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

G•••••• M••••• I••••••••• M••••••••• C•••••••••

Former SEC-registered adviserNew York, New YorkCRD 106939SEC 801-42732IAPD
Latest filing Apr 6, 2017
First filing on the tape Mar 27, 2012 · 22 filings
RAUM
$71B
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
54
24 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$66.9M gross assets
History
22 filings and snapshots on the tape
RAUM$71B as of Mar 6, 2017
Mar 27, 2012$113B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 6, 2017
Mar 27, 20120 then
Employees (5.A)54 as of Mar 6, 2017
Mar 20, 201387 then
Private funds3 as of Mar 6, 2017
Mar 27, 20123 then
RAUM -7.3% over the last fiscal year-4.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 6, 2017; 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
$244MderivedRAUM 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
-7.3%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 assets, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
290reported
Financial planning clients
n/areported
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
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N••••••••• C• H••• G•••• P••••••• I•• L•••no longer reportedReal Estate Fund$460M2Mar 27, 2012
      N••••••••• C••• P••• R••• E••••• I••••••••• P••••••• L•••Real Estate Fund$32.3M2Mar 27, 2012
      G••• A••••••• R••••• S••••••••• F•••• L••Hedge Fund$17.5M4Mar 8, 2016
      N••••••••• O••••••••• R••• E••••• I••••••••• P••••••• L•••Real Estate Fund$17.1M2Mar 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••• D••••• E• · Chief Compliance Officer, Vice President & Lead Counselcontrol
        since 10/2005 · owns less than 5%
      • L••••• T••••• · D•••••Or & Managing D•••••Or - Operations & Enterprise Risk Managementcontrol
        since 04/2017 · owns less than 5%
      • M••••••• R•••••• · Controllercontrol
        since 09/2010 · owns less than 5%
      • S•••• Y••• · D•••••Or, & Managing D•••••Or - Investment Strategycontrol
        since 09/2015 · owns less than 5%
      • S••••••• J•••• S••••• · D•••••Or, & Managing D•••••Or - Alternative Investmentscontrol
        since 09/2015 · owns less than 5%
      • S••••••••• D••••• · D•••••Or, Chief Executive Officer, & Chief Investment Officercontrol
        since 02/2014 · owns less than 5%
      • S••••••• M•••• R••••• · D•••••Or, & Managing D•••••Or - Public M•••Etscontrol
        since 09/2015 · owns less than 5%
      Entity owners
      • G•••••• M••••• A•••• M••••••••• · Owner
        direct · owns 75% or more
      • G•••••• M••••• C•••••• · Shareholder
        indirect · owns 75% or more of G•••••• M••••• A•••• M••••••••• · public reporting company
      Related persons
      Schedule D 7.A
      • G• I••••••••• T••••••• L••••••
        investment adviserbankpooled vehicle sponsorLP sponsorn
      • G••• R••• E••••• I• L••
        y
      • P••••••••• B••••• F••• O• F•••• I• G•• L••
        pooled vehicle sponsorn
      • P••••••••• B••••• I• G• L••
        pooled vehicle sponsorn
      • P••••••••• C••••••••• G•• L••
        pooled vehicle sponsorn
      • P••••••••• D••••• I••••••••• I•• G•• L••
        pooled vehicle sponsorn
      • P••••••••• D••••• I•••••••• I• G•• L••
        pooled vehicle sponsorn
      • P••••••••• D••••• I•••••••• I• G•• L••
        pooled vehicle sponsorn
      • P••••••••• G••••• F••• O• F•••• G•• L••
        pooled vehicle sponsorn
      • P••••••••• H••• C••••••••• G•• L••
        pooled vehicle sponsorn
