2014$373M then
HNW client RAUM$44.1M as of Mar 30, 2019
Mar 31, 2018$57.0M then
State-registered IARs (5.B.3)0 as of Mar 30, 2024
Feb 18, 20140 then
Employees (5.A)32 as of Mar 30, 2024
Feb 18, 201414 then
Private funds10 as of Mar 30, 2024
Feb 18, 20143 then
RAUM +39% over the last fiscal year+46% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 11, 2024; 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
- $216MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%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
- +39%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 pooled vehiclesreportedItem 5.G
- Custody
- $1.3B, 12 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.8B80%
- Other investment advisers$550M9.1%
- Pension and profit-sharing plans$522M8.7%
- Insurance companies$97.2M1.6%
- State and municipal entities$43.2M0.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 28reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 12 clientsreported
- 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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••• G•••• C••••• S••••••••• M••••• F••• L• | Hedge Fund | $1.1B | 80 | Oct 4, 2013 |
| B•••• G•••• C•• 3• L••• | Securitized Asset Fund | $507M | 3 | Mar 31, 2022 |
| B•••• G•••• C•• 6• L•• | Securitized Asset Fund | $507M | 2 | Mar 30, 2024 |
| B•••• G•••• C•• 4• L•• | Securitized Asset Fund | $504M | 3 | Mar 31, 2023 |
| B•••• G•••• C•• 2• L••• | Securitized Asset Fund | $502M | 4 | Mar 31, 2022 |
| B•••• G•••• C•• 7• L•• | Securitized Asset Fund | $463M | 2 | Mar 30, 2024 |
| B•••• G•••• C•• 5• L•• | Securitized Asset Fund | $401M | 3 | Mar 30, 2024 |
| B•••• G•••• C•• 8• L•• | Securitized Asset Fund | $401M | 3 | Mar 30, 2024 |
| B•••• G•••• C•• L••• | Securitized Asset Fund | $350M | 3 | Mar 30, 2020 |
| A• B•••• G•••• C•• E••••• M••••• F••• L• | Private Equity Fund | $0 | 1 | Mar 30, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• J•••••••• I••••• · Chief Executive Officer / Chief Investment Officercontrolsince 12/2012 · owns less than 5%
- B••••• T•••• A••••• · Chief Operating Officercontrolsince 04/2014 · owns less than 5%
- E••••••• R•••• D•••• · Chief Financial Officercontrolsince 01/2013 · owns less than 5%
- F•••• A•••••• A••• · Presidentcontrolsince 12/2012 · owns less than 5%
- M•••• J•••••• B••••••• · Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- B•••••• J•••••••• I••••• · Limited Partnercontrolsince 06/2021 · owns 50% to 75% of B•••• G•••• C•••••• H••••••• L•
- F•••• A•••••• A••• · Limited Partnercontrolsince 06/2021 · owns 25% to 50% of B•••• G•••• C•••••• H••••••• L•
- F••••• M••••••• G••••• · Trusteecontrolsince 01/2011 · owns F of M•••••• G• F•••• 2••• R•••••••• T••••
Entity owners
- A• B•••• G•••• L• · Limited Partnerdirect · owns 75% or more
- B•••• G•••• C•••••• M••••••••• L•• · General Partnerdirect · owns less than 5%
- A••••••• S••••••••• H•••••••• L•• · Sole Memberindirect · owns 75% or more of A••••••• S••••••••• L••
- A••••••• S••••••••• L•• · Limited Partnerindirect · owns 50% to 75% of A• B•••• G•••• L•
- A• B•••• G•••• H••••••• A••••••••• L•• · General Partnerindirect · owns F of A• B•••• G•••• L•
- A•••• L•• · Managing Memberindirect · owns F of A••••••• S••••••••• H•••••••• L••
- B• C•••••• G• L•• · General Partnerindirect · owns F of B•••• G•••• C•••••• H••••••• L•
- B•••• G•••• C•••••• H••••••• L• · Limited Partnerindirect · owns 50% to 75% of A• B•••• G•••• L•
- M•••••• G• F•••• 2••• R•••••••• T•••• · Sole Memberindirect · owns 75% or more of A•••• L••
Related persons
Schedule D 7.A
- A••••••• S••••••••• L••investment adviserpooled vehicle sponsornRAUM $19B
- A• B•••• G•••• C•• E••••• F••• G• L••investment adviserpooled vehicle sponsorn
