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••••• O•• C•••••• P•••••••• L•
Latest filing Mar 26, 2026
First filing on the tape Jul 19, 2016 · 18 filings
SEC status approved since Jul 22, 2016
RAUM
$4.5B
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
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$4.5B as of Mar 26, 2026
Mar 30, 2017$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 30, 20170 then
Employees (5.A)9 as of Mar 26, 2026
Mar 30, 20179 then
Private funds9 as of Mar 26, 2026
Mar 30, 20172 then
RAUM -7.4% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $495MderivedRAUM 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
- -7.4%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
- yesreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- 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$4.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••• O•• E••••••• C••• V••••••• L• | Real Estate Fund | $5.4B | 2 | Mar 27, 2018 |
| B••••• O•• C••• V••••••• L• | Real Estate Fund | $435M | 2 | Sep 26, 2017 |
| B••••• O•• M••••••••• V•••••• I•• L• | Real Estate Fund | $403M | 2 | Mar 23, 2020 |
| B••••• O•• I••••••••• F•••• L• | Real Estate Fund | $274M | 2 | Mar 25, 2019 |
| B••••• O•• M••••••••• E••••••• C••• V••••••• L• | Real Estate Fund | $260M | 2 | Mar 25, 2019 |
| B••••• O•• I••••••••• D••••••••• V•••••• I•• L• | Real Estate Fund | $54.2M | 2 | Mar 23, 2020 |
| B••••• O•• O•••••••• C•••••• F•••• L• | Real Estate Fund | $40.5M | 2 | Mar 25, 2019 |
| A•••• S••••• H•••••••• L••• | Real Estate Fund | $27.4M | 2 | Oct 7, 2016 |
| B••••• O•• I••••••••• D••••••••• V••••••• L• | Real Estate Fund | $5.2M | 2 | Mar 30, 2017 |
| B••••• O•• M••••••••• V••••••• L• | Real Estate Fund | $1.5M | 2 | Sep 26, 2017 |
| B••••• O•• B••• L• | Real Estate Fund | $691,437 | 2 | Mar 23, 2020 |
| B••••• O•• I••••••••• A••••••••• V••••••• L•no longer reported | Real Estate Fund | $233,460 | 2 | Mar 23, 2020 |
| B••••• O•• B•• U•• L• | Real Estate Fund | $153,122 | 2 | Mar 29, 2022 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• P•••••••• L• · Chief Executive Officer And Presidentcontrolsince 04/2019 · owns less than 5%
- M••••• A••••• F••••••••• · Executive Vice Presidentcontrolsince 04/2019 · owns less than 5%
- N••••••• C••••• R••• · Executive Vice Presidentcontrolsince 04/2019 · owns less than 5%
- G•••••• P•••••••• L• · Membercontrolsince 05/2016 · owns 50% to 75% of B••••• O•• C•••••• G•• L••
- G•••••• P•••••••• L• · Membercontrolsince 07/2019 · owns 50% to 75% of B••• L•••• L••
- M••••• A••••• F••••••••• · Membercontrolsince 07/2017 · owns 25% to 50% of B••• L•••• L••
- M••••• A••••• F••••••••• · Membercontrolsince 07/2019 · owns 25% to 50% of B••••• O•• C•••••• G•• L••
- N••••••• C••••• R••• · Membercontrolsince 07/2019 · owns 25% to 50% of B••••• O•• C•••••• G•• L••
- N••••••• C••••• R••• · Membercontrolsince 07/2017 · owns 25% to 50% of B••• L•••• L••
- M••••••••• M••• · Chief Financial Officersince 05/2016 · owns less than 5%
- T•••••••• D••• S•••• · General Counsel And Chief Compliance Officersince 05/2016 · owns less than 5%
Entity owners
- B••••• O•• C•••••• G•• L•• · General Partnerdirect · owns less than 5%
- B••• L•••• L•• · L•••••• Partnerdirect · owns 50% to 75%
- A••••• I••••••••• M••••••••• P•• L•••••• · Trusteeindirect · owns F of A••••• T••••
- A••••• T•••• · Memberindirect · owns 75% or more of N••••••• L••••• M••••• L••
- P•••••• C•••••• G•••• L•••••• · Unitholderindirect · owns 50% to 75% of A••••• T••••
- N••••••• L••••• M••••• L•• · L•••••• Partnerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- B••••• O•• A•• G•• L••pooled vehicle sponsorn
- B••••• O•• B•• G•• L••pooled vehicle sponsorn
- B••••• O•• B•• U• G•• L••pooled vehicle sponsorn
- B••••• O•• C•• G•• L••pooled vehicle sponsorn
- B••••• O•• E•• G•• L••pooled vehicle sponsorn
- B••••• O•• I•• G•• L••pooled vehicle sponsorn
- B••••• O•• I•• I• G•• L••pooled vehicle sponsorn
