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•••••••• G•••• M••••••••• C•••••• I• L••
Latest filing Sep 4, 2026
First filing on the tape Jul 24, 2015 · 19 filings
SEC status approved since Aug 21, 2015
RAUM
$22.4M
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
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$22.4M as of Jun 24, 2026
Mar 18, 2016$64.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 24, 2026
Mar 18, 20160 then
Employees (5.A)3 as of Jun 24, 2026
Mar 18, 20162 then
Private funds: no history
RAUM -44% over the last fiscal year-17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $22.4MderivedRAUM 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
- $22.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -44%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$22.4M100%
- 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
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••• J•••• J•••••• · Partner And Investment Committee Membercontrolsince 07/2015 · owns less than 5%
- P•••••• A•••••• M•••• · Chief Compliance Officercontrolsince 07/2015 · owns less than 5%
- B••••• S•••••• G•••••• · Investment Committee Membersince 07/2015 · owns less than 5%
- M••••••• T•••••••• P•••••• · Investment Committee Membersince 07/2015 · owns less than 5%
- P••• G•••••• G••••• · Investment Committee Membersince 07/2015 · owns less than 5%
- S••••••• P•••• L•• · Chief Legal Officersince 07/2015 · owns less than 5%
Entity owners
- R••••• W• B•••• • C•• I••••••••• · Memberdirect · owns 75% or more
- B•••• F•••••••• C••••••••• · Shareholderindirect · owns 75% or more of R••••• W• B•••• • C•• I•••••••••
- B•••• F•••••••• G••••• I••• · Shareholderindirect · owns 75% or more of B•••• F•••••••• C•••••••••
Related persons
Schedule D 7.A
- B•••• C•••••• ••••••••• P••• L•••investment advisern
- B•••• C•••••• G••••• F••• M••••••••• I• L•investment adviserpooled vehicle sponsornRAUM $322M
- B•••• C•••••• G••••• F••• M••••••••• I• L••investment adviserpooled vehicle sponsornRAUM $357M
- B•••• C•••••• M••••••••• C••••••• L••investment adviserpooled vehicle sponsornRAUM $738M
- B•••• C•••••• P••••••• M••••••••• C•••••• V• L••investment adviserpooled vehicle sponsornRAUM $1.5M
- B•••• I•••••••• S•••••••• I•••real estaten
- B•••• I••••••••• A••••••• C•• L•••broker-dealern
- B•••• P•••••••• G•••• M••••••••• C•••••• I•• L••investment adviserpooled vehicle sponsornRAUM $81.7M
- B•••• P•••••••• G•••• M••••••••• C••••••• L••investment adviserpooled vehicle sponsornRAUM $83.7M
- B•••• P••••••••• L••investment companyn
- B•••• T•••• C••••••n
- B•••• V•••••• P••••••• G• V•• L••pooled vehicle sponsorn
- B•••• V•••••• P••••••• M••••••••• C•••••• I••• L••investment adviserpooled vehicle sponsornRAUM $1.3M
- B•••• V•••••• P••••••• M••••••••• C•••••• I•• L••investment adviserpooled vehicle sponsornRAUM $252M
- B•••• V•••••• P••••••• M••••••••• C•••••• V• L••investment adviserpooled vehicle sponsornRAUM $195M
- R••••• W• B•••• • C•• I•••••••••broker-dealerinvestment adviserbankpooled vehicle sponsorLP sponsorcustodianyRAUM $394B
Advisers that list B•••• P•••••••• G•••• M••••••••• C•••••• I• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL1 employees
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJun 24, 2026 to Sep 4, 2026
- Succession · false to unsetJun 24, 2026 to Sep 4, 2026
- Discretionary RAUM · $40.3M to $22.4MMar 31, 2025 to Mar 31, 2026
- RAUM · $40.3M to $22.4MMar 31, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $43.3M to $40.3MMar 27, 2024 to Mar 31, 2025
- RAUM · $43.3M to $40.3MMar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $39.1M to $43.3MOct 19, 2023 to Mar 27, 2024
- RAUM · $39.1M to $43.3MOct 19, 2023 to Mar 27, 2024
- Discretionary RAUM · $27.4M to $39.1MMar 29, 2022 to Mar 31, 2023
- RAUM · $27.4M to $39.1MMar 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $46.8M to $27.4MMar 31, 2021 to Mar 29, 2022
- RAUM · $46.8M to $27.4MMar 31, 2021 to Mar 29, 2022
- Advisory employees · 1 to 2Mar 23, 2020 to Mar 31, 2021
- State-registered IARs · 0 to 1Mar 23, 2020 to Mar 31, 2021
- Discretionary RAUM · $49.4M to $46.8MMar 23, 2020 to Mar 31, 2021
- RAUM · $49.4M to $46.8MMar 23, 2020 to Mar 31, 2021
- Related bank · false to trueMar 23, 2020 to Mar 31, 2021
- Employees · 2 to 3Apr 4, 2019 to Mar 23, 2020
- Discretionary RAUM · $48.0M to $49.4MApr 4, 2019 to Mar 23, 2020
- RAUM · $48.0M to $49.4MApr 4, 2019 to Mar 23, 2020
- BD registered reps · 0 to 1Jul 9, 2018 to Mar 26, 2019
- Discretionary RAUM · $56.6M to $48.0MJul 9, 2018 to Mar 26, 2019
- RAUM · $56.6M to $48.0MJul 9, 2018 to Mar 26, 2019
- Pooled vehicle clients · 1.0 to unsetMar 21, 2018 to Jul 9, 2018
- Pooled vehicle RAUM · 56617000.0 to unsetMar 21, 2018 to Jul 9, 2018
- Pooled vehicle clients · unset to 1.0Mar 14, 2017 to Mar 21, 2018
- Other offices · unset to 1.0Mar 14, 2017 to Mar 21, 2018
- Discretionary RAUM · $63.4M to $56.6MMar 14, 2017 to Mar 21, 2018
- Pooled vehicle RAUM · unset to 56617000.0Mar 14, 2017 to Mar 21, 2018
- RAUM · $63.4M to $56.6MMar 14, 2017 to Mar 21, 2018
- Discretionary RAUM · $64.7M to $63.4MMar 18, 2016 to Mar 14, 2017
- RAUM · $64.7M to $63.4MMar 18, 2016 to Mar 14, 2017
- Accounts · 0 to 1Aug 7, 2015 to Mar 18, 2016
- Discretionary RAUM · $0 to $64.7MAug 7, 2015 to Mar 18, 2016
- RAUM · $0 to $64.7MAug 7, 2015 to Mar 18, 2016
Signals
1 dated events
- B•••• P•••••••• G•••• M••••••••• C•••••• I• L•• filed its initial SEC registration (Form ADV)Jul 24, 2015 · 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
- Website
- rwbaird.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 414-765-3500reportedpublic record, Form ADV, Sep 4, 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