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••• S••••••••• I•••
Latest filing Jul 29, 2026
First filing on the tape Feb 15, 2018 · 113 filings
SEC status approved since Mar 29, 2018
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
317
317 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
113 filings and snapshots on the tape
RAUM$0 as of Jul 29, 2026
Jan 31, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 29, 2026
Mar 25, 20190 then
Employees (5.A)317 as of Jul 29, 2026
Mar 25, 2019293 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 29, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- publications, otherreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- buys or sells securities as principal to or from clients (8.A.2)
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
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=317.0derived
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
- W••••• B••••• W••••••••• to C••••• P••••••• L••May 2, 2025 · Other
Joined, latest
- R••• P•••••• A•••• from M••••• S••••••Nov 13, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 25, 2019 · Newport Beach, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• L•••• P• · Director, State D••••••••• Principalcontrolsince 02/2022 · owns less than 5%
- G••••••• S••••• R•••• · Directorcontrolsince 02/2022 · owns less than 5%
- M••••••• M•••••• C• · Directorcontrolsince 05/2024 · owns less than 5%
- Z•••••• S•••••• J• J• · Director & Chief Executive Officer, State D••••••••• Principalcontrolsince 02/2022 · owns less than 5%
- A•••• S••• F••••• · Chief Financial Officersince 09/2019 · owns less than 5%
- B•••••• K•••••• P• · Chief Compliance Officer / Broker Dealersince 08/2022 · owns less than 5%
- B••••• C••••• R•••• · Chief Compliance Officer / Registered Investment Advisersince 09/2022 · owns less than 5%
- G•••••••• J••••• A•••••• J• · Chief Operations Officer & Finopsince 09/2015 · owns less than 5%
- R••• G••• A•••••••• · Chief Legal Officersince 08/2019 · owns less than 5%
Entity owners
- N• H••••••• C••••••••• · Sole Stockholderdirect · owns 75% or more
- B••• O• A•••••• C••••••••• · Sole Shareholderindirect · owns 75% or more of N• H••••••• C••••••••• · public reporting company
Related persons
Schedule D 7.A
- B••• O• A•••••• E••••• D••••••••• A••••••• C••••••• F••••••••broker-dealern
- B••• O• A•••••• E••••• D••••••••• A••••••• C••••••• M•••• B•••••broker-dealern
- B••• O• A•••••• E••••• D••••••••• A••••••• C••••••• S••••••• E• E•••••broker-dealern
- B••• O• A••••••• N••••••• A•••••••••broker-dealerreal estaten
- B••• S••••••••• E••••• S•broker-dealern
- B••• S••••••••• I•••• L••••••broker-dealertrust companyn
- B••• S••••••••• J•••• C••• L•••broker-dealertrust companyreal estaten
- M•••••• L•••• •••• P••••••• L••••••broker-dealerinvestment advisern
- M•••••• L•••• A•••••••• S•••broker-dealertrust companyn
- M•••••• L•••• C••••• I•••broker-dealern
- M•••••• L•••• E••••••• ••••••••• L••••••broker-dealern
- M•••••• L•••• I•••••••••broker-dealern
- M•••••• L•••• I••••••••• •••• B••••••broker-dealern
- M•••••• L•••• I••••••••• L•••••••• B•••••broker-dealertrust companyn
- M•••••• L•••• I••••• L••••••broker-dealern
- M•••••• L•••• M•••••• S•••••••• P•••••••broker-dealern
- M•••••• L•••• M•••••• S••• D• C•••• C••• D• B••••broker-dealern
- M•••••• L•••• S••• C•••••••• D• T•••••• E• V•••••• M•••••••••broker-dealern
- M•••••• L•••• S••••••••• ••••••• L•••broker-dealertrust companyn
- M•••••• L•••• S•••• A••••• P••••••••• L••••••broker-dealern
- M•••••• L••••• K•••••• O• S•••• A••••• C••••••broker-dealern
Advisers that list B••• S••••••••• I••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA10 employees
- Houston, TX4 employees
- Stamford, CT2 employees
- Atlanta, GA1 employees
- Washington, DC1 employees
What changed
consecutive filings, newest first
- Other offices · 5 to 6Jun 26, 2026 to Jul 29, 2026
- Related bank · true to falseFeb 5, 2026 to Mar 20, 2026
- Financial planning clients · 0 to 0Aug 1, 2025 to Nov 12, 2025
