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•••••••• A•••• M••••••••• L••

Other adviserNew York, New YorkCRD 171274SEC 801-79887IAPD
Latest filing Jul 17, 2026
First filing on the tape Jun 2, 2014 · 36 filings
SEC status approved since Jul 15, 2014
RAUM
$34.8M
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
30
17 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$34.8M as of Jul 17, 2026
Mar 25, 2015$25.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 17, 2026
Mar 25, 20150 then
Employees (5.A)30 as of Jul 17, 2026
Mar 25, 201525 then
Private funds: no history
RAUM +6.0% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 17, 2026; 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
$34.8MderivedRAUM 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
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+6.0%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$34.8M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• Z••••••• D••••• · Directorcontrol
        since 12/2020 · owns less than 5%
      • S••••••••• L••• · Directorcontrol
        since 10/2019 · owns less than 5%
      • W••••••••• J••• · Chief Compliance Officercontrol
        since 09/2022 · owns less than 5%
      • K•••• A••••• C•••••••• · Managing Partnercontrol
        since 12/2020 · owns F of J••• B••••••••• G•••••• • C•• K•
      • M•••••••• D••••• A•••••• F•••••• · Managing Partnercontrol
        since 12/2020 · owns F of J••• B••••••••• G•••••• • C•• K•
      • R••••••• H•••••• · Managing Partnercontrol
        since 01/2009 · owns F of J••• B••••••••• G•••••• • C•• K•
      • S•••••••• G•••••• · Chief Executive Officer
        since 02/2024 · owns less than 5%
      Entity owners
      • B•••••••• B••••••••• G••• · Member
        direct · owns 75% or more
      • J••• B••••••••• G•••••• • C•• K• · Shareholder
        indirect · owns 75% or more of B•••••••• B••••••••• G•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Hamburg, Germany10 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 8 to 17
        Mar 28, 2025 to Mar 24, 2026
      • Employees · 27 to 30
        Mar 28, 2025 to Mar 24, 2026
      • Discretionary RAUM · $32.9M to $34.8M
        Mar 28, 2025 to Mar 24, 2026
      • RAUM · $32.9M to $34.8M
        Mar 28, 2025 to Mar 24, 2026
      • Advisory employees · 10 to 8
        Apr 11, 2024 to Mar 28, 2025
      • Employees · 31 to 27
        Apr 11, 2024 to Mar 28, 2025
      • Financial planning clients · 0 to 0
        Apr 11, 2024 to Mar 28, 2025
      • Other offices · 1 to 3
        Apr 11, 2024 to Mar 28, 2025
      • Discretionary RAUM · $31.5M to $32.9M
        Apr 11, 2024 to Mar 28, 2025
      • RAUM · $31.5M to $32.9M
        Apr 11, 2024 to Mar 28, 2025
      • Accounts · 2 to 1
        Sep 19, 2023 to Mar 19, 2024
      • Pension plan clients · 1.0 to unset
        Sep 19, 2023 to Mar 19, 2024
      • Discretionary RAUM · $78.4M to $31.5M
        Sep 19, 2023 to Mar 19, 2024
      • Pension RAUM · 28102685.0 to unset
        Sep 19, 2023 to Mar 19, 2024
      • RAUM · $78.4M to $31.5M
        Sep 19, 2023 to Mar 19, 2024
      • Advisory employees · 45 to 10
        Nov 28, 2022 to Apr 3, 2023
      • Employees · 45 to 31
        Nov 28, 2022 to Apr 3, 2023
      • Discretionary RAUM · $90.6M to $78.4M
        Nov 28, 2022 to Apr 3, 2023
      • Pension RAUM · $30.6M to $28.1M
        Nov 28, 2022 to Apr 3, 2023
      • RAUM · $90.6M to $78.4M
        Nov 28, 2022 to Apr 3, 2023
      • Advisory employees · 50 to 45
        Mar 29, 2021 to Mar 1, 2022
      • Employees · 50 to 45
        Mar 29, 2021 to Mar 1, 2022
      • Discretionary RAUM · $98.0M to $90.6M
        Mar 29, 2021 to Mar 1, 2022
      • Pension RAUM · $31.0M to $30.6M
        Mar 29, 2021 to Mar 1, 2022
      • RAUM · $98.0M to $90.6M
        Mar 29, 2021 to Mar 1, 2022
      • Accounts · 3 to 2
        Feb 11, 2021 to Mar 29, 2021
      • Discretionary RAUM · $89.9M to $98.0M
        Feb 11, 2021 to Mar 29, 2021
      • Non-discretionary RAUM · $940M to $0
        Feb 11, 2021 to Mar 29, 2021
      • Pension RAUM · $29.7M to $31.0M
        Feb 11, 2021 to Mar 29, 2021
      • RAUM · $1.0B to $98.0M
        Feb 11, 2021 to Mar 29, 2021
      • Pension plan clients · 2 to 1