- A•••••• C•••••• L••investment adviserpooled vehicle sponsornRAUM $1.1B
- A•••••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $252M
- B•••• G•••• A••••••• L••investment adviserbankpooled vehicle sponsorn
Advisers that list A• B•••• G•••• L• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 23 to 28Mar 31, 2023 to Mar 30, 2024
- Advisory employees · 14 to 18Mar 31, 2023 to Mar 30, 2024
- Pooled vehicle clients · 8 to 15Mar 31, 2023 to Mar 30, 2024
- Assets in custody · $1.5B to $1.3BMar 31, 2023 to Mar 30, 2024
- Employees · 28 to 32Mar 31, 2023 to Mar 30, 2024
- Private funds · 5 to 10Mar 31, 2023 to Mar 30, 2024
- Discretionary RAUM · $4.3B to $6.0BMar 31, 2023 to Mar 30, 2024
- Pension RAUM · $424M to $522MMar 31, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $3.1B to $4.8BMar 31, 2023 to Mar 30, 2024
- RAUM · $4.3B to $6.0BMar 31, 2023 to Mar 30, 2024
- Accounts · 22 to 23Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 13 to 14Mar 31, 2022 to Mar 31, 2023
- Business name · B•••• G•••• C•••••• L• to A• B•••• G•••• L•Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $1.7B to $1.5BMar 31, 2022 to Mar 31, 2023
- Employees · 26 to 28Mar 31, 2022 to Mar 31, 2023
- Private funds · 4 to 5Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $3.8B to $4.3BMar 31, 2022 to Mar 31, 2023
- Pension RAUM · $362M to $424MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $2.8B to $3.1BMar 31, 2022 to Mar 31, 2023
- RAUM · $3.8B to $4.3BMar 31, 2022 to Mar 31, 2023
- Accounts · 18 to 22Aug 31, 2021 to Mar 31, 2022
- Advisory employees · 11 to 13Aug 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 5 to 8Aug 31, 2021 to Mar 31, 2022
- Assets in custody · $1.0B to $1.7BAug 31, 2021 to Mar 31, 2022
- Employees · 22 to 26Aug 31, 2021 to Mar 31, 2022
- Private funds · 2 to 4Aug 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.9B to $3.8BAug 31, 2021 to Mar 31, 2022
- Pension RAUM · $217M to $362MAug 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.2B to $2.8BAug 31, 2021 to Mar 31, 2022
- RAUM · $1.9B to $3.8BAug 31, 2021 to Mar 31, 2022
- Accounts · 13 to 18Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $998M to $1.0BMar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.6B to $1.9BMar 30, 2020 to Mar 31, 2021
- Pension RAUM · unset to 217020790.0Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $1.3B to $1.2BMar 30, 2020 to Mar 31, 2021
- RAUM · $1.6B to $1.9BMar 30, 2020 to Mar 31, 2021
- Accounts · 12 to 13Mar 30, 2019 to Mar 30, 2020
- Advisory employees · 10 to 11Mar 30, 2019 to Mar 30, 2020
- Pooled vehicle clients · 4 to 5Mar 30, 2019 to Mar 30, 2020
- Assets in custody · $983M to $998MMar 30, 2019 to Mar 30, 2020
Signals
7 dated events
- A• B•••• G•••• L• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $6.0B)Jun 2, 2025 · Left the SEC roster · derived
- A• B•••• G•••• L• reported RAUM $6.0B, up 39% from $4.3B (2023-03-31 to 2024-03-30)Mar 30, 2024 · RAUM change · derived
- A• B•••• G•••• L• reported RAUM $3.8B, up 96% from $1.9B (2021-08-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Brainard Jeremy Maco (Chief Compliance Officer) appeared on Schedule A of A• B•••• G•••• L•Aug 31, 2021 · Control person joined · fact
- Gerald Michael Fisch (Trustee) appeared on Schedule A of A• B•••• G•••• L•Aug 31, 2021 · Control person joined · fact
- A• B•••• G•••• L• reported RAUM $1.6B, up 36% from $1.2B (2019-03-30 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- B•••• G•••• C•••••• L• filed its initial SEC registration (Form ADV)Jun 24, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A• B•••• G•••• L• · Private Equityshared crd · organization
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