- Advisory employees · 319 to 317Jun 13, 2025 to Jul 18, 2025
- BD registered reps · 319 to 317Jun 13, 2025 to Jul 18, 2025
- Employees · 319 to 317Jun 13, 2025 to Jul 18, 2025
- Other offices · 6 to 5Jun 13, 2025 to Jul 18, 2025
- Advisory employees · 314 to 319Feb 20, 2025 to May 1, 2025
- BD registered reps · 314 to 319Feb 20, 2025 to May 1, 2025
- Employees · 314 to 319Feb 20, 2025 to May 1, 2025
- Other offices · 5 to 6Jan 31, 2025 to Feb 20, 2025
- Accounts · unset to 0.0Nov 4, 2024 to Jan 31, 2025
- Discretionary RAUM · unset to 0.0Nov 4, 2024 to Jan 31, 2025
- Non-discretionary RAUM · unset to 0.0Nov 4, 2024 to Jan 31, 2025
- RAUM · unset to 0.0Nov 4, 2024 to Jan 31, 2025
- Other offices · 4 to 5May 23, 2024 to May 29, 2024
- Advisory employees · 348 to 314Feb 21, 2024 to Mar 22, 2024
- BD registered reps · 348 to 314Feb 21, 2024 to Mar 22, 2024
- Employees · 348 to 314Feb 21, 2024 to Mar 22, 2024
- Advisory employees · 242 to 348Jan 18, 2023 to Mar 20, 2023
- BD registered reps · 242 to 348Jan 18, 2023 to Mar 20, 2023
- Employees · 242 to 348Jan 18, 2023 to Mar 20, 2023
- Employees · 313 to 242Feb 3, 2022 to Mar 21, 2022
- Advisory employees · 313 to 242Feb 3, 2022 to Mar 21, 2022
- BD registered reps · 313 to 242Feb 3, 2022 to Mar 21, 2022
- Advisory employees · 300 to 313Jan 13, 2021 to Mar 22, 2021
- BD registered reps · 300 to 313Jan 13, 2021 to Mar 22, 2021
- Employees · 300 to 313Jan 13, 2021 to Mar 22, 2021
- Other offices · 3 to 4Jan 13, 2021 to Mar 22, 2021
- Advisory employees · 293 to 300Feb 11, 2020 to Mar 23, 2020
- BD registered reps · 293 to 300Feb 11, 2020 to Mar 23, 2020
- Employees · 293 to 300Feb 11, 2020 to Mar 23, 2020
- Business name · B••••• S••••••••• I••• to B••• S••••••••• I•••Jan 18, 2019 to Mar 25, 2019
- Legal name · B••••• S••••••••• I••• to B••• S••••••••• I•••Jan 18, 2019 to Mar 25, 2019
Signals
13 dated events
- W••••• B••••• W••••••••• left B••• S••••••••• I••• for C••••• P••••••• L•• (registered 2025-10-29)May 2, 2025 · Advisor changed firm · fact
- Matthew C Mcqueen (Director) appeared on Schedule A of B••• S••••••••• I•••May 29, 2024 · Control person joined · fact
- Andrei Grischa Magasiner (Director) no longer on Schedule A of B••• S••••••••• I••• (listed 2024-01-16, absent 2024-02-12)Feb 12, 2024 · Control person left · inference
- Thomas Kell Montag (Director & Chief Executive Officer) no longer on Schedule A of B••• S••••••••• I••• (listed 2021-11-26, absent 2022-02-03)Feb 3, 2022 · Control person left · inference
- Andrea Bradley Smith (Outside Director) no longer on Schedule A of B••• S••••••••• I••• (listed 2021-11-26, absent 2022-02-03)Feb 3, 2022 · Control person left · inference
- James P Demare (Director) no longer on Schedule A of B••• S••••••••• I••• (listed 2021-11-26, absent 2022-02-03)Feb 3, 2022 · Control person left · inference
- Laura P Chepucavage (Director) appeared on Schedule A of B••• S••••••••• I•••Feb 3, 2022 · Control person joined · fact
- Sarang Rajan Gadkari (Director) appeared on Schedule A of B••• S••••••••• I•••Feb 3, 2022 · Control person joined · fact
- Andrei Grischa Magasiner (Director) appeared on Schedule A of B••• S••••••••• I•••Feb 3, 2022 · Control person joined · fact
- Soofian J Jalil Zuberi (Director) appeared on Schedule A of B••• S••••••••• I•••Dec 15, 2020 · Control person joined · fact
- James P Demare (Director) appeared on Schedule A of B••• S••••••••• I•••Dec 15, 2020 · Control person joined · fact
- Fabrizio Gallo (Director) no longer on Schedule A of B••• S••••••••• I••• (listed 2020-11-19, absent 2020-12-15)Dec 15, 2020 · Control person left · inference
- B••••• S••••••••• I••• filed its initial SEC registration (Form ADV)Feb 15, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B••• S••••••••• I••• · Private Equityshared crd · intermediary
- B••• S••••••••• I••• · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-743-2734reportedpublic record, Form ADV, Jul 29, 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
- No RAUM reportedderiveda 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