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•••••••• I••••••••• M••••••••• L••
Latest filing Sep 18, 2026
First filing on the tape Mar 22, 2020 · 19 filings
SEC status approved since Apr 21, 2020
RAUM
$266M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
41%
$109M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$88.6M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$233M as of Mar 20, 2026
Mar 31, 2021$176M then
HNW client RAUM$105M as of Mar 20, 2026
Mar 31, 2021$43.8M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Mar 31, 20213 then
Employees (5.A)6 as of Mar 20, 2026
Mar 31, 20215 then
Private funds: no history
RAUM +43% over the last fiscal year+3.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 18, 2026; every figure names its basis
- RAUM per advisor
- $88.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $517,976derivedHNW RAUM over HNW clients
- Average account
- $843,371derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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 securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$109M70%
- Charitable organizations$17.6M11%
- Investment companies$16.2M10%
- Pension and profit-sharing plans$12.1M7.7%
- Corporations and businesses$1.2M0.7%
- Insurance companies$319,6440.2%
- Individual clients
- n/areported
- HNW clients
- 211reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 315reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.41 fund_share=0.06 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• A•••• G•••• | Rosemont, Il | May 15, 2019 | 30 y | 3 |
| C•••••• M•••• A••••• | Los Angeles, Ca | Aug 27, 2019 | 25 y | 4 |
| J•••••• P••• C•••••••• | Downingtown, Pa | Apr 24, 2026 | 22 y | 5 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- P•••• M••••••• to W•••• F•••• A•••••••Apr 11, 2023 · RIA to wirehouse
Joined, latest
- J•••••• P••• C•••••••• from M••••• S••••••Apr 24, 2026 · Wirehouse to independent RIA
- P•••• M••••••• from W•••• F•••• A•••••••Aug 24, 2020 · Wirehouse to independent RIA
- C•••••• M•••• A••••• from A••••••• A•••••••• L••Aug 27, 2019 · Other
- J••• A•••• G•••• from S•••• B•••••• A•••• M••••••••• L••May 15, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• C••••••• M•••• · Chief Compliance Officercontrolsince 07/2019 · owns less than 5%
- B•••••• J••••• R•••• · Chief Investment Officercontrolsince 06/2019 · owns less than 5%
- G••••• J•••• A•••• · Presidentcontrolsince 01/2019 · owns less than 5%
- V•• H••• H•• · Director Of Researchcontrolsince 07/2019 · owns 10% to 25%
- B•••••• J••••• R•••• · Sole Membercontrolsince 07/2019 · owns 75% or more of B•••••••• E••••••••• L••
- G••••• J•••• A•••• · Principalcontrolsince 01/2019 · owns 75% or more of T••••••••• R•••• L••
Entity owners
- B•••••••• E••••••••• L•• · Managerdirect · owns 25% to 50%
- T••••••••• R•••• L•• · Managerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- C•••••• F••• I••••••••• I•••investment adviseryRAUM $331M
Advisers that list B•••••••• I••••••••• M••••••••• L•• as a related person
- 110445 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rosemont, Il · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Irvine, CA
What changed
consecutive filings, newest first
- Accounts · 256 to 315Mar 20, 2026 to Sep 18, 2026
- Charity clients · 8 to 9Mar 20, 2026 to Sep 18, 2026
- HNW clients · 169 to 211Mar 20, 2026 to Sep 18, 2026
- Pension plan clients · 5.0 to unsetMar 20, 2026 to Sep 18, 2026
- Assets in custody · $11.9M to $8.1MMar 20, 2026 to Sep 18, 2026
- Financial planning clients · to unsetMar 20, 2026 to Sep 18, 2026
- HQ city · NORTHFIELD to ROSEMONTMar 20, 2026 to Sep 18, 2026
- Discretionary RAUM · $233M to $266MMar 20, 2026 to Sep 18, 2026
- HNW RAUM · $105M to $109MMar 20, 2026 to Sep 18, 2026
- Pension RAUM · $11.1M to $12.1MMar 20, 2026 to Sep 18, 2026
- RAUM · $233M to $266MMar 20, 2026 to Sep 18, 2026
- Succession · false to unsetMar 20, 2026 to Sep 18, 2026
- Accounts · 178 to 256Mar 31, 2025 to Mar 20, 2026
- Advisory employees · 5 to 4Mar 31, 2025 to Mar 20, 2026
- HNW clients · 106 to 169Mar 31, 2025 to Mar 20, 2026
- Pension plan clients · unset to 5.0Mar 31, 2025 to Mar 20, 2026
- Employees · 7 to 6Mar 31, 2025 to Mar 20, 2026
- Discretionary RAUM · $186M to $233MMar 31, 2025 to Mar 20, 2026
- HNW RAUM · $76.6M to $105MMar 31, 2025 to Mar 20, 2026
- Pension RAUM · $10.1M to $11.1MMar 31, 2025 to Mar 20, 2026
- RAUM · $186M to $233MMar 31, 2025 to Mar 20, 2026
- Accounts · 173 to 178Mar 25, 2024 to Mar 31, 2025
- Charity clients · 9 to 8Mar 25, 2024 to Mar 31, 2025
- HNW clients · 96 to 106Mar 25, 2024 to Mar 31, 2025
- Assets in custody · $10.9M to $11.9MMar 25, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 31, 2025
- State-registered IARs · 5 to 2Mar 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $224M to $186MMar 25, 2024 to Mar 31, 2025
- HNW RAUM · $64.8M to $76.6MMar 25, 2024 to Mar 31, 2025
- Pension RAUM · $8.7M to $10.1MMar 25, 2024 to Mar 31, 2025
- RAUM · $224M to $186MMar 25, 2024 to Mar 31, 2025
- HNW clients · 95 to 96Jul 14, 2023 to Mar 25, 2024
- Pension plan clients · 5.0 to unsetJul 14, 2023 to Mar 25, 2024
- Assets in custody · $11.6M to $10.9MJul 14, 2023 to Mar 25, 2024
- Discretionary RAUM · $231M to $224MJul 14, 2023 to Mar 25, 2024
- HNW RAUM · $61.5M to $64.8MJul 14, 2023 to Mar 25, 2024
- Pension RAUM · $8.1M to $8.7MJul 14, 2023 to Mar 25, 2024
- RAUM · $231M to $224MJul 14, 2023 to Mar 25, 2024
- Accounts · 175 to 173Mar 31, 2023 to Jul 14, 2023
- HNW clients · 98 to 95Mar 31, 2023 to Jul 14, 2023
Signals
2 dated events
- P•••• M••••••• left B•••••••• I••••••••• M••••••••• L•• for W•••• F•••• A••••••• (registered 2022-08-09)Apr 11, 2023 · Advisor changed firm · fact
- B•••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 22, 2020 · 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
- Business email
- info@brentviewim.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- hai.vu@brentviewim.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- james.boothe@brentviewim.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-283-4450reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- brentviewim.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-283-4450reportedpublic record, Form ADV, Sep 18, 2026
- Team page
- brentviewim.com/leadershipreportedpublished by the firm, firm site, Sep 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $88.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026