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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
B•••• V•••••• P••••••• M••••••••• C•••••• V• L••
Latest filing Sep 4, 2026
First filing on the tape Oct 23, 2018 · 12 filings
SEC status approved since Nov 23, 2018
RAUM
$195M
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
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$195M as of Jun 24, 2026
Mar 25, 2019$76.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Jun 24, 2026
Mar 25, 20196 then
Employees (5.A)14 as of Jun 24, 2026
Mar 25, 201911 then
Private funds2 as of Jun 24, 2026
Mar 25, 20192 then
RAUM -14% over the last fiscal year-7.6% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
- RAUM per advisor
- $65.1MderivedRAUM 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
- $65.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%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$179M92%
- Investment companies$16.0M8.2%
- 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
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=7.0derived
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•••• V•••••• P••••••• V• L•••••• P••••••••• | Private Equity Fund | $198M | 140 | Mar 25, 2019 |
| B•• V• S•••••• A••••••••• F••• L•••••• P••••••••• | Private Equity Fund | $20.7M | 30 | Mar 25, 2019 |
Owners and control persons
Schedule A and B, latest filing
- P•••••• A•••••• M•••• · Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- P••• G•••••• G••••• · Manager, Investment Committee Membercontrolsince 05/2018 · owns less than 5%
- L••••••••• J••• A• · Investment Committee Membersince 05/2018 · owns less than 5%
- P•••••• J••••• E••••• · P••••••••, Investment Committee Membersince 05/2018 · owns less than 5%
- R••••••• B•••••••• P•••••• · P••••••••, Investment Committee Membersince 05/2018 · owns less than 5%
- S••••••• P•••• L•• · Chief Legal Officersince 05/2018 · owns less than 5%
Entity owners
- R••••• W• B•••• • C•• I••••••••• · Memberdirect · 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•••••••••
Related persons
Schedule D 7.A
- B•••• C•••••• ••••••••• P••• L••investment advisern
- B•••• C•••••• G••••• F••• M••••••••• I• L•investment adviserpooled vehicle sponsornRAUM $322M
- B•••• C•••••• G••••• F••• M••••••••• I• L••investment adviserpooled vehicle sponsornRAUM $357M
- B•••• C•••••• M••••••••• C••••••• L••investment adviserpooled vehicle sponsornRAUM $738M
- 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•••••••• G•••• M••••••••• C••••••• L••investment adviserpooled vehicle sponsornRAUM $83.7M
- B•••• P••••••••• L••investment companyn
- B•••• T•••• C••••••n
- B•••• V•••••• P••••••• G• V•• L••pooled vehicle sponsorn
- 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
- R••••• W• B•••• • C•• I•••••••••broker-dealerinvestment adviserbankpooled vehicle sponsorLP sponsorcustodianyRAUM $394B
Advisers that list B•••• V•••••• P••••••• M••••••••• C•••••• V• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL3 employees
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJun 24, 2026 to Sep 4, 2026
- Private funds · 2 to unsetJun 24, 2026 to Sep 4, 2026
- Succession · false to unsetJun 24, 2026 to Sep 4, 2026
- State-registered IARs · 4 to 3Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $227M to $195MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $208M to $179MMar 31, 2025 to Mar 31, 2026
- RAUM · $227M to $195MMar 31, 2025 to Mar 31, 2026
- Advisory employees · 3 to 2Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 8 to 7Mar 31, 2025 to Mar 31, 2026
- Employees · 16 to 14Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 6 to 8Mar 27, 2024 to Mar 31, 2025
- Employees · 10 to 16Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $238M to $227MMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $219M to $208MMar 27, 2024 to Mar 31, 2025
- RAUM · $238M to $227MMar 27, 2024 to Mar 31, 2025
- State-registered IARs · 5 to 4Oct 19, 2023 to Mar 27, 2024
- Discretionary RAUM · $248M to $238MOct 19, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $227M to $219MOct 19, 2023 to Mar 27, 2024
- RAUM · $248M to $238MOct 19, 2023 to Mar 27, 2024
- Advisory employees · 5 to 3Mar 29, 2022 to Mar 31, 2023
- BD registered reps · 7 to 6Mar 29, 2022 to Mar 31, 2023
- Employees · 9 to 10Mar 29, 2022 to Mar 31, 2023
- State-registered IARs · 6 to 5Mar 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $272M to $248MMar 29, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $250M to $227MMar 29, 2022 to Mar 31, 2023
- RAUM · $272M to $248MMar 29, 2022 to Mar 31, 2023
- Employees · 8 to 9Mar 31, 2021 to Mar 29, 2022
- Discretionary RAUM · $228M to $272MMar 31, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $210M to $250MMar 31, 2021 to Mar 29, 2022
- RAUM · $228M to $272MMar 31, 2021 to Mar 29, 2022
- Advisory employees · 6 to 5Mar 23, 2020 to Mar 31, 2021
- BD registered reps · 8 to 7Mar 23, 2020 to Mar 31, 2021
- Employees · 11 to 8Mar 23, 2020 to Mar 31, 2021
- State-registered IARs · 7 to 6Mar 23, 2020 to Mar 31, 2021
- Discretionary RAUM · $160M to $228MMar 23, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $145M to $210MMar 23, 2020 to Mar 31, 2021
- RAUM · $160M to $228MMar 23, 2020 to Mar 31, 2021
- Related bank · false to trueMar 23, 2020 to Mar 31, 2021
- Advisory employees · 5 to 6Mar 25, 2019 to Mar 23, 2020
Signals
1 dated events
- B•••• V•••••• P••••••• M••••••••• C•••••• V• L•• filed its initial SEC registration (Form ADV)Oct 23, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B•••• V•••••• P••••••• M••••••••• C•••••• V• L•• · Independent Sponsorsshared crd · capital_provider
- B•••• V•••••• P••••••• M••••••••• C•••••• V• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/baird-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- rwbaird.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 414-765-3500reportedpublic record, Form ADV, Sep 4, 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