        Feb 27, 2020 to Aug 12, 2020
      • Discretionary RAUM · $207M to $89.9M
        Feb 27, 2020 to Aug 12, 2020
      • Non-discretionary RAUM · $0 to $940M
        Feb 27, 2020 to Aug 12, 2020
      • Pension RAUM · $130M to $29.7M
        Feb 27, 2020 to Aug 12, 2020
      • RAUM · $207M to $1.0B
        Feb 27, 2020 to Aug 12, 2020
      • Discretionary RAUM · $212M to $207M
        Nov 29, 2019 to Feb 27, 2020
      • Pension RAUM · $128M to $130M
        Nov 29, 2019 to Feb 27, 2020
      • RAUM · $212M to $207M
        Nov 29, 2019 to Feb 27, 2020
      • HQ city · CHICAGO to NEW YORK
        Mar 28, 2019 to Jun 4, 2019
      • HQ state · IL to NY
        Mar 28, 2019 to Jun 4, 2019
      Signals
      20 dated events
      • William Charles Peter Nichols (Director) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2022-10-12, absent 2022-11-28)
        Nov 28, 2022 · Control person left · inference
      • R•••••• B•••• (Director) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2022-10-12, absent 2022-11-28)
        Nov 28, 2022 · Control person left · inference
      • J••• W••••••••• (Chief Compliance Officer) appeared on Schedule A of B•••••••• A•••• M••••••••• L••
        Oct 12, 2022 · Control person joined · fact
      • D••••• R••••••••• (Chief Compliance Officer) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2022-07-28, absent 2022-10-12)
        Oct 12, 2022 · Control person left · inference
      • D••••• R••••• M••• (Director) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2022-03-01, absent 2022-07-28)
        Jul 28, 2022 · Control person left · inference
      • Gerard Donald Feeney (Director, Chief Executive Officer) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2021-03-29, absent 2022-03-01)
        Mar 1, 2022 · Control person left · inference
      • B•••••••• A•••• M••••••••• L•• reported RAUM $98.0M, down 90% from $1.0B (2021-02-11 to 2021-03-29)
        Mar 29, 2021 · RAUM change · derived
      • Dalton Zachary Brantly (Director) appeared on Schedule A of B•••••••• A•••• M••••••••• L••
        Feb 11, 2021 · Control person joined · fact
      • Christian Aaron Kuhn (Managing Partner) appeared on Schedule A of B•••••••• A•••• M••••••••• L••
        Feb 11, 2021 · Control person joined · fact
      • D••••• R••••• M••• (Director) appeared on Schedule A of B•••••••• A•••• M••••••••• L••
        Feb 11, 2021 · Control person joined · fact
      • Hans-Walter Peters (General Partner) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2020-08-12, absent 2021-02-11)
        Feb 11, 2021 · Control person left · inference
      • B•••••••• A•••• M••••••••• L•• reported RAUM $1.0B, up 397% from $207.4M (2020-02-27 to 2020-08-12)
        Aug 12, 2020 · RAUM change · derived
      • R•••••• B•••• (Director) appeared on Schedule A of B•••••••• A•••• M••••••••• L••
        Aug 12, 2020 · Control person joined · fact
      • William Charles Peter Nichols (Director) appeared on Schedule A of B•••••••• A•••• M••••••••• L••
        Nov 29, 2019 · Control person joined · fact
      • Anthony Francis David Mortlock (Chairman Of The Board) appeared on Schedule A of B•••••••• A•••• M••••••••• L••
        Nov 29, 2019 · Control person joined · fact
      • Lars Schwartau (Director) appeared on Schedule A of B•••••••• A•••• M••••••••• L••
        Nov 29, 2019 · Control person joined · fact
      • Henning Gebhardt (Director) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2019-06-04, absent 2019-11-29)
        Nov 29, 2019 · Control person left · inference
      • M••••• K•••••••• (Chief Operating Officer) no longer on Schedule A of B•••••••• A•••• M••••••••• L•• (listed 2019-06-04, absent 2019-11-29)
        Nov 29, 2019 · Control person left · inference
      • M••••• K•••••••• (Chief Operating Officer) appeared on Schedule A of B•••••••• A•••• M••••••••• L••
        Mar 28, 2019 · Control person joined · fact
      • B•••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 2, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      646-949-9000reportedpublic record, Form ADV, Jul 17, 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
      Other 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