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.
SEC-registered adviser
Palmer Square Bdc Advisor LLC
Latest filing Mar 31, 2026
First filing on the tape Nov 26, 2019 · 13 filings
SEC status approved since Jan 2, 2020
RAUM
$1.2B
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
76
33 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$1.2B as of Mar 31, 2026
Mar 31, 2021$652M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 12, 20202 then
Employees (5.A)76 as of Mar 31, 2026
Mar 12, 202032 then
Private funds: no history
RAUM -11% over the last fiscal year+6.3% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $406MderivedRAUM 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
- $1.2BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 25.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%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 investment companiesreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- 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=false related_bank=true bd_reps=5.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Andrew Scott Betz · Chief Operating Officercontrolsince 11/2019 · owns less than 5%
- Renee Stacy Brice · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- Doerr Jeffrey Fox · Chief Financial Officercontrolsince 11/2019 · owns less than 5%
- Dale Christopher Long · Chief Executive Officercontrolsince 11/2019 · owns less than 5%
- Knighton Angie Long · Trusteecontrolsince 10/2019 · owns F of Angie K. Long Irrevocable Trust
- Dale Christopher Long · Trusteecontrolsince 01/2020 · owns F of Christopher D. Long Irrevocable Trust
Entity owners
- Palmer Square Capital Management LLC · Managing Memberdirect · owns 50% to 75%
- Angie K. Long Irrevocable Trust · Memberindirect · owns 50% to 75% of Palmer Square Holdings, LLC
- Christopher D. Long Irrevocable Trust · Memberindirect · owns 25% to 50% of Palmer Square Holdings, LLC
- Palmer Square Holdings, LLC · Managing Memberindirect · owns 50% to 75% of Palmer Square Capital Management LLC
- Seaboard Corporation · Memberindirect · owns 75% or more of Seaboard Foods LLC · public reporting company
- Seaboard Foods LLC · Memberindirect · owns 75% or more of Caravel Holdings, LLC
- Caravel Holdings, LLC · Memberdirect · owns 5% to 10%
- Excelsior Holdings D2 LLC · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- Palmer Square Capital Advisors LLCbankpooled vehicle sponsorn
- Palmer Square Capital Management LLCinvestment adviserbankyRAUM $26B
- Palmer Square Europe Capital Management LLCinvestment advisernRAUM $9.2B
- Palmer Square Opportunistic Credit Fund Gp LLCbankpooled vehicle sponsorn
- Palmer Square Private Credit Management LLCinvestment advisernRAUM $77.2M
Advisers that list Palmer Square Bdc Advisor LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom7 employees
- , 2 employees
What changed
consecutive filings, newest first
- BD registered reps · 4 to 5Nov 18, 2025 to Mar 31, 2026
- Employees · 71 to 76Nov 18, 2025 to Mar 31, 2026
- State-registered IARs · 2 to 3Nov 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.4B to $1.2BNov 18, 2025 to Mar 31, 2026
- RAUM · $1.4B to $1.2BNov 18, 2025 to Mar 31, 2026
- Advisory employees · 28 to 33Mar 28, 2024 to Mar 28, 2025
- BD registered reps · 8 to 4Mar 28, 2024 to Mar 28, 2025
- Employees · 56 to 71Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- State-registered IARs · 4 to 2Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.1B to $1.4BMar 28, 2024 to Mar 28, 2025
- RAUM · $1.1B to $1.4BMar 28, 2024 to Mar 28, 2025
- Advisory employees · 24 to 28Mar 31, 2023 to Mar 28, 2024
- BD registered reps · 7 to 8Mar 31, 2023 to Mar 28, 2024
- Employees · 48 to 56Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.0B to $1.1BMar 31, 2023 to Mar 28, 2024
- RAUM · $1.0B to $1.1BMar 31, 2023 to Mar 28, 2024
- Advisory employees · 23 to 24May 2, 2022 to Mar 31, 2023
- BD registered reps · 6 to 7May 2, 2022 to Mar 31, 2023
- Employees · 40 to 48May 2, 2022 to Mar 31, 2023
- State-registered IARs · 3 to 4May 2, 2022 to Mar 31, 2023
- Other offices · 1 to 2May 2, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.1B to $1.0BMay 2, 2022 to Mar 31, 2023
- RAUM · $1.1B to $1.0BMay 2, 2022 to Mar 31, 2023
- Advisory employees · 21 to 23Nov 8, 2021 to Mar 31, 2022
- Employees · 33 to 40Nov 8, 2021 to Mar 31, 2022
- State-registered IARs · 2 to 3Nov 8, 2021 to Mar 31, 2022
- Discretionary RAUM · $652M to $1.1BNov 8, 2021 to Mar 31, 2022
- RAUM · $652M to $1.1BNov 8, 2021 to Mar 31, 2022
- Accounts · unset to 1.0Oct 2, 2020 to Mar 31, 2021
- Advisory employees · 17 to 21Oct 2, 2020 to Mar 31, 2021
- BD registered reps · 8 to 6Oct 2, 2020 to Mar 31, 2021
- Employees · 32 to 33Oct 2, 2020 to Mar 31, 2021
- Discretionary RAUM · unset to 651936651.0Oct 2, 2020 to Mar 31, 2021
- Non-discretionary RAUM · unset to 0.0Oct 2, 2020 to Mar 31, 2021
- RAUM · unset to 651936651.0Oct 2, 2020 to Mar 31, 2021
- Other offices · 0 to 1Mar 12, 2020 to Oct 2, 2020
- BD registered reps · 7 to 8Nov 26, 2019 to Mar 12, 2020
- Employees · 31 to 32Nov 26, 2019 to Mar 12, 2020
Signals
5 dated events
- Palmer Square Bdc Advisor Llc reported RAUM $1.1B, up 71% from $651.9M (2021-11-08 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Renee Stacy Brice (Chief Compliance Officer) appeared on Schedule A of Palmer Square Bdc Advisor LlcMar 31, 2021 · Control person joined · fact
- Dean Jeffrey Fox (Chief Financial Officer) no longer on Schedule A of Palmer Square Bdc Advisor Llc (listed 2019-11-26, absent 2020-03-12)Mar 12, 2020 · Control person left · inference
- Doerr Jeffrey Fox (Chief Financial Officer) appeared on Schedule A of Palmer Square Bdc Advisor LlcMar 12, 2020 · Control person joined · fact
- Palmer Square Bdc Advisor Llc filed its initial SEC registration (Form ADV)Nov 26, 2019 · 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
- Firm profile
- linkedin.com/company/palmer-square-capitalreportedpublic record, Form ADV, Sep 17, 2026
- Website
- palmersquarecap.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 816-994-3200reportedpublic record, Form ADV, Mar 31, 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