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•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 2, 2021 · 10 filings
SEC status approved since Jul 2, 2021
RAUM
$288M
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
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$288M as of Mar 30, 2026
Mar 29, 2022$118M then
HNW client RAUM$0 as of Mar 30, 2026
Mar 29, 2022$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20220 then
Employees (5.A)8 as of Mar 30, 2026
Mar 29, 20227 then
Private funds6 as of Mar 30, 2026
Mar 29, 20223 then
RAUM +32% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $47.9MderivedRAUM 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
- +32%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
- $184M, 6 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 testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$288M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $184M for 6 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=false bd_reps=2.0derived
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••••• C•••••• P••••••• F••• I••• L••• | Private Equity Fund | $20.2M | 17 | Oct 29, 2021 |
| B••••••••• C•••••• P••••••• F••• I• L••• | Private Equity Fund | $14.6M | 133 | Oct 29, 2021 |
| B••••••••• C•••••• P••••••• F••• I••• L••• | Private Equity Fund | $3.3M | 20 | Oct 29, 2021 |
| B••••••••• Z••• S••• L••• | Private Equity Fund | $2.3M | 16 | Mar 28, 2023 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• D••••• A••••• · Managing Partnercontrolsince 01/2021 · owns 25% to 50%
- M•••••• B••••••• J••••• · Chief Compliance Officer And Chief Financial Officercontrolsince 05/2022 · owns less than 5%
- Y•••• K•••• · Partnercontrolsince 01/2021 · owns 25% to 50%
- Y•••• R••••••• M••• · Partnercontrolsince 01/2021 · owns 25% to 50%
Related persons
Schedule D 7.A
- B••••••••• C•••••• P••••••• F••• I• G•• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 6Mar 27, 2025 to Mar 30, 2026
- Pooled vehicle clients · 3 to 6Mar 27, 2025 to Mar 30, 2026
- Assets in custody · $60.1M to $184MMar 27, 2025 to Mar 30, 2026
- Employees · 7 to 8Mar 27, 2025 to Mar 30, 2026
- Private funds · 5 to 6Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $218M to $288MMar 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $218M to $288MMar 27, 2025 to Mar 30, 2026
- RAUM · $218M to $288MMar 27, 2025 to Mar 30, 2026
- Accounts · 4 to 5Mar 28, 2024 to Mar 27, 2025
- Pooled vehicle clients · 4 to 3Mar 28, 2024 to Mar 27, 2025
- Assets in custody · $35.5M to $60.1MMar 28, 2024 to Mar 27, 2025
- Employees · 6 to 7Mar 28, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 27, 2025
- Private funds · 4 to 5Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $214M to $218MMar 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $214M to $218MMar 28, 2024 to Mar 27, 2025
- RAUM · $214M to $218MMar 28, 2024 to Mar 27, 2025
- Advisory employees · 5 to 4Apr 19, 2023 to Mar 28, 2024
- BD registered reps · 1 to 2Apr 19, 2023 to Mar 28, 2024
- Assets in custody · $31.9M to $35.5MApr 19, 2023 to Mar 28, 2024
- Employees · 7 to 6Apr 19, 2023 to Mar 28, 2024
- Discretionary RAUM · $197M to $214MApr 19, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $197M to $214MApr 19, 2023 to Mar 28, 2024
- RAUM · $197M to $214MApr 19, 2023 to Mar 28, 2024
- Accounts · 3 to 4Jul 14, 2022 to Mar 28, 2023
- Advisory employees · 4 to 5Jul 14, 2022 to Mar 28, 2023
- BD registered reps · 2 to 1Jul 14, 2022 to Mar 28, 2023
- Pooled vehicle clients · 3 to 4Jul 14, 2022 to Mar 28, 2023
- Assets in custody · $20.1M to $31.9MJul 14, 2022 to Mar 28, 2023
- HQ city · LOS ANGELES to GREENWICHJul 14, 2022 to Mar 28, 2023
- HQ state · CA to CTJul 14, 2022 to Mar 28, 2023
- Other offices · 2 to 0Jul 14, 2022 to Mar 28, 2023
- Private funds · 3 to 4Jul 14, 2022 to Mar 28, 2023
- Discretionary RAUM · $118M to $197MJul 14, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $118M to $197MJul 14, 2022 to Mar 28, 2023
- RAUM · $118M to $197MJul 14, 2022 to Mar 28, 2023
- Other offices · 1 to 2Mar 29, 2022 to May 25, 2022
- Advisory employees · 3 to 4Oct 29, 2021 to Mar 29, 2022
- BD registered reps · 0 to 2Oct 29, 2021 to Mar 29, 2022
- Assets in custody · $117M to $20.1MOct 29, 2021 to Mar 29, 2022
Signals
2 dated events
- Joseph Brendan Morrow (Chief Compliance Officer And Chief Financial Officer) appeared on Schedule A of B••••••••• C•••••• M••••••••• L••May 25, 2022 · Control person joined · fact
- B••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 2, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B••••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- B••••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/broadlight-capital-management-llc/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- b•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203 496 5400reportedpublic record, Form ADV, Mar 30, 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