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••••••
Legal name B••••••• C•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jun 8, 2021 · 11 filings
SEC status approved since Jul 9, 2021
RAUM
$913M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$913M
derived; firm RAUM over IAPD count
Employees
17
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$913M as of Mar 27, 2026
Mar 25, 2022$405M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 25, 20221 then
Employees (5.A)17 as of Mar 27, 2026
Mar 25, 202212 then
Private funds7 as of Mar 27, 2026
Mar 25, 20222 then
RAUM +37% over the last fiscal year+22% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $913MderivedRAUM 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
- $130MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 17.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +37%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 assets, performance-basedreportedItem 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
- 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)
- 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$913M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- 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=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• T••••• S•••Chartered Financial Analyst | Charlotte, Nc | Oct 26, 2021 | 19 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- S•••••• T••••• S••• from N•• R••••••• P•••••••Oct 26, 2021 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• P••••••• I• L• | Private Equity Fund | $428M | 111 | Sep 16, 2021 |
| B••••••• P••••••• I• ••••••••• L• | Private Equity Fund | $97.3M | 4 | Sep 16, 2021 |
| E•••••••• I• H••••••• C• I• L• | Private Equity Fund | $33.7M | 16 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• R•••••• C•••••••• · Sole Member, Presidentcontrolsince 04/2021 · owns 75% or more
- S•••• S••••••• T••••• · Chief Compliance Officer And Chief Operating Offercontrolsince 09/2021 · owns less than 5%
Related persons
Schedule D 7.A
- B••••••• P••••••• G• L•bankpooled vehicle sponsorn
- E•••••••• I• H••••••• C• I• G• L•bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
What changed
consecutive filings, newest first
- Accounts · 5 to 7Mar 28, 2025 to Mar 27, 2026
- Advisory employees · 9 to 10Mar 28, 2025 to Mar 27, 2026
- Pooled vehicle clients · 5 to 7Mar 28, 2025 to Mar 27, 2026
- Employees · 16 to 17Mar 28, 2025 to Mar 27, 2026
- Private funds · 5 to 7Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $665M to $913MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $665M to $913MMar 28, 2025 to Mar 27, 2026
- RAUM · $665M to $913MMar 28, 2025 to Mar 27, 2026
- Accounts · 3 to 5Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 6 to 9Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 3 to 5Mar 28, 2024 to Mar 28, 2025
- Employees · 11 to 16Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Private funds · 3 to 5Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $559M to $665MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $559M to $665MMar 28, 2024 to Mar 28, 2025
- RAUM · $559M to $665MMar 28, 2024 to Mar 28, 2025
- Accounts · 2 to 3Mar 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 2 to 3Mar 30, 2023 to Mar 28, 2024
- Employees · 13 to 11Mar 30, 2023 to Mar 28, 2024
- Private funds · 2 to 3Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $502M to $559MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $502M to $559MMar 30, 2023 to Mar 28, 2024
- RAUM · $502M to $559MMar 30, 2023 to Mar 28, 2024
- BD registered reps · 1 to 0Feb 15, 2023 to Mar 30, 2023
- Employees · 12 to 13Feb 15, 2023 to Mar 30, 2023
- Insurance-licensed employees · 1 to 0Feb 15, 2023 to Mar 30, 2023
- Discretionary RAUM · $405M to $502MJan 6, 2023 to Feb 15, 2023
- Pooled vehicle RAUM · $405M to $502MJan 6, 2023 to Feb 15, 2023
- RAUM · $405M to $502MJan 6, 2023 to Feb 15, 2023
- Advisory employees · 4 to 6Oct 26, 2021 to Mar 25, 2022
- BD registered reps · 0 to 1Oct 26, 2021 to Mar 25, 2022
- Employees · 7 to 12Oct 26, 2021 to Mar 25, 2022
- Other offices · 0 to 1Oct 26, 2021 to Mar 25, 2022
- Discretionary RAUM · $288M to $405MOct 26, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $288M to $405MOct 26, 2021 to Mar 25, 2022
- RAUM · $288M to $405MOct 26, 2021 to Mar 25, 2022
- Accounts · unset to 2.0Jun 8, 2021 to Sep 16, 2021
- Advisory employees · 0 to 4Jun 8, 2021 to Sep 16, 2021
- Pooled vehicle clients · unset to 2.0Jun 8, 2021 to Sep 16, 2021
Signals
5 dated events
- B••••••• C•••••• reported RAUM $913.0M, up 37% from $664.6M (2025-03-28 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- B••••••• C•••••• reported RAUM $404.8M, up 41% from $287.7M (2021-10-26 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- S•••••• S••• (Chief Compliance Officer And Chief Operating Offer) appeared on Schedule A of B••••••• C••••••Sep 16, 2021 · Control person joined · fact
- B Erich Ephraim (Chief Compliance Officer) no longer on Schedule A of B••••••• C•••••• (listed 2021-06-08, absent 2021-09-16)Sep 16, 2021 · Control person left · inference
- B••••••• C•••••• filed its initial SEC registration (Form ADV)Jun 8, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B••••••• C•••••• · Independent Sponsorsshared crd · capital_provider
- B••••••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/braemont-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- braemont.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-833-8883reportedpublic 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $913Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026