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••••••• C•••••• A••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Mar 12, 2021 · 12 filings
SEC status approved since Apr 12, 2021
RAUM
$2.7B
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$2.7B as of Mar 16, 2026
Mar 29, 2022$589M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2026
Mar 29, 20220 then
Employees (5.A)2 as of Mar 16, 2026
Mar 29, 20221 then
Private funds2 as of Mar 16, 2026
Mar 29, 20221 then
RAUM +326% over the last fiscal year+45% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 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
- $1.3BderivedRAUM 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
- +326%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 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
- a related person has custody of client cash (9.B.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.7B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•• M••••••••• B••••• L••• F••• L• | Other Private Fund | $531M | 2 | Aug 9, 2021 |
| B•• L•••••••• B••••• L••• F••• L• | Other Private Fund | $278M | 2 | Apr 25, 2023 |
Owners and control persons
Schedule A and B, latest filing
- H•••••••• B••• A•• · Presidentcontrolsince 12/2020 · owns less than 5%
- G•••••••• A••• M••••••• · Chief Compliance Officersince 12/2020 · owns less than 5%
Entity owners
- B••••••• P••••••••• H•••••• L•• · Sole Memberdirect · owns 75% or more
- B••••••• C••••••••• M••••••• H•••••• L•• · Ownerindirect · owns 75% or more of B••••••• P••••••••• H•••••• L••
- B•••••••• H••••••• I••• · Ownerindirect · owns 75% or more of B• C••••••• I••• · public reporting company
- B• C••••••• I••• · Ownerindirect · owns 75% or more of C••••••• I•••••••• C••••••
- C••••••• I•••••••• C•••••• · Ownerindirect · owns 50% to 75% of B••••••• C••••••••• M••••••• H•••••• L••
- J•••••••• F•••••••• G•••• I••• · Ownerindirect · owns 75% or more of J•••••••• U• H••••••• L•• · public reporting company
- J•••••••• U• H••••••• L•• · Ownerindirect · owns 75% or more of L•• S••••••••• L••
- L•• S••••••••• L•• · Ownerindirect · owns 50% to 75% of B••••••• C••••••••• M••••••• H•••••• L••
Related persons
Schedule D 7.A
- B••••••• R••• E••••• A••••••• I•••investment companyn
- B••••••• R••• E••••• A••••••• L••investment companyn
- R•••••••• C••••••• L••n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusual affiliate densityStatic outlier · filing Mar 16, 2026distinct affiliate types checked on Item 7.A of 6.0 against a peer median of 2.0 (797 comparable advisers, 99.0th percentile, 5.4 robust deviations)peers: asset managers, $1B to $5B (797) · 99% percentile
- RAUM up 50 %Change between filings · filing Mar 16, 2026RAUM (Item 5.F) moved from $624,167,319 to $2,656,303,438 (+326.0%) between the annual amendments of 2025-03-27 and 2026-03-16; the peer median change was +11.0% (1368 comparable advisers, 99.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 99% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $624M to $2.7BMar 27, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $624M to $2.7BMar 27, 2025 to Mar 16, 2026
- RAUM · $624M to $2.7BMar 27, 2025 to Mar 16, 2026
- Advisory employees · 3 to 2Sep 11, 2024 to Mar 27, 2025
- Employees · 3 to 2Sep 11, 2024 to Mar 27, 2025
- Financial planning clients · unset to Sep 11, 2024 to Mar 27, 2025
- Discretionary RAUM · $809M to $624MSep 11, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $809M to $624MSep 11, 2024 to Mar 27, 2025
- RAUM · $809M to $624MSep 11, 2024 to Mar 27, 2025
- Accounts · 4 to 2Apr 25, 2023 to Mar 23, 2024
- Advisory employees · 1 to 3Apr 25, 2023 to Mar 23, 2024
- Employees · 1 to 3Apr 25, 2023 to Mar 23, 2024
- Discretionary RAUM · $863M to $809MApr 25, 2023 to Mar 23, 2024
- Pooled vehicle RAUM · $863M to $809MApr 25, 2023 to Mar 23, 2024
- RAUM · $863M to $809MApr 25, 2023 to Mar 23, 2024
- Accounts · 2 to 4Mar 22, 2023 to Apr 25, 2023
- Pooled vehicle clients · 1 to 2Mar 22, 2023 to Apr 25, 2023
- Private funds · 1 to 2Mar 22, 2023 to Apr 25, 2023
- Discretionary RAUM · $589M to $863MMar 29, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $589M to $863MMar 29, 2022 to Mar 22, 2023
- RAUM · $589M to $863MMar 29, 2022 to Mar 22, 2023
- Advisory employees · 2 to 1Dec 23, 2021 to Mar 29, 2022
- Employees · 2 to 1Dec 23, 2021 to Mar 29, 2022
- Discretionary RAUM · $180M to $589MDec 23, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $180M to $589MDec 23, 2021 to Mar 29, 2022
- RAUM · $180M to $589MDec 23, 2021 to Mar 29, 2022
- Accounts · 0 to 2Mar 12, 2021 to Aug 9, 2021
- Advisory employees · 1 to 2Mar 12, 2021 to Aug 9, 2021
- Pooled vehicle clients · unset to 1.0Mar 12, 2021 to Aug 9, 2021
- Employees · 1 to 2Mar 12, 2021 to Aug 9, 2021
- Private funds · unset to 1Mar 12, 2021 to Aug 9, 2021
- Discretionary RAUM · $0 to $180MMar 12, 2021 to Aug 9, 2021
- Pooled vehicle RAUM · unset to 180100000.0Mar 12, 2021 to Aug 9, 2021
- RAUM · $0 to $180MMar 12, 2021 to Aug 9, 2021
Signals
4 dated events
- B••••••• C•••••• A••••••• L•• reported RAUM $2.7B, up 326% from $624.2M (2025-03-27 to 2026-03-16)Mar 16, 2026 · RAUM change · derived
- B••••••• C•••••• A••••••• L•• reported RAUM $862.8M, up 46% from $589.3M (2022-03-29 to 2023-03-22)Mar 22, 2023 · RAUM change · derived
- B••••••• C•••••• A••••••• L•• reported RAUM $589.3M, up 227% from $180.1M (2021-12-23 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- B••••••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)Mar 12, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B••••••• C•••••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- 215-328-3978reportedpublic record, Form ADV, Mar 16, 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
Across the graphs
B••••••• C•••••• A••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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