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•••• G••••• M••••••••• L••
Latest filing Oct 21, 2013
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
$688M
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
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$12B as of Mar 18, 2013
Mar 30, 2012$30B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 6
Employees (5.A): 135
Private funds9 as of Mar 18, 2013
Mar 30, 20128 then
RAUM -98% over the last fiscal year
Practice profile
derived from the filing of Oct 21, 2013; 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
- $344MderivedRAUM 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
- -61%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
- otherreportedItem 5.G
- 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)
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• I••••••••• E••••• I• G•••• T•••• F••• | Other Private Fund | $204M | 19 | Mar 30, 2012 |
| A•••• I••••••••• E••••• F••• L•• | Other Private Fund | $181M | 3 | Mar 30, 2012 |
| A•••• I••••••••• E••••• I• F••• L•• | Other Private Fund | $111M | 9 | Mar 30, 2012 |
| A•••• G••••• E••••• G•••• T•••• F••• | Other Private Fund | $39.4M | 1 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• G•••• R••••• · President, Chief Executive Officer, Head Of The Americascontrolsince 05/2013 · owns less than 5%
- N••••••• J•••••••• A•• · Director, Vice President, Global Head Of Legalcontrolsince 05/2013 · owns less than 5%
- S•••••••• A•••••• G••• · Chief Compliance Officercontrolsince 09/2013 · owns less than 5%
- S••••• A•••••• A••••••• · Vice President, Treasurer And Chief Executive Officersince 05/2013 · owns less than 5%
Entity owners
- A•••• G••••• H••••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Abrdn Investments L••••••investment advisernRAUM $207B
- Abrdn A••• L••••••investment advisernRAUM $40B
- A••••••• A•••• M••••••••• C••••• L••••••investment advisern
- A••••••• A•••• M••••••••• C••••• L••••••pooled vehicle sponsorn
- A••••••• A•••• M••••••••• C•••••• L••••••investment advisern
- A••••••• A•••• M••••••••• C•••••••• A••investment advisern
- A••••••• A•••• M••••••••• D•••••• A••investment advisern
- A••••••• A•••• M••••••••• D••••••••• A•investment advisern
- A••••••• A•••• M••••••••• F•••••• O•investment advisern
- A••••••• A•••• M••••••••• F••••• S•n
- A••••••• A•••• M••••••••• G•••••• S••investment advisern
- A••••••• A•••• M••••••••• H•••••• A••••••••• Z••investment advisern
- Abrdn Inc.investment advisernRAUM $41B
- A••••••• A•••• M••••••••• L••• A•• P••••••• L••••••real estaten
- Abrdn Australia L••••••investment adviseryRAUM $2.4B
- A••••••• A•••• M••••••••• N••••• A•investment advisern
- A••••••• A•••• M••••••••• O••••••••• A•insurancen
- A••••••• A•••• M••••••••• S••• B••investment advisern
- A••••••• A•••• M••••••••• S••••••• L••••••investment advisern
- A••••••• A•••• M••••••• S••••••••• A•broker-dealern
- A••••••• D• B••••• G••••• D• R••••••• L•••investment advisern
- A••••••• E••••••• B••••••• P••••••• F••• S••••pooled vehicle sponsorn
- A••••••• E••••••• S••••••• P••••••• F••• S••••••••pooled vehicle sponsorn
- A••••••• F••• D••••••••• L••broker-dealern
- A••••••• F••• M••••••••• I•••••• L••••••investment advisern
- A••••••• F••• M••••••• L••••••investment advisern
- A••••••• G•••••• P•••••• C••••• L••••••pooled vehicle sponsorn
- A••••••• G•••••• P•••••• C•••• L••••••pooled vehicle sponsorn
- A••••••• G•••••• P•••••• C•••••••• L••••••pooled vehicle sponsorn
- A••••••• G•••••• P•••••• C•••• I• L••••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 25 to 13Jun 18, 2013 to Oct 21, 2013
- BD registered reps · 5 to 0Jun 18, 2013 to Oct 21, 2013
- Assets in custody · $12B to $0Jun 18, 2013 to Oct 21, 2013
- Custody of client assets · true to falseJun 18, 2013 to Oct 21, 2013
- Employees · 80 to 16Jun 18, 2013 to Oct 21, 2013
- HQ city · NEW YORK to PHILADELPHIAJun 18, 2013 to Oct 21, 2013
- HQ state · NY to PAJun 18, 2013 to Oct 21, 2013
- State-registered IARs · 3 to 0Jun 18, 2013 to Oct 21, 2013
- Discretionary RAUM · $716M to $688MJun 18, 2013 to Oct 21, 2013
- RAUM · $716M to $688MJun 18, 2013 to Oct 21, 2013
- Advisory employees · 13 to 0Oct 21, 2013 to Oct 21, 2013
- Employees · 16 to 0Oct 21, 2013 to Oct 21, 2013
- Accounts · 37 to 2Mar 19, 2013 to Jun 18, 2013
- Advisory employees · 41 to 25Mar 19, 2013 to Jun 18, 2013
- Advisory activities · 3 to 1Mar 19, 2013 to Jun 18, 2013
- BD registered reps · 22 to 5Mar 19, 2013 to Jun 18, 2013
- Assets in custody · $1.6B to $12BMar 19, 2013 to Jun 18, 2013
- Employees · 135 to 80Mar 19, 2013 to Jun 18, 2013
- State-registered IARs · 6 to 3Mar 19, 2013 to Jun 18, 2013
- Private funds · 9 to unsetMar 19, 2013 to Jun 18, 2013
- Discretionary RAUM · $12B to $716MMar 19, 2013 to Jun 18, 2013
- RAUM · $12B to $716MMar 19, 2013 to Jun 18, 2013
- Related adviser · false to trueMar 19, 2013 to Jun 18, 2013
- Related insurance company · false to trueMar 19, 2013 to Jun 18, 2013
- Accounts · 40 to 37Feb 12, 2013 to Mar 18, 2013
- Discretionary RAUM · $15B to $12BFeb 12, 2013 to Mar 18, 2013
- RAUM · $15B to $12BFeb 12, 2013 to Mar 18, 2013
- Private funds · 8 to 9Dec 21, 2012 to Feb 12, 2013
- Accounts · 101 to 40Jun 15, 2012 to Dec 21, 2012
- Advisory employees · unset to 41.0Jun 15, 2012 to Dec 21, 2012
- BD registered reps · unset to 22.0Jun 15, 2012 to Dec 21, 2012
- Assets in custody · $4.9B to $1.6BJun 15, 2012 to Dec 21, 2012
- Employees · unset to 135.0Jun 15, 2012 to Dec 21, 2012
- State-registered IARs · unset to 6.0Jun 15, 2012 to Dec 21, 2012
- Discretionary RAUM · $30B to $15BJun 15, 2012 to Dec 21, 2012
- RAUM · $30B to $15BJun 15, 2012 to Dec 21, 2012
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