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• R•••• W••••• P•••••• S•••••
Legal name B• R•••• W••••• P•••••• S•••••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 3, 2021 · 14 filings
SEC status approved since Sep 2, 2021
RAUM
$47.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$15.9M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
8
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$47.6M as of Mar 31, 2026
Apr 1, 2022$713M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Apr 1, 20227 then
Employees (5.A)8 as of Mar 31, 2026
Apr 1, 202216 then
Private funds8 as of Mar 31, 2026
Apr 1, 202215 then
RAUM +17% over the last fiscal year+15% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $15.9MderivedRAUM 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
- $6.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$47.6M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- 0reported
- 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=true related_bank=false bd_reps=7.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• J••• K••••••• | Los Angeles, Ca | Nov 21, 2025 | 29 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- C•••••• P•••• H••••••• to C•••••• C•••••• A•••••••• L••Apr 16, 2025 · Other
- T••••• D•••• K•••••••• to S•••••••••Jan 17, 2025 · Other
Joined, latest
- T••••• J••• K••••••• from B• R•••• C•••••• M•••••••••Nov 21, 2025 · Other
- C•••••• P•••• H••••••• from B• R•••• W••••• A•••••••• I•••Apr 4, 2023 · Other
- T••••• D•••• K•••••••• from B• R•••• W••••• A•••••••• I•••Sep 8, 2021 · Other
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B• R•••• P•••••• S••••• 2••••• Q•• L•• | Private Equity Fund | $249M | 312 | Mar 29, 2024 |
| I••••••••• X• H••••••• Q•• L•• S••••• 2•••••no longer reported | Private Equity Fund | $46.8M | 425 | Dec 24, 2019 |
| N•• S•••••• S••••••••• F••• I• Q•• L•• S••••• F• | Private Equity Fund | $22.8M | 156 | Dec 24, 2019 |
| B• R•••• P•••••• S••••• F••• 2•••••• L•• | Private Equity Fund | $10.9M | 69 | Mar 29, 2024 |
| B• R•••• P•••••• S••••• 2••••• Q•• L•• | Private Equity Fund | $8.2M | 85 | Mar 29, 2024 |
| B• R•••• P•••••• S••••• F••• 2•••••• L•• | Private Equity Fund | $3.7M | 56 | Mar 31, 2023 |
| B• R•••• P•••••• S••••• F••• 2••••• Q•• L•• | Private Equity Fund | $1.7M | 31 | Mar 31, 2023 |
| S••••• I••••••• F••• I• L•• | Private Equity Fund | $1.4M | 100 | Aug 17, 2012 |
| N•• S•••••• S••••••••• F••• V••• L•• | Private Equity Fund | $58,203 | 9 | Dec 26, 2020 |
| N•• S•••••• S••••••••• F••• I••• L•• M•••• L••• S••••• 1• | Private Equity Fund | $0 | 97 | Dec 19, 2017 |
Owners and control persons
Schedule A and B, latest filing
- H•••••••• C••••••• P•••• · Managing Membercontrolsince 07/2021 · owns less than 5%
- M•••••••• M•••••• · General Counselcontrolsince 10/2021 · owns less than 5%
- M•••••• M••••••• A•••••• · Managing Membercontrolsince 07/2021 · owns less than 5%
- Z•••••• P•••••• R•••••• · Managing Membercontrolsince 02/2022 · owns less than 5%
- A••••••• M•••••• A•••••• · Chief Compliance Officersince 08/2022 · owns less than 5%
Entity owners
- B• R•••• W••••• M••••••••• H•••••••• I••• · Parent Companydirect · owns 75% or more
- B• R•••• F••••••••• I••• · Parentindirect · owns 75% or more of B• F•••••••• H•••••••• L•• · public reporting company
- B• F•••••••• H•••••••• L•• · Parentindirect · owns 75% or more of B• R•••• W••••• M••••••••• H•••••••• I•••
Related persons
Schedule D 7.A
- B• R•••• C•••••• M•••••••••investment advisernRAUM $200M
- B• R•••• P•••••• S••••• M••••••••• 2•••••• L••pooled vehicle sponsory
- B• R•••• S••••••••• I•••broker-dealern
- B• R•••• W••••• A•••••••• I•••investment advisernRAUM $4.2B
- B• R•••• W••••• I•••••••• C•••••••••real estaten
- B R•••• Wealth Managementbroker-dealernRAUM $4.1B
- Fairfax Global Investment Management LLCinvestment advisernRAUM $148M
- B• R•••• W••••• T•• S•••••••• I•••insurancen
- N•• S•••••• S••••••••• M••••••••• L••pooled vehicle sponsory
Advisers that list B• R•••• W••••• P•••••• S••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca | 1 | 1 | 0 | ||
| Dallas, Tx | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA1 employees
- New York, NY1 employees
- Red Bank, NJ1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Mar 31, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 4.0 (-33.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (4 comparable advisers, 0.0th percentile of changes)peers: asset managers, under $100M (4) · 0.0% percentile
