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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Former SEC-registered adviser

A••••• I••••••••• A•••••••• I•••

Former SEC-registered adviserWinter Park, FloridaCRD 106791SEC 801-41177IAPD
Latest filing Mar 23, 2023
First filing on the tape Mar 29, 2012 · 16 filings
RAUM
$948M
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
$948M gross assets
History
16 filings and snapshots on the tape
RAUM$948M as of Mar 23, 2023
Mar 29, 2012$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2023
Mar 29, 20120 then
Employees (5.A)3 as of Mar 23, 2023
Mar 25, 20135 then
Private funds7 as of Mar 23, 2023
Mar 29, 20128 then
RAUM +9.2% over the last fiscal year+2.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2023; 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
$135MderivedRAUM 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
unknownderived1 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
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Custody
$948M, 7 clientsreportedItem 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
  • 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$948M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$948M for 7 clientsreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      12 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• S•••••••• L••• I•••••••• V•• L•••••••Real Estate Fund$285M3Mar 29, 2012
      A••••• S•••••••• L••• I•••••••• V•••• L•••••••Real Estate Fund$232M3Mar 25, 2016
      A••••• S•••••••• L••• I•••••••• V• L•••••••Real Estate Fund$155M3Mar 29, 2012
      A••••• S•••••••• L••• I•••••••• I•• L•••••••Real Estate Fund$107M3Mar 27, 2019
      A••••• S•••••••• L••• I••••••••• L•••no longer reportedReal Estate Fund$98.5M23Mar 29, 2012
      A••••• S•••••••• L••• I•••••••• V••• L•••••••Real Estate Fund$85.4M3Mar 25, 2013
      A••••• S•••••••• L••• I•••••••• X• L••Real Estate Fund$70.8M3Mar 24, 2022
      A••••• S•••••••• L••• I•••••••• I•• •••••••• L•••no longer reportedReal Estate Fund$23.8M30Mar 29, 2012
      A••••• S•••••••• L••• I•••••••• I•• ••••••••• L•••no longer reportedReal Estate Fund$23.1M30Mar 29, 2012
      A••••• S•••••••• L••• I•••••••• I• •••••••• L•••no longer reportedReal Estate Fund$15.6M23Mar 29, 2012
      A••••• S•••••••• L••• I•••••••• I• ••••••••• L•••Real Estate Fund$13.2M23Mar 29, 2012
      A••••• S•••••••• L••• I•••••••• I• ••••••••• L•••no longer reportedReal Estate Fund$12.9M30Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• A•••••• J••• · Senior Vice Presidentcontrol
        since 06/2013 · owns less than 5%
      • L•••• D•••••• E•••••• · Chairmancontrol
        since 12/2013 · owns less than 5%
      • S••••••• M•••••• M•••••• · Executive Vice Presidentcontrol
        since 06/2013 · owns less than 5%
      • L•••• D•••••• E•••••• · Shareholdercontrol
        since 04/1981 · owns 75% or more of R•••••••• H•••••• E••••••••• L•••
      • S••••••• M•••••• M•••••• · Shareholdercontrol
        since 11/2011 · owns 75% or more of A••••• M••••••••• C•••••••••
      • R••••• D•••• S• · Chief Compliance Officer
        since 10/2004 · owns less than 5%
      Entity owners
      • A••••• M••••••••• P••••••• I••• L••••• · Sole Shareholder
        direct · owns 75% or more
      • A•• L••• M••••••••• C••••••••• · Non-Managing Partner
        indirect · owns 25% to 50% of A••••• M••••••••• P••••••• I••• L•••••
      • A••••• M••••••••• C••••••••• · Managing Partner
