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••• A•••••••• L••
Latest filing Mar 25, 2024
First filing on the tape Aug 27, 2018 · 14 filings
RAUM
$348M
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
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$348M gross assets
History
14 filings and snapshots on the tape
RAUM$348M as of Mar 25, 2024
Jan 16, 2019$259M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2024
Jan 16, 20190 then
Employees (5.A)7 as of Mar 25, 2024
Jan 16, 201911 then
Private funds3 as of Mar 25, 2024
Jan 16, 20193 then
RAUM -19% over the last fiscal year+22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2024; 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
- $116MderivedRAUM 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
- -19%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, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $348M, 3 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)
- 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$348M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $348M for 3 clientsreported
- Compensation
- % of AUM, fixed, hourly, 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••• I••••••••• L• | Private Equity Fund | $169M | 15 | Jan 16, 2019 |
| S••••• C••••••• L• | Private Equity Fund | $135M | 11 | Jan 16, 2019 |
| B••• H•••••••• L• | Private Equity Fund | $44.4M | 9 | Jan 16, 2019 |
Owners and control persons
Schedule A and B, latest filing
- D•••••••• R•••• W••••• · Vice Presidentcontrolsince 12/2023 · owns less than 5%
- S••••••• J••• · Presidentcontrolsince 11/2017 · owns less than 5%
- W••••••• J•••••••• K••• · Chief Compliance Officercontrolsince 12/2023 · owns less than 5%
- S••••••• J••• · Presidentcontrolsince 06/1997 · owns 75% or more of S•••••• • S•••••• P••••••••• I•••
Entity owners
- S•••••• • S•••••• P••••••••• I••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- B••• G•• L••investment adviserpooled vehicle sponsorn
- S••••• C•••••• G•• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 6 to 5Feb 12, 2024 to Mar 25, 2024
- Assets in custody · $432M to $348MFeb 12, 2024 to Mar 25, 2024
- Employees · 9 to 7Feb 12, 2024 to Mar 25, 2024
- Discretionary RAUM · $432M to $348MFeb 12, 2024 to Mar 25, 2024
- Pooled vehicle RAUM · $432M to $348MFeb 12, 2024 to Mar 25, 2024
- RAUM · $432M to $348MFeb 12, 2024 to Mar 25, 2024
- Assets in custody · $248M to $432MMar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $248M to $432MMar 29, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $248M to $432MMar 29, 2022 to Mar 29, 2023
- RAUM · $248M to $432MMar 29, 2022 to Mar 29, 2023
- Advisory employees · 7 to 6Oct 29, 2021 to Mar 29, 2022
- Assets in custody · $193M to $248MOct 29, 2021 to Mar 29, 2022
- Employees · 10 to 9Oct 29, 2021 to Mar 29, 2022
- Discretionary RAUM · $193M to $248MOct 29, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $193M to $248MOct 29, 2021 to Mar 29, 2022
- RAUM · $193M to $248MOct 29, 2021 to Mar 29, 2022
- HQ city · DALLAS to ADDISONMar 26, 2021 to Oct 29, 2021
- Other offices · 1 to 0Mar 26, 2021 to Oct 29, 2021
- Advisory employees · 8 to 7May 26, 2020 to Mar 26, 2021
- Assets in custody · $201M to $193MMay 26, 2020 to Mar 26, 2021
- Employees · 11 to 10May 26, 2020 to Mar 26, 2021
- Discretionary RAUM · $201M to $193MMay 26, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $201M to $193MMay 26, 2020 to Mar 26, 2021
- RAUM · $201M to $193MMay 26, 2020 to Mar 26, 2021
- Assets in custody · $259M to $201MSep 17, 2019 to Mar 25, 2020
- Discretionary RAUM · $259M to $201MSep 17, 2019 to Mar 25, 2020
- Pooled vehicle RAUM · $259M to $201MSep 17, 2019 to Mar 25, 2020
- RAUM · $259M to $201MSep 17, 2019 to Mar 25, 2020
- Accounts · unset to 3.0Aug 27, 2018 to Jan 16, 2019
- Pooled vehicle clients · unset to 3.0Aug 27, 2018 to Jan 16, 2019
- Assets in custody · unset to 259253000.0Aug 27, 2018 to Jan 16, 2019
- Custody of client assets · false to trueAug 27, 2018 to Jan 16, 2019
- Employees · 10 to 11Aug 27, 2018 to Jan 16, 2019
- Private funds · unset to 3Aug 27, 2018 to Jan 16, 2019
- Discretionary RAUM · unset to 259253000.0Aug 27, 2018 to Jan 16, 2019
- Non-discretionary RAUM · unset to 0.0Aug 27, 2018 to Jan 16, 2019
- Pooled vehicle RAUM · unset to 259253000.0Aug 27, 2018 to Jan 16, 2019
- RAUM · unset to 259253000.0Aug 27, 2018 to Jan 16, 2019
- Related adviser · false to trueAug 27, 2018 to Jan 16, 2019
Signals
13 dated events
- K••• J••••••• W•••••• (Chief Compliance Officer) appeared on Schedule A of B••• A•••••••• L••Feb 12, 2024 · Control person joined · fact
- Walker Ryan Davidson (Vice President) appeared on Schedule A of B••• A•••••••• L••Feb 12, 2024 · Control person joined · fact
- Bub K•••• S•••• (General Counsel, Chief Compliance Officer And Secretary) no longer on Schedule A of B••• A•••••••• L•• (listed 2023-03-29, absent 2024-02-12)Feb 12, 2024 · Control person left · inference
- Michael Kevin Palma (Chief Operating Officer) no longer on Schedule A of B••• A•••••••• L•• (listed 2023-03-29, absent 2024-02-12)Feb 12, 2024 · Control person left · inference
- B••• A•••••••• L•• reported RAUM $431.6M, up 74% from $248.3M (2022-03-29 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- S•••• S•••••• (Vice-President) no longer on Schedule A of B••• A•••••••• L•• (listed 2020-05-26, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Christopher J. Floyd (Chief Operations Officer) no longer on Schedule A of B••• A•••••••• L•• (listed 2020-05-26, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Julian Joseph Scavetti (Chief Compliance Officer) no longer on Schedule A of B••• A•••••••• L•• (listed 2020-03-25, absent 2020-05-20)May 20, 2020 · Control person left · inference
- Joseph Mark Deangelis (Chief Compliance Officer) no longer on Schedule A of B••• A•••••••• L•• (listed 2019-01-16, absent 2019-03-14)Mar 14, 2019 · Control person left · inference
- Julian Joseph Scavetti (Chief Compliance Officer) appeared on Schedule A of B••• A•••••••• L••Mar 14, 2019 · Control person joined · fact
- Michael Kevin Palma (Chief Financial Officer) appeared on Schedule A of B••• A•••••••• L••Jan 16, 2019 · Control person joined · fact
- Christopher J. Floyd (Chief Operations Officer) appeared on Schedule A of B••• A•••••••• L••Jan 16, 2019 · Control person joined · fact
- B••• A•••••••• L•• filed its initial SEC registration (Form ADV)Aug 27, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B••• A•••••••• 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