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
U••••• I••••••••• A•••••••• I•••
Latest filing Aug 4, 2026
First filing on the tape Mar 29, 2012 · 43 filings
SEC status approved since Apr 20, 1990
RAUM
$14B
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
92
58 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
9
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$14B as of Aug 4, 2026
Mar 29, 2012$1.3B then
HNW client RAUM$0 as of Aug 4, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Aug 4, 2026
Mar 27, 20130 then
Employees (5.A)92 as of Aug 4, 2026
Mar 27, 201326 then
Private funds9 as of Aug 4, 2026
Mar 29, 20126 then
RAUM +9.2% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 4, 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
- $557MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.2%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 businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$13B94%
- Pension and profit-sharing plans$531M3.8%
- Insurance companies$224M1.6%
- Banks and thrifts$117M0.8%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 10reported
- Charitable clients
- 0reported
- Accounts
- 25reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.94 institutional_share=0.05 related_bd=true related_bank=true bd_reps=21.0derived
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
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| U••••• I••••••••• T••••••••• F•••• L••• | Private Equity Fund | $4.9B | 270 | Mar 29, 2012 |
| U••••• I••••••••• T•••••• F•••• L••• | Private Equity Fund | $703M | 23 | Mar 27, 2013 |
| U••••• D••••••••• I••••••••• E••••• F•••• L•• | Other Private Fund | $680M | 16 | Mar 29, 2012 |
| T•• U•••• L•••• L••• I•••••••• C•••••• S••••••• A•••••• W• | Other Private Fund | $400M | 59 | Mar 29, 2024 |
| U••••• I••••••••• M••••• F•••• L•••no longer reported | Private Equity Fund | $287M | 28 | Mar 27, 2013 |
| T•• U•••• L•••• L••• I•••••••• C•••••• S••••••• A•••••• R• | Other Private Fund | $199M | 13 | Mar 29, 2024 |
| U••••• I••••••••• S•••• C•• F•••• L••• | Other Private Fund | $90.6M | 2 | Mar 29, 2012 |
| T•• U•••• L•••• L••• I•••••••• C•••••• S••••••• A•••••• C• | Other Private Fund | $39.9M | 9 | Mar 29, 2024 |
| U••••• I••••••••• G•••• T••••no longer reported | Other Private Fund | $17.6M | 4 | Mar 29, 2012 |
| U••••• D••••••••• S••• C•• F•••• L•••no longer reported | Other Private Fund | $5.6M | 1 | Mar 29, 2012 |
| U•••• A••••••••• S••••••••• F••• L•••no longer reported | Hedge Fund | $1.0M | 1 | Mar 29, 2012 |
| T•• U•••• L•••• L••• I•••••••• C•••••• S••••••• A•••••• T• | Other Private Fund | $606,947 | 2 | Mar 29, 2024 |
| U••••• V•••••••• R••• E••••• F••• I• L••• | Real Estate Fund | $0 | 0 | Jul 21, 2023 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• H•••• J•••• · Sr. Vice President, R••• E••••• Equity Fundcontrolsince 06/2023 · owns less than 5%
- H••••• P••••• T• · Sr. Vice Presidentcontrolsince 01/2024 · owns less than 5%
- H•••••••• C••••• A•• · Director, Chief Operating Officercontrolsince 01/2012 · owns less than 5%
- K•••••• H•••••• · Director, Sr. Vice Presidentcontrolsince 02/2011 · owns less than 5%
- L•••••••• R••••••• F•••••• · Chief Compliance Officercontrolsince 07/2011 · owns less than 5%
- L••••••• J•••••• R•••••• · President, Directorcontrolsince 08/2011 · owns less than 5%
- S••••• K••••••• D••••• · Directorcontrolsince 08/2017 · owns less than 5%
- Y•• Y•••• · Chief Financial Officer, Secretary, Treasurer, Directorcontrolsince 02/2024 · owns less than 5%
Entity owners
- U••••• I••• · Beneficial Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- T•• U•••• L•••• L••• I•••••••• C••••••real estaten
- U••••• I••••••••• C••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL16 employees
- Chapel Hill, NC9 employees
- New York, NY3 employees
- Washington, DC2 employees
- Newport Beach, CA2 employees
What changed
consecutive filings, newest first
- HQ city · SILVER SPRING to BETHESDAMar 31, 2026 to Aug 4, 2026
- Accounts · 24 to 25Mar 29, 2025 to Mar 31, 2026
- Advisory employees · 53 to 58Mar 29, 2025 to Mar 31, 2026
- BD registered reps · 18 to 21Mar 29, 2025 to Mar 31, 2026
- Pension plan clients · 9 to 10Mar 29, 2025 to Mar 31, 2026
- Employees · 87 to 92Mar 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $13B to $14BMar 29, 2025 to Mar 31, 2026
- Pension RAUM · $398M to $531MMar 29, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $12B to $13BMar 29, 2025 to Mar 31, 2026
