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.

Former SEC-registered adviser

Griffin Capital Bdc Advisor, LLC

Former SEC-registered adviserEl Segundo, CaliforniaCRD 171926SEC 801-80043IAPD
Latest filing May 15, 2017
First filing on the tape Jun 30, 2014 · 10 filings
RAUM
$44.9M
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
7
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$44.9M as of Mar 29, 2017
Feb 12, 2015$200,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Feb 12, 20150 then
Employees (5.A)7 as of Mar 29, 2017
Feb 12, 20156 then
Private funds: no history
RAUM +9.7% over the last fiscal year+508% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 15, 2017; 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
$44.9MderivedRAUM 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
+9.7%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 investment companiesreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Iner Randy Anderson · Executive Vice President And Membercontrol
        since 05/2014 · owns 5% to 10%
      • Wilson Jay Haas · Chief Compliance Officercontrol
        since 03/2016 · owns less than 5%
      • Scott Howard Hirsch · Vice President And Secretarycontrol
        since 11/2014 · owns less than 5%
      • Everett Joseph Miller · Chief Financial Officercontrol
        since 05/2014 · owns less than 5%
      • Carlson David Rupert · Presidentcontrol
        since 05/2014 · owns less than 5%
      • Alan Kevin Shields · Chief Executive Officercontrol
        since 05/2014 · owns less than 5%
      • Alan Kevin Shields · Trusteecontrol
        since 06/1999 · owns F of Kevin A. Shields Family Trust Dated June 15, 1999, As Amended And Restated On August 27, 2008
      Entity owners
      • Griffin Capital Asset Management Company, LLC · Member
        direct · owns 75% or more
      • Griffin Capital Company, LLC · Manager And Member
        indirect · owns 75% or more of Griffin Capital, LLC
      • Griffin Capital Holdings Corporation · Shareholder
        indirect · owns 75% or more of Griffin Capital Company, LLC
      • Griffin Capital, LLC · Manager And Member
        indirect · owns 75% or more of Griffin Capital Asset Management Company, LLC
      • Kevin A. Shields Family Trust Dated June 15, 1999, As Amended And Restated On August 27, 2008 · Shareholder
        indirect · owns 75% or more of Griffin Capital Holdings Corporation
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · 0 to unset
        Jun 14, 2016 to Mar 29, 2017
      • Discretionary RAUM · $40.9M to $44.9M
        Jun 14, 2016 to Mar 29, 2017
      • RAUM · $40.9M to $44.9M
        Jun 14, 2016 to Mar 29, 2017
      • Discretionary RAUM · $17.4M to $40.9M
        Nov 30, 2015 to Mar 29, 2016
      • RAUM · $17.4M to $40.9M
        Nov 30, 2015 to Mar 29, 2016
      • Advisory employees · 4 to 7
        May 4, 2015 to Nov 30, 2015
      • Employees · 6 to 7
        May 4, 2015 to Nov 30, 2015
      • Discretionary RAUM · $200,000 to $17.4M
        May 4, 2015 to Nov 30, 2015
      • RAUM · $200,000 to $17.4M
        May 4, 2015 to Nov 30, 2015
      • BD registered reps · 2 to 1
        Dec 4, 2014 to Feb 12, 2015
      • Employees · 5 to 6
        Jun 30, 2014 to Dec 4, 2014
      • Discretionary RAUM · $100,000 to $200,000
        Jun 30, 2014 to Dec 4, 2014
      • RAUM · $100,000 to $200,000
        Jun 30, 2014 to Dec 4, 2014
      Signals
      1 dated events
      • Griffin Capital Bdc Advisor, Llc filed its initial SEC registration (Form ADV)
        Jun 30, 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.
      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