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••• A•••••••
Legal name B••• R••••••••• I•••
Latest filing Mar 26, 2026
First filing on the tape Jun 3, 2018 · 11 filings
SEC status approved since Jul 13, 2018
RAUM
$95.7M
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
14
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$95.7M as of Mar 26, 2026
Mar 29, 2019$97.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 29, 20191 then
Employees (5.A)14 as of Mar 26, 2026
Mar 29, 201918 then
Private funds1 as of Mar 26, 2026
Mar 29, 20192 then
RAUM -13% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $95.7MderivedRAUM 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
- -13%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-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $95.7M, 1 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$95.7M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $95.7M for 1 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••• P•••••••• I•• L• | Private Equity Fund | $107M | 2 | Jun 3, 2018 |
| B••• P•••••••• I• L••• | Private Equity Fund | $137,698 | 17 | Jun 3, 2018 |
Owners and control persons
Schedule A and B, latest filing
- D••••• Z••••••• H••••• · Chief Compliance Officercontrolsince 04/2013 · owns less than 5%
- F•••••• M••••••• N••••• · President And Ownercontrolsince 05/1989 · owns 50% to 75%
- K•••••••• L•••• D••• · Executive Vice President And Ownercontrolsince 05/1989 · owns 10% to 25%
- M••••••• N•••••• A••••• · Chief Financial Officercontrolsince 04/2004 · owns less than 5%
- K•••••••• B••••• A••••• · Trusteecontrolsince 02/2••• · owns F of B•••• K••••••• 2••• I••••••••• T••••
- K•••••••• C••••• D••••• · Trusteecontrolsince 02/2••• · owns F of C•••• K••••••• 2••• I••••••••• T••••
Entity owners
- B•••• K••••••• 2••• I••••••••• T•••• · Ownerdirect · owns 10% to 25%
- C•••• K••••••• 2••• I••••••••• T•••• · Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- B••• P•••••••• M••••••••• I•• L••pooled vehicle sponsory
- B••• P•••••••• M••••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $110M to $95.7MMar 26, 2025 to Mar 26, 2026
- Employees · 16 to 14Mar 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $110M to $95.7MMar 26, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $110M to $95.7MMar 26, 2025 to Mar 26, 2026
- RAUM · $110M to $95.7MMar 26, 2025 to Mar 26, 2026
- Accounts · 2 to 1Mar 28, 2024 to Mar 26, 2025
- Pooled vehicle clients · 2 to 1Mar 28, 2024 to Mar 26, 2025
- Assets in custody · $107M to $110MMar 28, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 26, 2025
- Private funds · 2 to 1Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $107M to $110MMar 28, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $107M to $110MMar 28, 2024 to Mar 26, 2025
- RAUM · $107M to $110MMar 28, 2024 to Mar 26, 2025
- Advisory employees · 6 to 5Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $0 to $107MMar 30, 2023 to Mar 28, 2024
- Custody of client assets · false to trueMar 30, 2023 to Mar 28, 2024
- Employees · 17 to 16Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $141M to $107MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $141M to $107MMar 30, 2023 to Mar 28, 2024
- RAUM · $141M to $107MMar 30, 2023 to Mar 28, 2024
- Advisory employees · 9 to 6Mar 30, 2022 to Mar 30, 2023
- Assets in custody · $36.9M to $0Mar 30, 2022 to Mar 30, 2023
- Custody of client assets · true to falseMar 30, 2022 to Mar 30, 2023
- Employees · 20 to 17Mar 30, 2022 to Mar 30, 2023
- State-registered IARs · 1 to 0Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $146M to $141MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $146M to $141MMar 30, 2022 to Mar 30, 2023
- RAUM · $146M to $141MMar 30, 2022 to Mar 30, 2023
- Assets in custody · $58.0M to $36.9MMar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $97.2M to $146MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $97.2M to $146MMar 30, 2021 to Mar 30, 2022
- RAUM · $97.2M to $146MMar 30, 2021 to Mar 30, 2022
- Assets in custody · $52.9M to $58.0MMar 30, 2020 to Mar 30, 2021
- Employees · 19 to 20Mar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $108M to $97.2MMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $108M to $97.2MMar 30, 2020 to Mar 30, 2021
- RAUM · $108M to $97.2MMar 30, 2020 to Mar 30, 2021
- Assets in custody · $17.1M to $52.9MMar 29, 2019 to Mar 30, 2020
- Employees · 18 to 19Mar 29, 2019 to Mar 30, 2020
- Other offices · 1 to 0Mar 29, 2019 to Mar 30, 2020
Signals
1 dated events
- B••• R••••••••• I••• filed its initial SEC registration (Form ADV)Jun 3, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B••• A••••••• · Independent Sponsorsshared crd · capital_provider
- B••• A••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/B•••-R••••••••-INC-1989reportedpublic record, Form ADV, Sep 18, 2026
- Website
- basaresources.com/basa-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-559-4200reportedpublic 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