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•••••• A•• L••••••
Latest filing Jun 27, 2025
First filing on the tape Jun 20, 2014 · 16 filings
SEC status approved since Jul 29, 2014
RAUM
$21B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$2.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
672
42 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$21B as of Jun 27, 2025
Jun 25, 2015$8.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 27, 2025
Jun 25, 20150 then
Employees (5.A)672 as of Jun 27, 2025
Jun 25, 2015165 then
Private funds: no history
RAUM +50% over the last fiscal year+5.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 27, 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
- $644MderivedRAUM 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
- +26%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$21B100%
- Individuals$2.6M0.0%
- Corporations and businesses$1.1M0.0%
- Individual clients
- 28reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 32reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
- A•••• K••••• S•••• · Associate Directorcontrolsince 01/2023 · owns less than 5%
- D•••• N•••••• · Independent Directorcontrolsince 05/2023 · owns less than 5%
- K••••• A•••• · Associate Directorcontrolsince 02/2024 · owns less than 5%
- K•••••• V••••••••• · Head - Legal & Compliance, Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- M•••••• N•••• · Independent Directorcontrolsince 01/2023 · owns less than 5%
- R••••••••• S• · Independent Directorcontrolsince 12/2023 · owns less than 5%
- S••• A•••• · Associate Directorcontrolsince 01/2023 · owns less than 5%
- S••• B•••••• · Independent Directorcontrolsince 01/2023 · owns less than 5%
- S••••••• A•••• · Associate Directorcontrolsince 01/2023 · owns less than 5%
- M•••••• R••••••• · Shareholdersince 01/2023 · owns less than 5%
Entity owners
- B•••••• F•••••••• H••••••• L•••••• A•• I•• N••••••• · Shareholderdirect · owns 50% to 75%
- B•••••• F•••••••• S••••••• L•••••• · Shareholderindirect · owns 75% or more of B•••••• F•••••••• H••••••• L•••••• A•• I•• N•••••••
- D••••• I••••••••• H•••••• B••• · Shareholderdirect · owns less than 5%
- L•••• I••••••••• P••• L••• · Shareholderdirect · owns 10% to 25%
- M•• I••••••• P••••••• · Shareholderdirect · owns less than 5%
- T•••••••• I••••••••• L•••••• · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 48 to 32Jun 25, 2024 to Jun 27, 2025
- Advisory employees · 30 to 42Jun 25, 2024 to Jun 27, 2025
- Corporate clients · 5 to 3Jun 25, 2024 to Jun 27, 2025
- Individual clients · 42 to 28Jun 25, 2024 to Jun 27, 2025
- Employees · 513 to 672Jun 25, 2024 to Jun 27, 2025
- Financial planning clients · 0 to 0Jun 25, 2024 to Jun 27, 2025
- HQ state · unset to Jun 25, 2024 to Jun 27, 2025
- Discretionary RAUM · $17B to $21BJun 25, 2024 to Jun 27, 2025
- Individual RAUM · $3.3M to $2.6MJun 25, 2024 to Jun 27, 2025
- Pooled vehicle RAUM · $17B to $21BJun 25, 2024 to Jun 27, 2025
- RAUM · $17B to $21BJun 25, 2024 to Jun 27, 2025
- Accounts · 77 to 48May 17, 2023 to Jun 25, 2024
- Advisory employees · 26 to 30May 17, 2023 to Jun 25, 2024
- Business name · I••• A•••• M••••••••• C•••••• L•••••• to B•••••• A•• L••••••May 17, 2023 to Jun 25, 2024
- Individual clients · 71 to 42May 17, 2023 to Jun 25, 2024
- Employees · 348 to 513May 17, 2023 to Jun 25, 2024
- Legal name · I••• A•••• M••••••••• C•••••• L•••••• to B•••••• A•• L••••••May 17, 2023 to Jun 25, 2024
- Discretionary RAUM · $14B to $17BMay 17, 2023 to Jun 25, 2024
- Individual RAUM · $5.0M to $3.3MMay 17, 2023 to Jun 25, 2024
- Pooled vehicle RAUM · $14B to $17BMay 17, 2023 to Jun 25, 2024
- RAUM · $14B to $17BMay 17, 2023 to Jun 25, 2024
- Accounts · 110 to 77Mar 2, 2023 to May 17, 2023
- Advisory employees · 24 to 26Mar 2, 2023 to May 17, 2023
- Corporate clients · 6 to 5Mar 2, 2023 to May 17, 2023
- Individual clients · 102 to 71Mar 2, 2023 to May 17, 2023
- Pooled vehicle clients · 2 to 1Mar 2, 2023 to May 17, 2023
- Employees · 354 to 348Mar 2, 2023 to May 17, 2023
- Discretionary RAUM · $15B to $14BMar 2, 2023 to May 17, 2023
- Individual RAUM · $7.3M to $5.0MMar 2, 2023 to May 17, 2023
- Pooled vehicle RAUM · $15B to $14BMar 2, 2023 to May 17, 2023
- RAUM · $15B to $14BMar 2, 2023 to May 17, 2023
- Advisory employees · 26 to 24Jun 30, 2022 to Mar 2, 2023
- Employees · 323 to 354Jun 30, 2022 to Mar 2, 2023
- Accounts · 135 to 110Jun 29, 2021 to Jun 30, 2022
- Advisory employees · 24 to 26Jun 29, 2021 to Jun 30, 2022
- Corporate clients · 5 to 6Jun 29, 2021 to Jun 30, 2022
- Individual clients · 128 to 102Jun 29, 2021 to Jun 30, 2022
- Employees · 315 to 323Jun 29, 2021 to Jun 30, 2022
