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•••••• A••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Apr 11, 2024 · 6 filings
SEC status approved since May 17, 2024
RAUM
$185M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$185M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$185M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$185M as of Mar 11, 2026
Feb 27, 2025$159M then
HNW client RAUM$173M as of Mar 11, 2026
Feb 27, 2025$1.5M then
State-registered IARs (5.B.3)1 as of Mar 11, 2026
Feb 27, 20251 then
Employees (5.A)2 as of Mar 11, 2026
Feb 27, 20252 then
Private funds3 as of Mar 11, 2026
Feb 27, 20253 then
RAUM +17% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $185MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $672,804derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$173M93%
- Individuals$12.4M6.7%
- Individual clients
- 31reported
- HNW clients
- 29reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 275reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 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 |
|---|---|---|---|---|
| D••••• B••••••• B••••••• | Northbrook, Il | Feb 19, 2015 | 29 y | 3 |
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
- D••••• B••••••• B••••••• from S••••••••• W••••• M••••••••• L••Feb 19, 2015 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••• C•••••• F••• I•• L• | Real Estate Fund | $522,750 | 9 | Apr 11, 2024 |
| B••• C•••••• F••• I••• L• | Real Estate Fund | $325,000 | 6 | Apr 11, 2024 |
| B••• C•••••• F••• I• L•• | Securitized Asset Fund | $167,587 | 6 | Apr 11, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• D•••••• B••••••• · Member, Ccocontrolsince 03/2013 · owns 75% or more
Related persons
Schedule D 7.A
- B••• C•••••• M••••••••• L••pooled vehicle sponsorcustodiann
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 11, 2026HNW share of RAUM moved from 1.0% to 93.0% between the annual amendments of 2025-02-27 and 2026-03-11peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 291 to 275Feb 27, 2025 to Mar 11, 2026
- HNW clients · 1 to 29Feb 27, 2025 to Mar 11, 2026
- Individual clients · 61 to 31Feb 27, 2025 to Mar 11, 2026
- Discretionary RAUM · $159M to $185MFeb 27, 2025 to Mar 11, 2026
- HNW RAUM · $1.5M to $173MFeb 27, 2025 to Mar 11, 2026
- Individual RAUM · $157M to $12.4MFeb 27, 2025 to Mar 11, 2026
- RAUM · $159M to $185MFeb 27, 2025 to Mar 11, 2026
- Accounts · 267 to 291Dec 10, 2024 to Feb 27, 2025
- HNW clients · 24 to 1Dec 10, 2024 to Feb 27, 2025
- Individual clients · 35 to 61Dec 10, 2024 to Feb 27, 2025
- Financial planning clients · 26-50 to 51-100Dec 10, 2024 to Feb 27, 2025
- Discretionary RAUM · $147M to $159MDec 10, 2024 to Feb 27, 2025
- HNW RAUM · $135M to $1.5MDec 10, 2024 to Feb 27, 2025
- Individual RAUM · $12.0M to $157MDec 10, 2024 to Feb 27, 2025
- RAUM · $147M to $159MDec 10, 2024 to Feb 27, 2025
Signals
1 dated events
- B••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)Apr 11, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B••• C•••••• A••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- B•••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 224-326-2044reportedpublic record, Form ADV, Mar 11, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $185Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
B••• C•••••• A••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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