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•••••• P•••• C•••••• A•••••••• L••
Latest filing Apr 22, 2026
First filing on the tape Jul 21, 2015 · 29 filings
SEC status approved since Jul 24, 2015
RAUM
$2.4B
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
23
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$2.4B as of Apr 22, 2026
Mar 30, 2016$432M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 22, 2026
Mar 30, 20160 then
Employees (5.A)23 as of Apr 22, 2026
Mar 30, 201610 then
Private funds8 as of Apr 22, 2026
Mar 30, 20163 then
RAUM +12% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 22, 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
- $349MderivedRAUM 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
- +12%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $2.4B, 7 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.4B for 7 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=true 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
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••••• P•••• C•••••• P••••••• V• L• | Private Equity Fund | $662M | 29 | Mar 30, 2021 |
| B•••••• P•••• C•••••• P••••••• I••• L••• | Private Equity Fund | $444M | 17 | Mar 29, 2018 |
| B•••••• P•••• C•••••• P••••••• V•• L• | Private Equity Fund | $443M | 30 | Mar 29, 2024 |
| B•••••• P•••• C•••••• P••••••• I•• L• | Private Equity Fund | $290M | 50 | Mar 30, 2021 |
| B•••••• P•••• C•••••• P••••••• I•• L• | Private Equity Fund | $159M | 53 | Jul 21, 2015 |
| C••••••••• G••••• C••••••• L•• | Private Equity Fund | $28.0M | 2 | Dec 1, 2015 |
| B•••••• P•••• C•••••• P•••••••• L• | Private Equity Fund | $4.8M | 35 | Jul 21, 2015 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• S•••• W•••• · Managing Membercontrolsince 08/2011 · owns less than 5%
- K•••••• J•••••• M••• · Membercontrolsince 01/2014 · owns less than 5%
- M••••••• A•••••• L••••• · Chief Financial Officercontrolsince 08/2021 · owns less than 5%
- A•••••• S•••• W•••• · Shareholdercontrolsince 10/2021 · owns 25% to 50% of B••• M••••••••• L••
- K•••••• J•••••• M••• · Shareholdercontrolsince 10/2021 · owns 25% to 50% of B••• M••••••••• L••
Entity owners
- B••• M••••••••• L•• · Shareholderdirect · owns 75% or more
- N••••• B•• H•••••••• L•• · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- B•••••• P•••• C•••••• C• A•••••••• L•• ••••••• A•••••••investment advisery
- B•••••• P•••• C•••••• C• M•••••••• L••pooled vehicle sponsory
- B•••••• P•••• C•••••• M••••••• I•• L••pooled vehicle sponsory
- B•••••• P•••• C•••••• M••••••• I••• L••pooled vehicle sponsory
- B•••••• P•••• C•••••• M••••••• I•• L••pooled vehicle sponsory
- B•••••• P•••• C•••••• M••••••• V• L••pooled vehicle sponsory
- B•••••• P•••• C•••••• M••••••• V•• L••pooled vehicle sponsory
- B•••••• P•••• C•••••• M•••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 12 to 13Nov 10, 2025 to Mar 30, 2026
- Assets in custody · $2.2B to $2.4BNov 10, 2025 to Mar 30, 2026
- Employees · 19 to 23Nov 10, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.2B to $2.4BNov 10, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $2.2B to $2.4BNov 10, 2025 to Mar 30, 2026
- RAUM · $2.2B to $2.4BNov 10, 2025 to Mar 30, 2026
- Related bank · false to trueNov 10, 2025 to Mar 30, 2026
- Advisory employees · 11 to 12Feb 26, 2025 to Apr 16, 2025
- Pooled vehicle clients · 7 to 6Feb 26, 2025 to Apr 16, 2025
- Assets in custody · $1.1B to $2.2BFeb 26, 2025 to Apr 16, 2025
- Employees · 17 to 19Feb 26, 2025 to Apr 16, 2025
- Financial planning clients · unset to Feb 26, 2025 to Apr 16, 2025
- Private funds · 7 to 8Feb 26, 2025 to Apr 16, 2025
- Discretionary RAUM · $2.0B to $2.2BFeb 26, 2025 to Apr 16, 2025
- Pooled vehicle RAUM · $2.0B to $2.2BFeb 26, 2025 to Apr 16, 2025
- RAUM · $2.0B to $2.2BFeb 26, 2025 to Apr 16, 2025
