DFX Intelligence

RIA Intelligence

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SEC-registered adviser

B••••••• C••••••• L••

Wealth manager with institutional or fund businessChicago, IllinoisCRD 307765SEC 801-120965website IAPD

Latest filing Mar 27, 2026

First filing on the tape Mar 26, 2021 · 15 filings

SEC status approved since Apr 26, 2021

RAUM

$225M

reported, Item 5.F

Discretionary

73%

of RAUM

Private clients

43%

$96.3M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM$225M as of Mar 27, 2026

Mar 24, 2022$130M then

HNW client RAUM$95.3M as of Mar 27, 2026

Mar 24, 2022$119M then

State-registered IARs (5.B.3)0 as of Mar 27, 2026

Mar 24, 20220 then

Employees (5.A)4 as of Mar 27, 2026

Mar 24, 20225 then

Private funds3 as of Apr 2, 2025

Mar 24, 20223 then

RAUM -29% over the last fiscal year+20% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 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: $6.8MderivedHNW RAUM over HNW clients
Average account: $4.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 73%derivedof RAUM
Institutional: 7.0%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: -29%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 assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$95.3M84%
Charitable organizations$15.8M14%
Individuals$1.0M0.9%
Corporations and businesses$836,7160.7%

Individual clients: n/areported
HNW clients: 14reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 49reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.43 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false 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

Every departure Every arrival

Private funds

4 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
B•••• V••••• F•••• L••	Hedge Fund	$33.2M	12	May 31, 2024
C••••••• A••••••••• I•••••••• F•••• L••no longer reported	Other Private Fund	$3.1M	10	Mar 24, 2022
B•••• A•••••••• L•••• C•• G•••••• L•••	Other Private Fund	$3.0M	10	Mar 26, 2021
B•••• A•••••••• L•••• C•• V•••• F•••• L•••	Other Private Fund	$3.0M	12	Mar 26, 2021

Owners and control persons

Schedule A and B, latest filing

B••••••• M••••••• B••••••• · Chief Compliance Officercontrol
since 05/2024 · owns less than 5%
R•••••••• M••••••• D•••• · Chief Executive Officercontrol
since 11/2023 · owns less than 5%
Y••••• D••••• K•••••• · Coocontrol
since 05/2024 · owns less than 5%
B••••••• M••••••• B••••••• · Membercontrol
since 11/2023 · owns 75% or more of M•••• J• B•••• H•••••••• L••
R•••••••• M••••••• D•••• · Membercontrol
since 11/2023 · owns 75% or more of H•••••••• H•••••••• L••

Entity owners

B•••• H•••••••• L•• · Member
direct · owns 75% or more
H•••••••• H•••••••• L•• · Member
indirect · owns 50% to 75% of B•••• H•••••••• L••
M•••• J• B•••• H•••••••• L•• · Member
indirect · owns 25% to 50% of B•••• H•••••••• L••

