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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Former SEC-registered adviser
B•••• C•••••• G••••• F••• M••••••••• I• L•
Latest filing Mar 31, 2022
First filing on the tape May 19, 2016 · 11 filings
RAUM
$322M
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
16
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$299M gross assets
History
11 filings and snapshots on the tape
RAUM$322M as of Mar 31, 2022
Mar 14, 2017$283M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 31, 2022
Mar 14, 20177 then
Employees (5.A)16 as of Mar 31, 2022
Mar 14, 201719 then
Private funds3 as of Mar 31, 2022
Mar 14, 20172 then
RAUM -27% over the last fiscal year+1.0% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
- RAUM per advisor
- $64.4MderivedRAUM 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
- $80.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.2derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -27%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
- Pooled investment vehicles$299M93%
- Investment companies$23.1M7.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• A•••••• M•••• · Chief Compliance Officercontrolsince 01/2016 · owns less than 5%
- B••••• S•••••• G•••••• · Investment Committee Membersince 01/2016 · owns less than 5%
- P••• G•••••• G••••• · Investment Committee Membersince 01/2016 · owns less than 5%
- S••••••• P•••• L•• · Chief Legal Officersince 01/2016 · owns less than 5%
Entity owners
- B••• I• ••••••• P••••••• L•••••• · G•••••• Partnerdirect · owns less than 5%
- R••••• W• B•••• • C•• I••••••••• · L•••••• Partnerdirect · 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•••••••••
- R••••• W• B•••• • C•• I••••••••• · Shareholderindirect · owns 75% or more of B••• I• ••••••• P••••••• L••••••
Related persons
Schedule D 7.A
- B•••• C•••••• G••••• F••• M••••••••• I• L••investment adviserpooled vehicle sponsoryRAUM $357M
- B•••• C•••••• P••••••• E••••• L••••••investment adviserpooled vehicle sponsorn
- 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 $22.4M
- B•••• P•••••••• G•••• M••••••••• C•••••• I•• L••investment adviserpooled vehicle sponsornRAUM $81.7M
- B•••• P••••••••• L••investment companyn
- B•••• V•••••• P••••••• M••••••••• C•••••• I• L•••••investment adviserpooled vehicle sponsornRAUM $2.0M
- 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•••• C•••••• G••••• F••• M••••••••• I• L• as a related person
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL1 employees
What changed
consecutive filings, newest first
- Employees · 15 to 16Jan 27, 2022 to Mar 31, 2022
- Discretionary RAUM · $443M to $322MJan 27, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $411M to $299MJan 27, 2022 to Mar 31, 2022
- RAUM · $443M to $322MJan 27, 2022 to Mar 31, 2022
- Succession · true to falseJan 27, 2022 to Mar 31, 2022
- Succession · false to trueMar 31, 2021 to Jan 27, 2022
- Employees · 18 to 15Mar 23, 2020 to Mar 31, 2021
- Discretionary RAUM · $312M to $443MMar 23, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $290M to $411MMar 23, 2020 to Mar 31, 2021
- RAUM · $312M to $443MMar 23, 2020 to Mar 31, 2021
- Related bank · false to trueMar 23, 2020 to Mar 31, 2021
- BD registered reps · 6 to 5Mar 25, 2019 to Mar 23, 2020
- Employees · 17 to 18Mar 25, 2019 to Mar 23, 2020
- State-registered IARs · 6 to 5Mar 25, 2019 to Mar 23, 2020
- Discretionary RAUM · $312M to $312MMar 25, 2019 to Mar 23, 2020
- Pooled vehicle RAUM · $290M to $290MMar 25, 2019 to Mar 23, 2020
- RAUM · $312M to $312MMar 25, 2019 to Mar 23, 2020
- BD registered reps · 5 to 6Jul 9, 2018 to Mar 25, 2019
- Employees · 16 to 17Jul 9, 2018 to Mar 25, 2019
- State-registered IARs · 5 to 6Jul 9, 2018 to Mar 25, 2019
- Discretionary RAUM · $299M to $312MJul 9, 2018 to Mar 25, 2019
- Pooled vehicle RAUM · $277M to $290MJul 9, 2018 to Mar 25, 2019
- RAUM · $299M to $312MJul 9, 2018 to Mar 25, 2019
- Accounts · 3 to 4Mar 14, 2017 to Mar 21, 2018
- Advisory employees · 3 to 1Mar 14, 2017 to Mar 21, 2018
- BD registered reps · 7 to 5Mar 14, 2017 to Mar 21, 2018
- Pooled vehicle clients · unset to 3.0Mar 14, 2017 to Mar 21, 2018
- Employees · 19 to 16Mar 14, 2017 to Mar 21, 2018
- State-registered IARs · 7 to 5Mar 14, 2017 to Mar 21, 2018
- Other offices · unset to 1.0Mar 14, 2017 to Mar 21, 2018
- Private funds · 2 to 3Mar 14, 2017 to Mar 21, 2018
- Discretionary RAUM · $283M to $299MMar 14, 2017 to Mar 21, 2018
- Pooled vehicle RAUM · unset to 277071000.0Mar 14, 2017 to Mar 21, 2018
- RAUM · $283M to $299MMar 14, 2017 to Mar 21, 2018
- Accounts · 0 to 3Jun 2, 2016 to Mar 14, 2017
- BD registered reps · 8 to 7Jun 2, 2016 to Mar 14, 2017
- Employees · 18 to 19Jun 2, 2016 to Mar 14, 2017
- State-registered IARs · 6 to 7Jun 2, 2016 to Mar 14, 2017
- Private funds · unset to 2Jun 2, 2016 to Mar 14, 2017
- Discretionary RAUM · $0 to $283MJun 2, 2016 to Mar 14, 2017
Signals
4 dated events
- B•••• C•••••• G••••• F••• M••••••••• I• L• reported RAUM $322.0M, down 27% from $442.7M (2022-01-27 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- B•••• C•••••• G••••• F••• M••••••••• I• L• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 27, 2022 · Succession (Item 4) · fact
- B•••• C•••••• G••••• F••• M••••••••• I• L• reported RAUM $442.7M, up 42% from $312.0M (2020-03-23 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- B•••• C•••••• G••••• F••• M••••••••• I• L• filed its initial SEC registration (Form ADV)May 19, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B•••• C•••••• G••••• F••• M••••••••• I• L• · Private Equityshared crd · organization
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