- Accounts · 6 to 7Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 10 to 11Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 6 to 7Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $909M to $1.1BMar 31, 2023 to Mar 29, 2024
- Employees · 15 to 17Mar 31, 2023 to Mar 29, 2024
- Private funds · 6 to 7Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.5B to $2.0BMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.5B to $2.0BMar 31, 2023 to Mar 29, 2024
- RAUM · $1.5B to $2.0BMar 31, 2023 to Mar 29, 2024
- Advisory employees · 8 to 10Jun 3, 2022 to Mar 31, 2023
- Assets in custody · $638M to $909MJun 3, 2022 to Mar 31, 2023
- Employees · 11 to 15Jun 3, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.9B to $1.5BJun 3, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.9B to $1.5BJun 3, 2022 to Mar 31, 2023
- RAUM · $1.9B to $1.5BJun 3, 2022 to Mar 31, 2023
- Advisory employees · 9 to 8Mar 31, 2022 to Jun 3, 2022
- Employees · 12 to 11Mar 31, 2022 to Jun 3, 2022
- Advisory activities · 2 to 1Oct 27, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.3B to $1.9BOct 27, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.3B to $1.9BOct 27, 2021 to Mar 31, 2022
- RAUM · $1.3B to $1.9BOct 27, 2021 to Mar 31, 2022
- Accounts · 4 to 6Mar 24, 2020 to Mar 30, 2021
- Pooled vehicle clients · 4 to 6Mar 24, 2020 to Mar 30, 2021
- Assets in custody · $435M to $638MMar 24, 2020 to Mar 30, 2021
Signals
13 dated events
- B•••••• P•••• C•••••• A•••••••• L•• reported RAUM $2.0B, up 32% from $1.5B (2023-03-31 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- J Eric Dale (Chief Compliance Officer) no longer on Schedule A of B•••••• P•••• C•••••• A•••••••• L•• (listed 2022-03-31, absent 2022-06-03)Jun 3, 2022 · Control person left · inference
- B•••••• P•••• C•••••• A•••••••• L•• reported RAUM $1.9B, up 44% from $1.3B (2021-10-27 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Lindsay Susan Koltay (Chief Financial Officer) no longer on Schedule A of B•••••• P•••• C•••••• A•••••••• L•• (listed 2021-03-30, absent 2021-10-04)Oct 4, 2021 · Control person left · inference
- Amanda Meltzer (Chief Financial Officer) appeared on Schedule A of B•••••• P•••• C•••••• A•••••••• L••Oct 4, 2021 · Control person joined · fact
- B•••••• P•••• C•••••• A•••••••• L•• reported RAUM $1.3B, up 71% from $787.4M (2020-03-24 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- M Jocelyn Dalkin (Chief Compliance Officer) no longer on Schedule A of B•••••• P•••• C•••••• A•••••••• L•• (listed 2020-03-24, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- J Eric Dale (Chief Compliance Officer) appeared on Schedule A of B•••••• P•••• C•••••• A•••••••• L••Mar 30, 2021 · Control person joined · fact
- Lindsay Susan Koltay (Chief Financial Officer) appeared on Schedule A of B•••••• P•••• C•••••• A•••••••• L••Mar 30, 2021 · Control person joined · fact
- Lance Brian Sauerteig (Member) no longer on Schedule A of B•••••• P•••• C•••••• A•••••••• L•• (listed 2019-03-29, absent 2020-03-24)Mar 24, 2020 · Control person left · inference
- B•••••• P•••• C•••••• A•••••••• L•• reported RAUM $773.2M, up 33% from $579.8M (2018-08-24 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- B•••••• P•••• C•••••• A•••••••• L•• reported RAUM $579.8M, up 32% from $439.1M (2017-03-31 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- B•••••• P•••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jul 21, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B•••••• P•••• C•••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- B•••••• P•••• C•••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- B••••••P••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-652-8250reportedpublic record, Form ADV, Apr 22, 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
- Asset manager (funds and pooled vehicles)deriveda 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