        indirect · owns 25% to 50% of A••••• M••••••••• P••••••• I••• L•••••
      • R•••••••• H•••••• E••••••••• L••• · Shareholder
        indirect · owns 75% or more of A•• L••• M••••••••• C•••••••••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $895M to $948M
        Mar 24, 2022 to Mar 23, 2023
      • Discretionary RAUM · $868M to $948M
        Mar 24, 2022 to Mar 23, 2023
      • Pooled vehicle RAUM · $868M to $948M
        Mar 24, 2022 to Mar 23, 2023
      • RAUM · $868M to $948M
        Mar 24, 2022 to Mar 23, 2023
      • Accounts · 6 to 7
        Mar 23, 2021 to Mar 24, 2022
      • Pooled vehicle clients · 6 to 7
        Mar 23, 2021 to Mar 24, 2022
      • Private funds · 6 to 7
        Mar 23, 2021 to Mar 24, 2022
      • Discretionary RAUM · $895M to $868M
        Mar 23, 2021 to Mar 24, 2022
      • Pooled vehicle RAUM · $895M to $868M
        Mar 23, 2021 to Mar 24, 2022
      • RAUM · $895M to $868M
        Mar 23, 2021 to Mar 24, 2022
      • Accounts · 7 to 6
        Apr 1, 2020 to Mar 23, 2021
      • Pooled vehicle clients · 7 to 6
        Apr 1, 2020 to Mar 23, 2021
      • Assets in custody · $814M to $895M
        Apr 1, 2020 to Mar 23, 2021
      • Private funds · 7 to 6
        Apr 1, 2020 to Mar 23, 2021
      • Discretionary RAUM · $870M to $895M
        Apr 1, 2020 to Mar 23, 2021
      • Pooled vehicle RAUM · $870M to $895M
        Apr 1, 2020 to Mar 23, 2021
      • RAUM · $870M to $895M
        Apr 1, 2020 to Mar 23, 2021
      • BD registered reps · 2 to 0
        Oct 31, 2019 to Apr 1, 2020
      • Other offices · 1 to 0
        Oct 31, 2019 to Apr 1, 2020
      • Discretionary RAUM · $814M to $870M
        Oct 31, 2019 to Apr 1, 2020
      • Pooled vehicle RAUM · $814M to $870M
        Oct 31, 2019 to Apr 1, 2020
      • RAUM · $814M to $870M
        Oct 31, 2019 to Apr 1, 2020
      • Assets in custody · $861M to $814M
        Mar 27, 2019 to Oct 31, 2019
      • Discretionary RAUM · $861M to $814M
        Mar 27, 2019 to Oct 31, 2019
      • Pooled vehicle RAUM · $861M to $814M
        Mar 27, 2019 to Oct 31, 2019
      • RAUM · $861M to $814M
        Mar 27, 2019 to Oct 31, 2019
      • Related broker-dealer · true to false
        Mar 27, 2019 to Oct 31, 2019
      • Accounts · 8 to 7
        Mar 27, 2018 to Mar 27, 2019
      • Pooled vehicle clients · 8 to 7
        Mar 27, 2018 to Mar 27, 2019
      • Assets in custody · $833M to $861M
        Mar 27, 2018 to Mar 27, 2019
      • Employees · 4 to 3
        Mar 27, 2018 to Mar 27, 2019
      • Private funds · 8 to 7
        Mar 27, 2018 to Mar 27, 2019
      • Discretionary RAUM · $838M to $861M
        Mar 27, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $838M to $861M
        Mar 27, 2018 to Mar 27, 2019
      • RAUM · $838M to $861M
        Mar 27, 2018 to Mar 27, 2019
      • Pooled vehicle clients · unset to 8.0
        Mar 10, 2017 to Mar 27, 2018
      • Other offices · unset to 1.0
        Mar 10, 2017 to Mar 27, 2018
      • Discretionary RAUM · $833M to $838M
        Mar 10, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 837766900.0
        Mar 10, 2017 to Mar 27, 2018
      • RAUM · $833M to $838M
        Mar 10, 2017 to Mar 27, 2018
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda 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

      A••••• 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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