- B••••• O•• I• G•• L••pooled vehicle sponsorn
- B••••• O•• M••• G•• L••pooled vehicle sponsorn
- B••••• O•• M•• I• G•• L••pooled vehicle sponsorn
- B••••• O•• O•• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 10 to 9Mar 27, 2025 to Mar 26, 2026
- Advisory employees · 8 to 6Mar 27, 2025 to Mar 26, 2026
- Pooled vehicle clients · 10 to 9Mar 27, 2025 to Mar 26, 2026
- Employees · 11 to 9Mar 27, 2025 to Mar 26, 2026
- Private funds · 10 to 9Mar 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $4.8B to $4.5BMar 27, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $4.8B to $4.5BMar 27, 2025 to Mar 26, 2026
- RAUM · $4.8B to $4.5BMar 27, 2025 to Mar 26, 2026
- Accounts · 11 to 10Jan 13, 2025 to Mar 27, 2025
- Advisory employees · 9 to 8Jan 13, 2025 to Mar 27, 2025
- Pooled vehicle clients · 11 to 10Jan 13, 2025 to Mar 27, 2025
- Employees · 12 to 11Jan 13, 2025 to Mar 27, 2025
- Financial planning clients · unset to Jan 13, 2025 to Mar 27, 2025
- Private funds · 11 to 10Jan 13, 2025 to Mar 27, 2025
- Discretionary RAUM · $6.9B to $4.8BJan 13, 2025 to Mar 27, 2025
- Pooled vehicle RAUM · $6.9B to $4.8BJan 13, 2025 to Mar 27, 2025
- RAUM · $6.9B to $4.8BJan 13, 2025 to Mar 27, 2025
- Accounts · 12 to 11Mar 27, 2023 to Mar 28, 2024
- Pooled vehicle clients · 12 to 11Mar 27, 2023 to Mar 28, 2024
- Employees · 13 to 12Mar 27, 2023 to Mar 28, 2024
- Private funds · 12 to 11Mar 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $7.2B to $6.9BMar 27, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $7.2B to $6.9BMar 27, 2023 to Mar 28, 2024
- RAUM · $7.2B to $6.9BMar 27, 2023 to Mar 28, 2024
- Advisory employees · 10 to 9Mar 29, 2022 to Mar 27, 2023
- Employees · 14 to 13Mar 29, 2022 to Mar 27, 2023
- Discretionary RAUM · $6.0B to $7.2BMar 29, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $6.0B to $7.2BMar 29, 2022 to Mar 27, 2023
- RAUM · $6.0B to $7.2BMar 29, 2022 to Mar 27, 2023
- Advisory employees · 9 to 10Jan 10, 2022 to Mar 29, 2022
- Employees · 12 to 14Jan 10, 2022 to Mar 29, 2022
- Discretionary RAUM · $4.2B to $6.0BJan 10, 2022 to Mar 29, 2022
- Pooled vehicle RAUM · $4.2B to $6.0BJan 10, 2022 to Mar 29, 2022
- RAUM · $4.2B to $6.0BJan 10, 2022 to Mar 29, 2022
- Succession · true to falseJan 10, 2022 to Mar 29, 2022
- Succession · false to trueMar 25, 2021 to Jan 10, 2022
- Advisory employees · 10 to 9Mar 23, 2020 to Mar 25, 2021
- Assets in custody · unset to 0.0Mar 23, 2020 to Mar 25, 2021
- Custody of client assets · false to trueMar 23, 2020 to Mar 25, 2021
- Employees · 13 to 12Mar 23, 2020 to Mar 25, 2021
Signals
7 dated events
- B••••• O•• C•••••• P•••••••• L• reported RAUM $4.8B, down 30% from $6.9B (2025-01-13 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- B••••• O•• C•••••• P•••••••• L• reported RAUM $6.0B, up 43% from $4.2B (2022-01-10 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- B••••• O•• C•••••• P•••••••• L• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 10, 2022 · Succession (Item 4) · fact
- B••••• O•• C•••••• P•••••••• L• reported RAUM $4.9B, up 60% from $3.1B (2019-07-16 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
- D. Geoffrey Osborn (President) no longer on Schedule A of B••••• O•• C•••••• P•••••••• L• (listed 2019-03-25, absent 2019-07-16)Jul 16, 2019 · Control person left · inference
- B••••• O•• C•••••• P•••••••• L• reported RAUM $3.1B, up 125% from $1.4B (2018-03-27 to 2019-03-25)Mar 25, 2019 · RAUM change · derived
- B••••• O•• C•••••• P•••••••• L• filed its initial SEC registration (Form ADV)Jul 19, 2016 · 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
- banneroak.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (214) 466-8860reportedpublic record, Form ADV, Mar 26, 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
Across the graphs
B••••• O•• C•••••• P•••••••• 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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