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•••••••• A••••••• L••
Latest filing Jun 1, 2026
First filing on the tape Oct 4, 2021 · 12 filings
SEC status approved since Nov 3, 2021
RAUM
$3.3B
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
25
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
9
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$3.3B as of Jun 1, 2026
Mar 31, 2022$353M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 1, 2026
Mar 31, 20220 then
Employees (5.A)25 as of Jun 1, 2026
Mar 31, 20225 then
Private funds9 as of Jun 1, 2026
Mar 31, 20221 then
RAUM +42% over the last fiscal year+69% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 1, 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
- $252MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%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
- yesreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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=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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••••••• T••••••• S•••••••• F••• I• L••• | Other Private Fund | $822M | 3 | Mar 3, 2022 |
| B•••••••• S••••• C••••• S•••••••• O••••••• F••• I• L••• | Other Private Fund | $309M | 1 | Mar 29, 2024 |
| B•••••••• I••••• S•••••••• E•••••••• F••• L• | Other Private Fund | $187M | 314 | Mar 31, 2023 |
| B•••••••• I••••• S•••••••• E•••••••• O••••••• F••• L• | Other Private Fund | $34.9M | 35 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• J••• L• · Chief Legal Officer; Chief Compliance Officer (03/2024)controlsince 07/2021 · owns less than 5%
- K••• A•••••• L•••••• · Presidentcontrolsince 07/2021 · owns less than 5%
- S••••••••• E•••• J•• · Chief Executive Officer / Chief Investment Officercontrolsince 07/2021 · owns less than 5%
Entity owners
- B•••••••• A••••••• H••••••• L• · Ownerdirect · owns 75% or more
- A•••••••• I•••••••• I••• · Ownerindirect · owns 75% or more of B•••••••• G•••• I•••
- B•••••••• G•••• I••• · General Partnerindirect · owns F of B•••••••• A••••••• H••••••• L•
Related persons
Schedule D 7.A
- A•••••••• I•••••••• I•••real estatey
- A•••••••• I••••••••• B••• C••••n
- B••••• G• L••pooled vehicle sponsorn
- B••• G••• L••pooled vehicle sponsorn
- B•• G••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count surgeChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 12.0 to 25.0 (+108.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (1109 comparable advisers, 100.0th percentile of changes)peers: asset managers, $1B to $5B (1,109) · 100% percentile
What changed
consecutive filings, newest first
- Employees · 12 to 25Dec 8, 2025 to Mar 31, 2026
- Accounts · 10 to 13Dec 8, 2025 to Mar 31, 2026
- Pooled vehicle clients · 10 to 13Dec 8, 2025 to Mar 31, 2026
- Private funds · 7 to 9Dec 8, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.3B to $3.3BDec 8, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.3B to $3.3BDec 8, 2025 to Mar 31, 2026
- RAUM · $2.3B to $3.3BDec 8, 2025 to Mar 31, 2026
- Accounts · 6 to 10Mar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 6 to 10Mar 29, 2024 to Mar 31, 2025
- Employees · 9 to 12Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Private funds · 4 to 7Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.4B to $2.3BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.4B to $2.3BMar 29, 2024 to Mar 31, 2025
- RAUM · $1.4B to $2.3BMar 29, 2024 to Mar 31, 2025
- Accounts · 3 to 6May 22, 2023 to Mar 29, 2024
- Pooled vehicle clients · 3 to 6May 22, 2023 to Mar 29, 2024
- Employees · 5 to 9May 22, 2023 to Mar 29, 2024
- Private funds · 3 to 4May 22, 2023 to Mar 29, 2024
- Discretionary RAUM · $706M to $1.4BMay 22, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $706M to $1.4BMay 22, 2023 to Mar 29, 2024
- RAUM · $706M to $1.4BMay 22, 2023 to Mar 29, 2024
- Discretionary RAUM · $674M to $706MMar 31, 2023 to May 22, 2023
- Pooled vehicle RAUM · $674M to $706MMar 31, 2023 to May 22, 2023
- RAUM · $674M to $706MMar 31, 2023 to May 22, 2023
- Accounts · 1 to 3Oct 3, 2022 to Mar 31, 2023
- Advisory activities · 3 to 1Oct 3, 2022 to Mar 31, 2023
- Pooled vehicle clients · 1 to 3Oct 3, 2022 to Mar 31, 2023
- Private funds · 1 to 3Oct 3, 2022 to Mar 31, 2023
- Discretionary RAUM · $353M to $674MOct 3, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $353M to $674MOct 3, 2022 to Mar 31, 2023
- RAUM · $353M to $674MOct 3, 2022 to Mar 31, 2023
- Accounts · unset to 1.0Oct 4, 2021 to Mar 3, 2022
- Business name · B•••••••• A••••••• to B•••••••• A••••••• L••Oct 4, 2021 to Mar 3, 2022
- Pooled vehicle clients · unset to 1.0Oct 4, 2021 to Mar 3, 2022
- Assets in custody · unset to 0.0Oct 4, 2021 to Mar 3, 2022
- Custody of client assets · false to trueOct 4, 2021 to Mar 3, 2022
- Private funds · unset to 1Oct 4, 2021 to Mar 3, 2022
- Discretionary RAUM · unset to 352500000.0Oct 4, 2021 to Mar 3, 2022
- Non-discretionary RAUM · unset to 0.0Oct 4, 2021 to Mar 3, 2022
Signals
6 dated events
- B•••••••• A••••••• L•• reported RAUM $3.3B, up 42% from $2.3B (2025-12-08 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- B•••••••• A••••••• L•• reported RAUM $2.3B, up 71% from $1.4B (2024-03-29 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- B•••••••• A••••••• L•• reported RAUM $1.4B, up 92% from $706.4M (2023-05-22 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Galloway Mary Herms (Chief Compliance Officer) no longer on Schedule A of B•••••••• A••••••• L•• (listed 2023-05-22, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- B•••••••• A••••••• L•• reported RAUM $673.7M, up 91% from $352.5M (2022-10-03 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- B•••••••• A••••••• filed its initial SEC registration (Form ADV)Oct 4, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B•••••••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- b•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-634-9900reportedpublic record, Form ADV, Jun 1, 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