      • P••••••••• M••••• F••• I• G•• L••
        pooled vehicle sponsorn
      • P••••••••• M••••• I• G• L••
        pooled vehicle sponsorn
      • P••••••••• O••••••••• F••• G•• L••
        pooled vehicle sponsorn
      • P••••••••• V•••••• C•••••• I• G•• L••
        pooled vehicle sponsorn
      • P••••••••• V•••••• C•••••• I• G•• L••
        pooled vehicle sponsorn
      • P••••••••• V•••••• C•••••• I•• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 351 to 290
        Jan 10, 2017 to Mar 6, 2017
      • Advisory employees · 26 to 24
        Jan 10, 2017 to Mar 6, 2017
      • Employees · 59 to 54
        Jan 10, 2017 to Mar 6, 2017
      • Discretionary RAUM · $76B to $71B
        Jan 10, 2017 to Mar 6, 2017
      • RAUM · $76B to $71B
        Jan 10, 2017 to Mar 6, 2017
      • Accounts · 419 to 351
        Jan 8, 2016 to Mar 8, 2016
      • Advisory employees · 25 to 26
        Jan 8, 2016 to Mar 8, 2016
      • Advisory activities · 5 to 4
        Jan 8, 2016 to Mar 8, 2016
      • Employees · 63 to 59
        Jan 8, 2016 to Mar 8, 2016
      • Private funds · 2 to 3
        Jan 8, 2016 to Mar 8, 2016
      • Discretionary RAUM · $75B to $76B
        Jan 8, 2016 to Mar 8, 2016
      • RAUM · $75B to $76B
        Jan 8, 2016 to Mar 8, 2016
      • Accounts · 385 to 419
        Mar 9, 2015 to Jul 27, 2015
      • Advisory employees · 31 to 25
        Mar 9, 2015 to Jul 27, 2015
      • Employees · 73 to 63
        Mar 9, 2015 to Jul 27, 2015
      • Discretionary RAUM · $83B to $75B
        Mar 9, 2015 to Jul 27, 2015
      • RAUM · $83B to $75B
        Mar 9, 2015 to Jul 27, 2015
      • Accounts · 378 to 385
        Jul 18, 2014 to Mar 9, 2015
      • Advisory employees · 37 to 31
        Jul 18, 2014 to Mar 9, 2015
      • Employees · 83 to 73
        Jul 18, 2014 to Mar 9, 2015
      • Discretionary RAUM · $82B to $83B
        Jul 18, 2014 to Mar 9, 2015
      • RAUM · $82B to $83B
        Jul 18, 2014 to Mar 9, 2015
      • Accounts · 340 to 378
        Feb 13, 2014 to Mar 27, 2014
      • Advisory activities · 6 to 5
        Feb 13, 2014 to Mar 27, 2014
      • Employees · 79 to 83
        Feb 13, 2014 to Mar 27, 2014
      • Discretionary RAUM · $86B to $82B
        Feb 13, 2014 to Mar 27, 2014
      • RAUM · $86B to $82B
        Feb 13, 2014 to Mar 27, 2014
      • Advisory employees · 40 to 37
        Mar 20, 2013 to Jun 3, 2013
      • Employees · 87 to 79
        Mar 20, 2013 to Jun 3, 2013
      • Accounts · 670 to 340
        Jan 2, 2013 to Mar 20, 2013
      • Advisory employees · 45 to 40
        Jan 2, 2013 to Mar 20, 2013
      • Assets in custody · 6214662313.0 to unset
        Jan 2, 2013 to Mar 20, 2013
      • Custody of client assets · true to false
        Jan 2, 2013 to Mar 20, 2013
      • Employees · 102 to 87
        Jan 2, 2013 to Mar 20, 2013
      • Discretionary RAUM · $114B to $86B
        Jan 2, 2013 to Mar 20, 2013
      • RAUM · $114B to $86B
        Jan 2, 2013 to Mar 20, 2013
      • Advisory employees · unset to 45.0
        Aug 6, 2012 to Jan 2, 2013
      • Employees · unset to 102.0
        Aug 6, 2012 to Jan 2, 2013
      • Accounts · 588 to 670
        Apr 23, 2012 to Aug 6, 2012
      • Assets in custody · $6.7B to $6.2B
        Apr 23, 2012 to Aug 6, 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
      Across the graphs

      G•••••• M••••• I••••••••• M••••••••• C••••••••• 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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