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

3 against comparable advisers; where to look, not conclusions

institutional asset share shiftChange between filings · filing Mar 27, 2026
institutional share of RAUM moved from 37.0% to 7.0% between the annual amendments of 2025-04-02 and 2026-03-27
peers: independent wealth managers, $100M to $500M (5,678)
RAUM down 25 %Change between filings · filing Mar 27, 2026
RAUM (Item 5.F) moved from $316,239,448 to $224,740,043 (-29.0%) between the annual amendments of 2025-04-02 and 2026-03-27; the peer median change was +15.0% (4548 comparable advisers, 1.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (4,548) · 1.4% percentile
employee count dropChange between filings · filing Mar 27, 2026
employees (Item 5.A) moved from 10.0 to 4.0 (-60.0%) between the annual amendments of 2025-04-02 and 2026-03-27; the peer median change was 0.0% (506 comparable advisers, 1.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (506) · 1.2% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 40 to 49
Nov 28, 2025 to Mar 27, 2026
Charity clients · 1.0 to unset
Nov 28, 2025 to Mar 27, 2026
Corporate clients · 2.0 to unset
Nov 28, 2025 to Mar 27, 2026
Individual clients · 2.0 to unset
Nov 28, 2025 to Mar 27, 2026
Discretionary RAUM · $156M to $165M
Nov 28, 2025 to Mar 27, 2026
HNW RAUM · $198M to $95.3M
Nov 28, 2025 to Mar 27, 2026
Individual RAUM · $249,786 to $1.0M
Nov 28, 2025 to Mar 27, 2026
Non-discretionary RAUM · $58.9M to $59.8M
Nov 28, 2025 to Mar 27, 2026
RAUM · $215M to $225M
Nov 28, 2025 to Mar 27, 2026
Accounts · 56 to 40
Apr 2, 2025 to Nov 28, 2025
Advisory employees · 7 to 3
Apr 2, 2025 to Nov 28, 2025
Advisory activities · 2 to 1
Apr 2, 2025 to Nov 28, 2025
Business name · B•••• A•••• M••••••••• L•• to B••••••• C••••••• L••
Apr 2, 2025 to Nov 28, 2025
Corporate clients · 3 to 2
Apr 2, 2025 to Nov 28, 2025
HNW clients · 17 to 14
Apr 2, 2025 to Nov 28, 2025
Individual clients · unset to 2.0
Apr 2, 2025 to Nov 28, 2025
Pooled vehicle clients · 3.0 to unset
Apr 2, 2025 to Nov 28, 2025
Assets in custody · 68724992.0 to unset
Apr 2, 2025 to Nov 28, 2025
Custody of client assets · true to false
Apr 2, 2025 to Nov 28, 2025
Employees · 10 to 4
Apr 2, 2025 to Nov 28, 2025
Legal name · B•••• A•••• M••••••••• L•• to B••••••• C••••••• L••
Apr 2, 2025 to Nov 28, 2025
Private funds · 3 to unset
Apr 2, 2025 to Nov 28, 2025
Discretionary RAUM · $264M to $156M
Apr 2, 2025 to Nov 28, 2025
HNW RAUM · $130M to $198M
Apr 2, 2025 to Nov 28, 2025
Individual RAUM · unset to 249786.0
Apr 2, 2025 to Nov 28, 2025
Non-discretionary RAUM · $51.8M to $58.9M
Apr 2, 2025 to Nov 28, 2025
Pooled vehicle RAUM · 68724992.0 to unset
Apr 2, 2025 to Nov 28, 2025
RAUM · $316M to $215M
Apr 2, 2025 to Nov 28, 2025
Accounts · 41 to 56
Sep 17, 2024 to Apr 2, 2025
Advisory employees · 8 to 7
Sep 17, 2024 to Apr 2, 2025
Charity clients · unset to 1.0
Sep 17, 2024 to Apr 2, 2025
Corporate clients · unset to 3.0
Sep 17, 2024 to Apr 2, 2025
HNW clients · 36 to 17
Sep 17, 2024 to Apr 2, 2025
Pension plan clients · 2.0 to unset
Sep 17, 2024 to Apr 2, 2025
Assets in custody · $39.3M to $68.7M
Sep 17, 2024 to Apr 2, 2025
Employees · 8 to 10
Sep 17, 2024 to Apr 2, 2025
Financial planning clients · unset to
Sep 17, 2024 to Apr 2, 2025
Discretionary RAUM · $189M to $264M
Sep 17, 2024 to Apr 2, 2025
HNW RAUM · $167M to $130M
Sep 17, 2024 to Apr 2, 2025
Non-discretionary RAUM · $58.6M to $51.8M
Sep 17, 2024 to Apr 2, 2025

Signals

13 dated events

B••••••• C••••••• L•• reported RAUM $214.8M, down 32% from $316.2M (2025-04-02 to 2025-11-28)
Nov 28, 2025 · RAUM change · derived
Kendall Duane Young (Coo) appeared on Schedule A of B••••••• C••••••• L••
Sep 17, 2024 · Control person joined · fact
Kevin John Nolan (Chief Compliance Officer) no longer on Schedule A of B••••••• C••••••• L•• (listed 2024-03-29, absent 2024-05-31)
May 31, 2024 · Control person left · inference
David Michael Rapelyea (Chief Executive Officer) appeared on Schedule A of B••••••• C••••••• L••
Dec 8, 2023 · Control person joined · fact
Marc Steven Sears (President And Chief Operating Officer) no longer on Schedule A of B••••••• C••••••• L•• (listed 2023-03-29, absent 2023-12-08)
Dec 8, 2023 · Control person left · inference
James Michael Oyster (Chief Investment Officer) no longer on Schedule A of B••••••• C••••••• L•• (listed 2023-03-29, absent 2023-12-08)
Dec 8, 2023 · Control person left · inference
Paul Jonathan Brodsky (Trustee) no longer on Schedule A of B••••••• C••••••• L•• (listed 2023-03-29, absent 2023-12-08)
Dec 8, 2023 · Control person left · inference
Arthur Stephen Brodsky (Trustee) no longer on Schedule A of B••••••• C••••••• L•• (listed 2023-03-29, absent 2023-12-08)
Dec 8, 2023 · Control person left · inference
William Brodsky (Trustee) no longer on Schedule A of B••••••• C••••••• L•• (listed 2023-03-29, absent 2023-12-08)
Dec 8, 2023 · Control person left · inference
Paul Jonathan Brodsky (Trustee) appeared on Schedule A of B••••••• C••••••• L••
Mar 29, 2021 · Control person joined · fact
Arthur Stephen Brodsky (Trustee) appeared on Schedule A of B••••••• C••••••• L••
Mar 29, 2021 · Control person joined · fact
William Brodsky (Trustee) appeared on Schedule A of B••••••• C••••••• L••
Mar 29, 2021 · Control person joined · fact
O•••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
Mar 26, 2021 · 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/bantamacreportedpublic record, Form ADV, Sep 21, 2026
Website: b•••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 8723261723reportedpublic record, Form ADV, Mar 27, 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: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026