Data quality: RAUM $30,996,770 then $297,369,877 then $40,844,826 on consecutive annual amendments (2024-03-29, 2025-03-31); the middle value is likely a filing error
What changed
consecutive filings, newest first
- Accounts · 9 to 8Jun 2, 2025 to Mar 31, 2026
- Advisory employees · 4 to 3Jun 2, 2025 to Mar 31, 2026
- BD registered reps · 11 to 7Jun 2, 2025 to Mar 31, 2026
- Pooled vehicle clients · 9 to 8Jun 2, 2025 to Mar 31, 2026
- Employees · 12 to 8Jun 2, 2025 to Mar 31, 2026
- Insurance-licensed employees · 6 to 4Jun 2, 2025 to Mar 31, 2026
- State-registered IARs · 6 to 4Jun 2, 2025 to Mar 31, 2026
- Private funds · 9 to 8Jun 2, 2025 to Mar 31, 2026
- Discretionary RAUM · $41.4M to $47.6MJun 2, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $41.4M to $47.6MJun 2, 2025 to Mar 31, 2026
- RAUM · $41.4M to $47.6MJun 2, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0May 19, 2025 to Jun 2, 2025
- Discretionary RAUM · $40.8M to $41.4MMar 31, 2025 to May 19, 2025
- Pooled vehicle RAUM · $40.8M to $41.4MMar 31, 2025 to May 19, 2025
- RAUM · $40.8M to $41.4MMar 31, 2025 to May 19, 2025
- Advisory employees · 5 to 4May 15, 2024 to Mar 31, 2025
- BD registered reps · 12 to 11May 15, 2024 to Mar 31, 2025
- Employees · 13 to 12May 15, 2024 to Mar 31, 2025
- Insurance-licensed employees · 7 to 6May 15, 2024 to Mar 31, 2025
- State-registered IARs · 7 to 6May 15, 2024 to Mar 31, 2025
- Discretionary RAUM · $297M to $40.8MMay 15, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $297M to $40.8MMay 15, 2024 to Mar 31, 2025
- RAUM · $297M to $40.8MMay 15, 2024 to Mar 31, 2025
- Accounts · 6 to 9Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 3 to 5Mar 31, 2023 to Mar 29, 2024
- BD registered reps · 17 to 12Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 6 to 9Mar 31, 2023 to Mar 29, 2024
- Employees · 17 to 13Mar 31, 2023 to Mar 29, 2024
- Insurance-licensed employees · 10 to 7Mar 31, 2023 to Mar 29, 2024
- State-registered IARs · 10 to 7Mar 31, 2023 to Mar 29, 2024
- Other offices · 2 to 3Mar 31, 2023 to Mar 29, 2024
- Private funds · 6 to 9Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $31.0M to $297MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $31.0M to $297MMar 31, 2023 to Mar 29, 2024
- RAUM · $31.0M to $297MMar 31, 2023 to Mar 29, 2024
- Accounts · 15 to 6Mar 7, 2023 to Mar 31, 2023
- Advisory employees · 9 to 3Mar 7, 2023 to Mar 31, 2023
- BD registered reps · 16 to 17Mar 7, 2023 to Mar 31, 2023
- Pooled vehicle clients · 15 to 6Mar 7, 2023 to Mar 31, 2023
- Employees · 16 to 17Mar 7, 2023 to Mar 31, 2023
Signals
11 dated events
- C•••••• P•••• H••••••• left B• R•••• W••••• P•••••• S••••• for C•••••• C•••••• A•••••••• L•• (registered 2025-05-05)Apr 16, 2025 · Advisor changed firm · fact
- B• R•••• W••••• P•••••• S••••• reported RAUM $40.8M, down 86% from $297.4M (2024-05-15 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- T••••• D•••• K•••••••• left B• R•••• W••••• P•••••• S••••• for Steadtrust (registered 2025-02-12)Jan 17, 2025 · Advisor changed firm · fact
- B• R•••• W••••• P•••••• S••••• reported RAUM $31.0M, down 96% from $713.1M (2023-03-07 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- B• R•••• W••••• P•••••• S••••• reported RAUM $713.1M, up 43% from $499.2M (2021-11-02 to 2022-04-01)Apr 1, 2022 · RAUM change · derived
- D•••• T••••• K•••••••• (Managing Member) no longer on Schedule A of B• R•••• W••••• P•••••• S••••• (listed 2021-11-02, absent 2022-04-01)Apr 1, 2022 · Control person left · inference
- Richard Philip Zanone (Managing Member) appeared on Schedule A of B• R•••• W••••• P•••••• S•••••Apr 1, 2022 · Control person joined · fact
- Gerard Harold Chaffee (Chief Compliance Officer) no longer on Schedule A of B• R•••• W••••• P•••••• S••••• (listed 2021-08-04, absent 2021-11-01)Nov 1, 2021 · Control person left · inference
- Charles Glenn Worman (Chief Financial Officer) no longer on Schedule A of B• R•••• W••••• P•••••• S••••• (listed 2021-08-04, absent 2021-11-01)Nov 1, 2021 · Control person left · inference
- Michael Markunas (Chief Compliance Officer) appeared on Schedule A of B• R•••• W••••• P•••••• S•••••Nov 1, 2021 · Control person joined · fact
- B• R•••• W••••• P•••••• S••••• filed its initial SEC registration (Form ADV)Aug 3, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B• R•••• W••••• P•••••• S••••• · Independent Sponsorsshared crd · capital_provider
- B• R•••• W••••• P•••••• S••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 901-251-1330reportedpublic 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
- $15.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026