- RAUM · $13B to $14BMar 29, 2025 to Mar 31, 2026
- Accounts · 18 to 24May 30, 2024 to Mar 29, 2025
- Advisory employees · 45 to 53May 30, 2024 to Mar 29, 2025
- Pension plan clients · 4 to 9May 30, 2024 to Mar 29, 2025
- Pooled vehicle clients · 10 to 12May 30, 2024 to Mar 29, 2025
- Employees · 83 to 87May 30, 2024 to Mar 29, 2025
- Financial planning clients · unset to May 30, 2024 to Mar 29, 2025
- Discretionary RAUM · $11B to $13BMay 30, 2024 to Mar 29, 2025
- Pension RAUM · $146M to $398MMay 30, 2024 to Mar 29, 2025
- Pooled vehicle RAUM · $11B to $12BMay 30, 2024 to Mar 29, 2025
- RAUM · $11B to $13BMay 30, 2024 to Mar 29, 2025
- Accounts · 19 to 18Jul 21, 2023 to Mar 29, 2024
- Advisory employees · 41 to 45Jul 21, 2023 to Mar 29, 2024
- BD registered reps · 15 to 18Jul 21, 2023 to Mar 29, 2024
- Pooled vehicle clients · 4 to 10Jul 21, 2023 to Mar 29, 2024
- Employees · 72 to 83Jul 21, 2023 to Mar 29, 2024
- Other offices · 4 to 5Jul 21, 2023 to Mar 29, 2024
- Private funds · 5 to 9Jul 21, 2023 to Mar 29, 2024
- Discretionary RAUM · $10B to $11BJul 21, 2023 to Mar 29, 2024
- Pension RAUM · $101M to $146MJul 21, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $5.7B to $11BJul 21, 2023 to Mar 29, 2024
- RAUM · $10B to $11BJul 21, 2023 to Mar 29, 2024
- Related adviser · true to falseJul 21, 2023 to Mar 29, 2024
- Private funds · 4 to 5May 31, 2023 to Jul 21, 2023
- Advisory employees · 38 to 41Nov 7, 2022 to Mar 31, 2023
- Employees · 69 to 72Nov 7, 2022 to Mar 31, 2023
- Discretionary RAUM · $9.8B to $10BNov 7, 2022 to Mar 31, 2023
- Pension RAUM · $113M to $101MNov 7, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $5.2B to $5.7BNov 7, 2022 to Mar 31, 2023
- RAUM · $9.8B to $10BNov 7, 2022 to Mar 31, 2023
- Related bank · false to trueNov 7, 2022 to Mar 31, 2023
Signals
13 dated events
- J•••• Brian Hale (Director) no longer on Schedule A of U••••• I••••••••• A•••••••• I••• (listed 2023-07-21, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- R D•••• H•••• (Secretary Treasurer, Chief Financial Officer) no longer on Schedule A of U••••• I••••••••• A•••••••• I••• (listed 2023-07-21, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Y•••• Yu (Chief Financial Officer, Secretary, Treasurer, Director) appeared on Schedule A of U••••• I••••••••• A•••••••• I•••Mar 29, 2024 · Control person joined · fact
- T Peter Haley (Sr. Vice President) appeared on Schedule A of U••••• I••••••••• A•••••••• I•••Mar 29, 2024 · Control person joined · fact
- J•••• H••• D••••• (Sr. Vice President, Real Estate Equity Fund) appeared on Schedule A of U••••• I••••••••• A•••••••• I•••Jul 21, 2023 · Control person joined · fact
- Mark Adam Fried (Secretary Treasurer, Chief Financial Officer) no longer on Schedule A of U••••• I••••••••• A•••••••• I••• (listed 2022-11-07, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- R D•••• H•••• (Secretary Treasurer, Chief Financial Officer) appeared on Schedule A of U••••• I••••••••• A•••••••• I•••Mar 31, 2023 · Control person joined · fact
- U••••• I••••••••• A•••••••• I••• reported RAUM $8.2B, up 101% from $4.1B (2020-05-21 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Lundberg Michael Pistner (Vice President) no longer on Schedule A of U••••• I••••••••• A•••••••• I••• (listed 2020-05-21, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- U••••• I••••••••• A•••••••• I••• reported RAUM $4.1B, up 40% from $2.9B (2019-08-13 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Lundberg Michael Pistner (Vice President) appeared on Schedule A of U••••• I••••••••• A•••••••• I•••Mar 30, 2020 · Control person joined · fact
- U••••• I••••••••• A•••••••• I••• reported RAUM $2.9B, up 42% from $2.1B (2019-01-04 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- U••••• I••••••••• A•••••••• I••• reported RAUM $1.9B, up 26% from $1.5B (2017-06-06 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- U••••• I••••••••• A•••••••• I••• · Independent Sponsorsshared crd · capital_provider
- U••••• I••••••••• A•••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/U•••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- ullico-urs.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 202-962-8951reportedpublic record, Form ADV, Aug 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
Across the graphs
U••••• I••••••••• A•••••••• I••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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