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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
I•••••• I••••••••• A••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 28, 2012 · 40 filings
SEC status approved since Apr 6, 1958
RAUM
$4.4B
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
27
27 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$4.4B as of Mar 24, 2026
Mar 28, 2012$18B then
HNW client RAUM$0 as of Mar 24, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 28, 20120 then
Employees (5.A)27 as of Mar 24, 2026
Apr 1, 201338 then
Private funds: no history
RAUM -5.6% over the last fiscal year-8.1% a year over threeIARs 0 to 0offices 4 to 3
Practice profile
derived from the filing of Mar 24, 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
- $3.9MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.6%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$4.4B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,116reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=3.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• G•••• · M•••••• (Director)controlsince 12/2023 · owns less than 5%
- F••••••• C••••• S• · M•••••• (Director), Vice Presidentcontrolsince 06/2010 · owns less than 5%
- H••••••• T•••••• B••• · Chief Compliance Officercontrolsince 10/2018 · owns less than 5%
- H•••••••• B••••• C••••••••• · President, M•••••• (Director)controlsince 06/2020 · owns less than 5%
- H•••••• A••• · M•••••• (Director)controlsince 12/2023 · owns less than 5%
- R••••••• M•••••• · Secretarycontrolsince 12/2022 · owns less than 5%
- V•••••••• T••••• G••••• · Chief Financial Officercontrolsince 03/2022 · owns less than 5%
- G••••••• M•••• W•••••• · Chief Accounting Officersince 03/2022 · owns less than 5%
Entity owners
- I•••••• A•••••••• I••• · Sole Shareholderdirect · owns 75% or more
- I•••••• G•••• S•••••••• I••• · Sole Shareholderindirect · owns 75% or more of I•••••• A•••••••• I•••
- I•••••• H•••••• C•••••• •••• I••• · Sole Shareholderindirect · owns 75% or more of O••••••••• A••••••••• C•••• •••••
- I•••••• H•••••• C•••••• L•••••• · Sole Shareholderindirect · owns 75% or more of I•••••• H•••••• C•••••• •••• I•••
- I•••••• L•• · Sole Shareholderindirect · owns 75% or more of I•••••• H•••••• C•••••• L•••••• · public reporting company
- O••••••••• A••••••••• C•••• ••••• · Sole Shareholderindirect · owns 75% or more of O••••••••• I••• •••
- O••••••••• I••• ••• · Sole Shareholderindirect · owns 75% or more of I•••••• G•••• S•••••••• I•••
Related persons
Schedule D 7.A
- H••••••••• A•••• M••••••••• C•••••••••investment adviserbankpooled vehicle sponsornRAUM $386M
- Redblack Advisers, Inc.investment advisernRAUM $824M
- I•••••• A•••••••• I•••investment adviserbankyRAUM $750B
- I•••••• A•••• M••••••••• •••••• P••• L•••investment advisernRAUM $10B
- I•••••• A•••• M••••••••• •••••• L••••••investment advisernRAUM $76B
- I•••••• M••••••••• S•••investment advisernRAUM $49B
- I•••••• A•••• M••••••••• L•••investment advisernRAUM $188B
- I••••••investment adviserbanknRAUM $20B
- I•••••• C•••••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $941B
- I•••••• C•••••• M••••••• I•••broker-dealern
- I•••••• C•• E••••• F••• 3• L•••investment adviserpooled vehicle sponsorn
- I•••••• C•• E••••• F••• I• L•••investment adviserpooled vehicle sponsorn
- I•••••• D••••••••• I•••broker-dealern
- I•••••• E••••••• Rr L.Pinvestment advisernRAUM $1.4B
- I•••••• F••• M••••••• L••pooled vehicle sponsorn
- I•••••• H••• K••• L••••••investment advisernRAUM $26B
- I•••••• I••••••••• M••••••••• L••pooled vehicle sponsorn
- I•••••• L••• M••••••• L••investment adviserpooled vehicle sponsornRAUM $18B
- I•••••• M•••••• A•••••••• L••investment adviserbanknRAUM $31B
- I•••••• M••••••••• S•••pooled vehicle sponsorn
- I•••••• P••••••• L••real estaten
- I•••••• P•••••• C••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $860M
- I•••••• R••• E••••• Management S.à R.L.investment advisernRAUM $13B
- I•••••• Rr Fund L.Pinvestment adviserpooled vehicle sponsornRAUM $3.6B
- I•••••• S••••• S•••••• M••••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $29B
- I•••••• S••••••••• P•••••••• L••pooled vehicle sponsorn
- I•••••• T•••• C••••••• I•••n
- I•• ••••••• L••••••investment adviserpooled vehicle sponsorn
- O••••••••• I••investment adviserpooled vehicle sponsoryRAUM $827,684
- W• R••• • C•• L••investment adviserbankpooled vehicle sponsornRAUM $225M
Advisers that list I•••••• I••••••••• A••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA1 employees
What changed
consecutive filings, newest first
- Accounts · 1,227 to 1,116Mar 5, 2025 to Mar 24, 2026
- Advisory employees · 28 to 27Mar 5, 2025 to Mar 24, 2026
- BD registered reps · 4 to 3Mar 5, 2025 to Mar 24, 2026
- Employees · 28 to 27Mar 5, 2025 to Mar 24, 2026
- Other offices · 4 to 3Mar 5, 2025 to Mar 24, 2026
