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••••••••• C••••••• L••
Latest filing Sep 4, 2026
First filing on the tape Sep 30, 2022 · 10 filings
SEC status approved since Nov 14, 2022
RAUM
$738M
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
34
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$738M as of Jun 26, 2026
Mar 24, 2023$139M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Jun 26, 2026
Mar 24, 20235 then
Employees (5.A)34 as of Jun 26, 2026
Mar 24, 202310 then
Private funds11 as of Jun 26, 2026
Mar 24, 20232 then
RAUM -0.2% over the last fiscal year+75% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
- RAUM per advisor
- $184MderivedRAUM 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
- $73.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.2%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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$688M93%
- Investment companies$50.3M6.8%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- n/areported
- 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=true bd_reps=9.0derived
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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••• C•••••• G••••• F••• I• L•••••• P••••••••• | Private Equity Fund | $311M | 195 | Mar 31, 2021 |
| B•••• V•••••• P••••••• V• L• | Private Equity Fund | $189M | 190 | Mar 24, 2023 |
| B•••• C•••••• G••••• F••• I• L• | Private Equity Fund | $137M | 130 | Mar 14, 2017 |
| B••• I• S•••••• A••••••••• L•••••• P••••••••• | Private Equity Fund | $90.0M | 80 | Mar 31, 2021 |
| B••• I• S•••••• A••••••••• L• | Private Equity Fund | $40.5M | 40 | Mar 14, 2017 |
| B•••• C•••••• G••••• F••• I••• L• | Private Equity Fund | $6.4M | 2 | Mar 21, 2018 |
| B•• V• S•••••• A••••••••• F••• L• | Private Equity Fund | $5.0M | 20 | Mar 24, 2023 |
Owners and control persons
Schedule A and B, latest filing
- P•••••• A•••••• M•••• · Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- P••• G•••••• G••••• · Managercontrolsince 07/2022 · owns less than 5%
- S••••••• P•••• L•• · Chief Legal Officersince 07/2022 · owns less than 5%
Entity owners
- R••••• W• B•••• • C•• I••••••••• · Memberdirect · owns 75% or more
- B•••• F•••••••• C••••••••• · Shareholderindirect · owns 75% or more of R••••• W• B•••• • C•• I•••••••••
- B•••• F•••••••• G••••• I••• · Shareholderindirect · owns 75% or more of B•••• F•••••••• C•••••••••
Related persons
Schedule D 7.A
- B•••• C•••••• ••••••••• P••• L•••investment advisern
- B•••• C•••••• G••••• F••• M••••••••• I• L•investment adviserpooled vehicle sponsornRAUM $322M
- B•••• C•••••• G••••• F••• M••••••••• I• L••investment adviserpooled vehicle sponsornRAUM $357M
- B•••• C•••••• P••••••• M••••••••• C•••••• V• L••investment adviserpooled vehicle sponsornRAUM $1.5M
- B•••• I•••••••• S•••••••• I•••real estaten
- B•••• I••••••••• A••••••• C•• L•••broker-dealern
- B•••• P•••••••• G•••• M••••••••• C•••••• I• L••investment adviserpooled vehicle sponsornRAUM $22.4M
- B•••• P•••••••• G•••• M••••••••• C•••••• I•• L••investment adviserpooled vehicle sponsornRAUM $81.7M
- B•••• P•••••••• G•••• M••••••••• C••••••• L••investment adviserpooled vehicle sponsornRAUM $83.7M
- B•••• P••••••••• L••investment companyn
- B•••• T•••• C••••••n
- B•••• V•••••• P••••••• G• V•• L••pooled vehicle sponsorn
- B•••• V•••••• P••••••• M••••••••• C•••••• I••• L••investment adviserpooled vehicle sponsornRAUM $1.3M
- B•••• V•••••• P••••••• M••••••••• C•••••• I•• L••investment adviserpooled vehicle sponsornRAUM $252M
- B•••• V•••••• P••••••• M••••••••• C•••••• V• L••investment adviserpooled vehicle sponsornRAUM $195M
- R••••• W• B•••• • C•• I•••••••••broker-dealerinvestment adviserbankpooled vehicle sponsorLP sponsorcustodianyRAUM $394B
Advisers that list B•••• C•••••• M••••••••• C••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL3 employees
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJun 26, 2026 to Sep 4, 2026
- Private funds · 11 to unsetJun 26, 2026 to Sep 4, 2026
- Succession · false to unsetJun 26, 2026 to Sep 4, 2026
- Private funds · 9 to 11Mar 31, 2026 to Jun 26, 2026
- Advisory employees · 5 to 3Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 11 to 9Mar 31, 2025 to Mar 31, 2026
- Employees · 36 to 34Mar 31, 2025 to Mar 31, 2026
- State-registered IARs · 6 to 4Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $740M to $738MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $687M to $688MMar 31, 2025 to Mar 31, 2026
- RAUM · $740M to $738MMar 31, 2025 to Mar 31, 2026
- BD registered reps · 9 to 11Mar 27, 2024 to Mar 31, 2025
- Employees · 26 to 36Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- Private funds · 7 to 9Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $838M to $740MMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $779M to $687MMar 27, 2024 to Mar 31, 2025
- RAUM · $838M to $740MMar 27, 2024 to Mar 31, 2025
- Employees · 27 to 26Oct 19, 2023 to Mar 27, 2024
- State-registered IARs · 7 to 6Oct 19, 2023 to Mar 27, 2024
- Discretionary RAUM · $765M to $838MOct 19, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $711M to $779MOct 19, 2023 to Mar 27, 2024
- RAUM · $765M to $838MOct 19, 2023 to Mar 27, 2024
- Accounts · 3 to 10Mar 24, 2023 to Mar 30, 2023
- Advisory employees · 3 to 5Mar 24, 2023 to Mar 30, 2023
- BD registered reps · 6 to 9Mar 24, 2023 to Mar 30, 2023
- Pooled vehicle clients · 2 to 7Mar 24, 2023 to Mar 30, 2023
- Employees · 10 to 27Mar 24, 2023 to Mar 30, 2023
- State-registered IARs · 5 to 7Mar 24, 2023 to Mar 30, 2023
- Private funds · 2 to 7Mar 24, 2023 to Mar 30, 2023
- Discretionary RAUM · $139M to $765MMar 24, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $127M to $711MMar 24, 2023 to Mar 30, 2023
- RAUM · $139M to $765MMar 24, 2023 to Mar 30, 2023
- Accounts · 0 to 3Oct 18, 2022 to Mar 24, 2023
- Pooled vehicle clients · unset to 2.0Oct 18, 2022 to Mar 24, 2023
- Private funds · unset to 2Oct 18, 2022 to Mar 24, 2023
- Discretionary RAUM · $0 to $139MOct 18, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · unset to 126556000.0Oct 18, 2022 to Mar 24, 2023
- RAUM · $0 to $139MOct 18, 2022 to Mar 24, 2023
- Pooled vehicle clients · 2.0 to unsetSep 30, 2022 to Oct 18, 2022
Signals
2 dated events
- B•••• C•••••• M••••••••• C••••••• L•• reported RAUM $764.7M, up 452% from $138.5M (2023-03-24 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- B•••• C•••••• M••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Sep 30, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B•••• C•••••• M••••••••• C••••••• L•• · Independent Sponsorsshared crd · capital_provider
- B•••• C•••••• M••••••••• C••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/baird-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- r••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 414-765-3500reportedpublic record, Form ADV, Sep 4, 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