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••••••• S•••••••• C•••••• P•••••••• L•
Latest filing Mar 17, 2026
First filing on the tape Apr 26, 2019 · 13 filings
SEC status approved since May 28, 2019
RAUM
$440M
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$440M as of Mar 17, 2026
Mar 4, 2020$194M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Mar 4, 20200 then
Employees (5.A)6 as of Mar 17, 2026
Mar 4, 20205 then
Private funds3 as of Mar 17, 2026
Mar 4, 20202 then
RAUM -21% over the last fiscal year-8.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 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
- $55.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -21%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
- $440M, 8 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$440M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $440M for 8 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=true 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• S•••••••• C•••••• P••••••• M••••• F••• I•• L• | Other Private Fund | $292M | 33 | Mar 24, 2023 |
| B••••••• S•••••••• C•••••• P••••••• M••••• F••• I• L• | Other Private Fund | $166M | 34 | Apr 26, 2019 |
| B••••••• S•••••••• C••••••••• F••• I•• L• | Other Private Fund | $71.2M | 6 | Apr 26, 2019 |
Owners and control persons
Schedule A and B, latest filing
- R••••••••• G••••••• A•••••• · Chief Compliance Officer; Chief Operating Officercontrolsince 08/2022 · owns less than 5%
- S••••••••• S••••• C•••••• · Managing Partnercontrolsince 04/2017 · owns less than 5%
- S•••••••• M••••••• J••••• · Chief Financial Officercontrolsince 05/2021 · owns less than 5%
- S••••••••• S••••• C•••••• · Trusteecontrolsince 07/2007 · owns F of S•••• C• S••••••••• R•••••••• T••••
Entity owners
- B••• G•• L•• · G•••••• Partnerdirect · owns less than 5%
- S•••• C• S••••••••• R•••••••• T•••• · Limited Partnerdirect · owns 75% or more
- S•••• C• S••••••••• R•••••••• T•••• · Managing Memberindirect · owns 75% or more of B••• G•• L••
Related persons
Schedule D 7.A
- B••••••• S•••••••• C•••••• G•••••• P••••••• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $560M to $440MOct 21, 2025 to Mar 17, 2026
- Discretionary RAUM · $560M to $440MOct 21, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $560M to $440MOct 21, 2025 to Mar 17, 2026
- RAUM · $560M to $440MOct 21, 2025 to Mar 17, 2026
- Assets in custody · $529M to $560MMar 20, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 21, 2025
- Discretionary RAUM · $529M to $560MMar 20, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $529M to $560MMar 20, 2024 to Mar 21, 2025
- RAUM · $529M to $560MMar 20, 2024 to Mar 21, 2025
- Assets in custody · $574M to $529MMar 24, 2023 to Mar 20, 2024
- Discretionary RAUM · $574M to $529MMar 24, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $574M to $529MMar 24, 2023 to Mar 20, 2024
- RAUM · $574M to $529MMar 24, 2023 to Mar 20, 2024
- Accounts · 5 to 8Aug 29, 2022 to Mar 24, 2023
- Pooled vehicle clients · 5 to 8Aug 29, 2022 to Mar 24, 2023
- Assets in custody · $347M to $574MAug 29, 2022 to Mar 24, 2023
- Private funds · 2 to 3Aug 29, 2022 to Mar 24, 2023
- Discretionary RAUM · $347M to $574MAug 29, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $347M to $574MAug 29, 2022 to Mar 24, 2023
- RAUM · $347M to $574MAug 29, 2022 to Mar 24, 2023
- Assets in custody · $329M to $347MJun 1, 2021 to Mar 8, 2022
- Employees · 5 to 6Jun 1, 2021 to Mar 8, 2022
- Discretionary RAUM · $329M to $347MJun 1, 2021 to Mar 8, 2022
- Pooled vehicle RAUM · $329M to $347MJun 1, 2021 to Mar 8, 2022
- RAUM · $329M to $347MJun 1, 2021 to Mar 8, 2022
- Assets in custody · $194M to $329MJun 29, 2020 to Mar 15, 2021
- Discretionary RAUM · $194M to $329MJun 29, 2020 to Mar 15, 2021
- Pooled vehicle RAUM · $194M to $329MJun 29, 2020 to Mar 15, 2021
- RAUM · $194M to $329MJun 29, 2020 to Mar 15, 2021
- Assets in custody · $176M to $194MApr 26, 2019 to Mar 4, 2020
- Discretionary RAUM · $176M to $194MApr 26, 2019 to Mar 4, 2020
- Pooled vehicle RAUM · $176M to $194MApr 26, 2019 to Mar 4, 2020
- RAUM · $176M to $194MApr 26, 2019 to Mar 4, 2020
Signals
6 dated events
- B••••••• S•••••••• C•••••• P•••••••• L• reported RAUM $574.3M, up 65% from $347.4M (2022-08-29 to 2023-03-24)Mar 24, 2023 · RAUM change · derived
- Abraham Gregory Ramenofsky (Chief Compliance Officer; Chief Operating Officer) appeared on Schedule A of B••••••• S•••••••• C•••••• P•••••••• L•Aug 17, 2022 · Control person joined · fact
- N John Pach (Coo, Cfo) no longer on Schedule A of B••••••• S•••••••• C•••••• P•••••••• L• (listed 2022-03-08, absent 2022-08-17)Aug 17, 2022 · Control person left · inference
- Joseph Michael Sullivan (Chief Compliance Officer) appeared on Schedule A of B••••••• S•••••••• C•••••• P•••••••• L•Jun 1, 2021 · Control person joined · fact
- B••••••• S•••••••• C•••••• P•••••••• L• reported RAUM $328.7M, up 70% from $193.8M (2020-06-29 to 2021-03-15)Mar 15, 2021 · RAUM change · derived
- B••••••• S•••••••• C•••••• P•••••••• L• filed its initial SEC registration (Form ADV)Apr 26, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B••••••• S•••••••• C•••••• P•••••••• L• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- borealisstratcap.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (312) 897-3474reportedpublic record, Form ADV, Mar 17, 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