- Discretionary RAUM · $4.6B to $4.4BMar 5, 2025 to Mar 24, 2026
- RAUM · $4.6B to $4.4BMar 5, 2025 to Mar 24, 2026
- Accounts · 1,301 to 1,227Nov 25, 2024 to Mar 5, 2025
- Advisory employees · 10 to 28Nov 25, 2024 to Mar 5, 2025
- Employees · 10 to 28Nov 25, 2024 to Mar 5, 2025
- Financial planning clients · unset to Nov 25, 2024 to Mar 5, 2025
- Other offices · 1 to 4Nov 25, 2024 to Mar 5, 2025
- Discretionary RAUM · $5.1B to $4.6BNov 25, 2024 to Mar 5, 2025
- RAUM · $5.1B to $4.6BNov 25, 2024 to Mar 5, 2025
- Accounts · 1,382 to 1,301Apr 11, 2023 to Mar 20, 2024
- Advisory employees · 25 to 10Apr 11, 2023 to Mar 20, 2024
- BD registered reps · 16 to 4Apr 11, 2023 to Mar 20, 2024
- Employees · 25 to 10Apr 11, 2023 to Mar 20, 2024
- Insurance-licensed employees · 7 to 2Apr 11, 2023 to Mar 20, 2024
- Other offices · 2 to 1Apr 11, 2023 to Mar 20, 2024
- Discretionary RAUM · $5.6B to $5.1BApr 11, 2023 to Mar 20, 2024
- RAUM · $5.6B to $5.1BApr 11, 2023 to Mar 20, 2024
- Accounts · 1,442 to 1,382Mar 30, 2022 to Mar 30, 2023
- Advisory employees · 26 to 25Mar 30, 2022 to Mar 30, 2023
- BD registered reps · 19 to 16Mar 30, 2022 to Mar 30, 2023
- Employees · 26 to 25Mar 30, 2022 to Mar 30, 2023
- Insurance-licensed employees · 9 to 7Mar 30, 2022 to Mar 30, 2023
- Other offices · 1 to 2Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $7.6B to $5.6BMar 30, 2022 to Mar 30, 2023
- RAUM · $7.6B to $5.6BMar 30, 2022 to Mar 30, 2023
- Accounts · 1,573 to 1,442Nov 8, 2021 to Mar 29, 2022
- Advisory employees · 27 to 26Nov 8, 2021 to Mar 29, 2022
- BD registered reps · 21 to 19Nov 8, 2021 to Mar 29, 2022
- Employees · 27 to 26Nov 8, 2021 to Mar 29, 2022
- Insurance-licensed employees · 11 to 9Nov 8, 2021 to Mar 29, 2022
- Other offices · 2 to 1Nov 8, 2021 to Mar 29, 2022
- Discretionary RAUM · $8.1B to $7.6BNov 8, 2021 to Mar 29, 2022
- RAUM · $8.1B to $7.6BNov 8, 2021 to Mar 29, 2022
- Accounts · 1,671 to 1,573Mar 2, 2020 to Mar 3, 2021
- Advisory employees · 28 to 27Mar 2, 2020 to Mar 3, 2021
Signals
17 dated events
- Adam Henkel (Manager (Director)) appeared on Schedule A of I•••••• I••••••••• A••••••• L••Mar 20, 2024 · Control person joined · fact
- Ryan Andrew Schlossberg (Director) no longer on Schedule A of I•••••• I••••••••• A••••••• L•• (listed 2023-04-11, absent 2024-03-20)Mar 20, 2024 · Control person left · inference
- Mark John Zerr (Director) no longer on Schedule A of I•••••• I••••••••• A••••••• L•• (listed 2023-04-11, absent 2024-03-20)Mar 20, 2024 · Control person left · inference
- G•••• B•••••••• (Manager (Director)) appeared on Schedule A of I•••••• I••••••••• A••••••• L••Mar 20, 2024 · Control person joined · fact
- S Craig Falduto (Manager (Director), Vice President) appeared on Schedule A of I•••••• I••••••••• A••••••• L••Mar 20, 2024 · Control person joined · fact
- H••••• J•••••• K•••• (Secretary, General Counsel) no longer on Schedule A of I•••••• I••••••••• A••••••• L•• (listed 2022-03-30, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- I•••••• I••••••••• A••••••• L•• reported RAUM $5.6B, down 26% from $7.6B (2022-03-30 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Melanie Ringold (Secretary) appeared on Schedule A of I•••••• I••••••••• A••••••• L••Mar 30, 2023 · Control person joined · fact
- G••••• T•••• V••••••• (Chief Financial Officer) appeared on Schedule A of I•••••• I••••••••• A••••••• L••Mar 29, 2022 · Control person joined · fact
- Janecka Annette Lege (Treasurer And Chief Financial Officer) no longer on Schedule A of I•••••• I••••••••• A••••••• L•• (listed 2021-11-08, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- Kevin Gary Wendler (Director) no longer on Schedule A of I•••••• I••••••••• A••••••• L•• (listed 2021-11-08, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- Corey Brandon Burke (Financial And Operations Principal) no longer on Schedule A of I•••••• I••••••••• A••••••• L•• (listed 2021-11-08, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- Mark Steven Massoni (Director, President) no longer on Schedule A of I•••••• I••••••••• A••••••• L•• (listed 2020-03-02, absent 2021-03-03)Mar 3, 2021 · Control person left · inference
- C••••••••• B•••• H••••••• (Director, President) appeared on Schedule A of I•••••• I••••••••• A••••••• L••Mar 3, 2021 · Control person joined · fact
- Philip Taylor (Director) no longer on Schedule A of I•••••• I••••••••• A••••••• L•• (listed 2018-10-25, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Ryan Andrew Schlossberg (Director) appeared on Schedule A of I•••••• I••••••••• A••••••• L••Mar 28, 2019 · Control person joined · fact
- H••••• J•••••• K•••• (Secretary, General Counsel) appeared on Schedule A of I•••••• I••••••••• A••••••• L••Mar 28, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-214-1919reportedpublic record, Form ADV, Mar 24, 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