- Financial planning clients · unset to 0Jun 29, 2021 to Jun 30, 2022
- Discretionary RAUM · $17B to $15BJun 29, 2021 to Jun 30, 2022
Signals
37 dated events
- B•••••• A•• L•••••• no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $20.6B)Jul 1, 2026 · Left the SEC roster · derived
- Sanjay Lakra (Head - Legal & Compliance, Chief Compliance Office) no longer on Schedule A of B•••••• A•• L•••••• (listed 2023-05-17, absent 2024-06-25)Jun 25, 2024 · Control person left · inference
- Laxmikant Sunil Aryamane (Associate Director - Customer Service) no longer on Schedule A of B•••••• A•• L•••••• (listed 2023-05-17, absent 2024-06-25)Jun 25, 2024 · Control person left · inference
- P••••• S••• (Associate Director) no longer on Schedule A of B•••••• A•• L•••••• (listed 2023-05-17, absent 2024-06-25)Jun 25, 2024 · Control person left · inference
- G••••••••• M••••••••• (Independent Director) no longer on Schedule A of B•••••• A•• L•••••• (listed 2023-05-17, absent 2024-06-25)Jun 25, 2024 · Control person left · inference
- S. R•••••••• (Independent Director) appeared on Schedule A of B•••••• A•• L••••••Jun 25, 2024 · Control person joined · fact
- V••••••••• K••••• (Head - Legal & Compliance, Chief Compliance Officer) appeared on Schedule A of B•••••• A•• L••••••Jun 25, 2024 · Control person joined · fact
- B•••••• A•• L•••••• reported RAUM $17.4B, up 26% from $13.8B (2023-05-17 to 2024-06-25)Jun 25, 2024 · RAUM change · derived
- A•••• K•••• (Associate Director) appeared on Schedule A of B•••••• A•• L••••••Jun 25, 2024 · Control person joined · fact
- N•••••• D••• (Independent Director) appeared on Schedule A of B•••••• A•• L••••••May 17, 2023 · Control person joined · fact
- P••••• S••• (Associate Director) appeared on Schedule A of B•••••• A•• L••••••Mar 2, 2023 · Control person joined · fact
- A•••• S•••••• (Associate Director) appeared on Schedule A of B•••••• A•• L••••••Mar 2, 2023 · Control person joined · fact
- B•••••• Sen (Independent Director) appeared on Schedule A of B•••••• A•• L••••••Mar 2, 2023 · Control person joined · fact
- G••••••••• M••••••••• (Independent Director) appeared on Schedule A of B•••••• A•• L••••••Mar 2, 2023 · Control person joined · fact
- Piyush Anchliya (Chief Financial Officer) no longer on Schedule A of B•••••• A•• L•••••• (listed 2022-06-30, absent 2023-03-02)Mar 2, 2023 · Control person left · inference
- Veena Mankar (Director) no longer on Schedule A of B•••••• A•• L•••••• (listed 2022-06-30, absent 2023-03-02)Mar 2, 2023 · Control person left · inference
- N•••• M••••• (Independent Director) appeared on Schedule A of B•••••• A•• L••••••Mar 2, 2023 · Control person joined · fact
- S•••• K•••• A••• (Associate Director) appeared on Schedule A of B•••••• A•• L••••••Mar 2, 2023 · Control person joined · fact
- A•••• Sen (Associate Director) appeared on Schedule A of B•••••• A•• L••••••Mar 2, 2023 · Control person joined · fact
- Ritu Anand (Director) no longer on Schedule A of B•••••• A•• L•••••• (listed 2022-06-30, absent 2023-03-02)Mar 2, 2023 · Control person left · inference
- S••••• C•••• V••••• K••••• (Chief Executive Officer) no longer on Schedule A of B•••••• A•• L•••••• (listed 2022-06-30, absent 2023-03-02)Mar 2, 2023 · Control person left · inference
- A•••• B••••• (Director) no longer on Schedule A of B•••••• A•• L•••••• (listed 2022-06-30, absent 2023-03-02)Mar 2, 2023 · Control person left · inference
- Anand Krishna (Director) no longer on Schedule A of B•••••• A•• L•••••• (listed 2022-06-30, absent 2023-03-02)Mar 2, 2023 · Control person left · inference
- Ritu Anand (Director) appeared on Schedule A of B•••••• A•• L••••••Jun 30, 2022 · Control person joined · fact
- B•••••••• V•••• Rai (Director) no longer on Schedule A of B•••••• A•• L•••••• (listed 2021-06-29, absent 2022-06-30)Jun 30, 2022 · Control person left · inference
- Anand Krishna (Director) appeared on Schedule A of B•••••• A•• L••••••Jun 30, 2022 · Control person joined · fact
- Veena Mankar (Director) appeared on Schedule A of B•••••• A•• L••••••Jun 30, 2022 · Control person joined · fact
- A•••• R••••••••• (Director) no longer on Schedule A of B•••••• A•• L•••••• (listed 2020-06-29, absent 2021-06-29)Jun 29, 2021 · Control person left · inference
- B•••••• A•• L•••••• reported RAUM $17.4B, up 34% from $13.0B (2020-06-29 to 2021-06-29)Jun 29, 2021 · RAUM change · derived
- Harishchandra Rupesh Acharya (Chief Financial Officer) no longer on Schedule A of B•••••• A•• L•••••• (listed 2019-06-28, absent 2020-06-29)Jun 29, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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