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
C••••••••• I••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 55 filings
SEC status approved since Apr 2, 1996
RAUM
$31B
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
45
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
55 filings and snapshots on the tape
RAUM$31B as of Mar 31, 2026
Mar 29, 2012$6.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)45 as of Mar 31, 2026
Mar 25, 201312 then
Private funds: 4
RAUM +20% over the last fiscal year+42% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $2.1BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 46%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
- +20%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, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$14B46%
- Investment companies$12B39%
- Corporations and businesses$4.3B14%
- Pooled investment vehicles$494M1.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 15reported
- 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=0.41 institutional_share=0.46 related_bd=true related_bank=false bd_reps=6.0derived
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•••••••• R•••••• T••• · Treasurercontrolsince 08/2004 · owns less than 5%
- E•••• J•••••••• M••••• · Director,controlsince 05/2024 · owns less than 5%
- H•••••• M•••• A••••• · Chief Operating Officercontrolsince 04/2024 · owns less than 5%
- J•••• S••••• · Director, Presidentcontrolsince 02/2024 · owns less than 5%
- M••••• M••••• K• · General Counselcontrolsince 03/2024 · owns less than 5%
- R•••••••• G•••• R•••••• · Directorcontrolsince 08/2015 · owns less than 5%
- C•••••••• P•••••••• F••••••• · Trusteecontrolsince 03/2022 · owns 25% to 50% of C••••• D• D•••• E• P•••••••• D• Q••••• V••••• T•••• •••••••
- H••••••• S•••• S••••• · Trusteecontrolsince 10/2023 · owns F of O•••••• T•••••• P•••••• P••• V••••• T•••• •••••••
- L••••••••• M••••• · Trusteecontrolsince 10/2023 · owns F of C••••• D• D•••• E• P•••••••• D• Q••••• V••••• T•••• •••••••
- N••••••• G••••••• S•••• · Trusteecontrolsince 03/2022 · owns 25% to 50% of O•••••• T•••••• P•••••• P••• V••••• T•••• •••••••
- B•••••• M•••• A•• · Directorsince 09/2024 · owns less than 5%
- J••••• C••••••• H••••• · Chief Compliance Officersince 11/2024 · owns less than 5%
Entity owners
- C••••••••• I••••••••• I••• · Shareholderdirect · owns 75% or more
- C••••• D• D•••• E• P•••••••• D• Q••••• V••••• T•••• ••••••• · Shareholderindirect · owns 25% to 50% of C••••••••• I•••••••• G• L••
- C••••••••• I•••••••• G• L•• · Shareholderindirect · owns 75% or more of O••• H••••••• L•
- C••••••••• I•••••••• H•••••••• I••• · Shareholderindirect · owns 75% or more of C••••••••• I••••••••• I•••
- O••• H••••••• G• L•• · Shareholderindirect · owns 50% to 75% of C••••••••• I•••••••• H•••••••• I•••
- O••• H••••••• L• · Shareholderindirect · owns 75% or more of O••• H••••••• G• L••
- O•••••• T•••••• P•••••• P••• V••••• T•••• ••••••• · Shareholderindirect · owns 25% to 50% of C••••••••• I•••••••• G• L••
Related persons
Schedule D 7.A
- A••••••• D••••••••• I•••broker-dealern
- A••••••• L••• A•••••••• C•••••••••real estatecustodiann
- A••••••• L••• I•••••••• C••••••real estatecustodiany
- C•••••• R• C••••••• I••real estaten
- K•••••• R•• I•••real estaten
- M••••••••• R•• I•••real estaten
- N••••••• S••••••• L••• A•• A•••••• C••••••real estaten
- O••• I••••••••• D• B•••••real estaten
- O••• N••••••• I•••••••• A•••••• I•••real estaten
- O••• N••••••• S•••••• D• V••• S•••real estaten
- O••• N••••••• S•••••• D• V••• S•••real estaten
- O• I••••••••• M••••••••• C•investment advisernRAUM $3.2B
- S•••••• C•••••• R•• L••real estaten
- S••••••• R•• L•••real estaten
- T•• O••• E••••• S•••• C••••••broker-dealern
Advisers that list C••••••••• I••••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2026-02-11, yes on the filing of 2026-03-31peers: other advisers, $20B and over (120)
- business activity changedChange between filings · filing Mar 31, 2026advises private funds (Item 7.B): no on the filing of 2026-02-11, yes on the filing of 2026-03-31peers: other advisers, $20B and over (120)
- employee count surgeChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 22.0 to 45.0 (+105.0%) between the annual amendments of 2025-04-02 and 2026-03-31; the peer median change was +3.0% (111 comparable advisers, 100.0th percentile of changes)peers: other advisers, $20B and over (111) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 33 to 15Feb 11, 2026 to Mar 31, 2026
- Advisory employees · 6 to 8Feb 11, 2026 to Mar 31, 2026
- Advisory activities · 2 to 3Feb 11, 2026 to Mar 31, 2026
- BD registered reps · 4 to 6Feb 11, 2026 to Mar 31, 2026
- Corporate clients · unset to 9.0Feb 11, 2026 to Mar 31, 2026
- Pooled vehicle clients · unset to 4.0Feb 11, 2026 to Mar 31, 2026
- Assets in custody · $3.3B to $479MFeb 11, 2026 to Mar 31, 2026
- Employees · 22 to 45Feb 11, 2026 to Mar 31, 2026
- Private funds · unset to 4Feb 11, 2026 to Mar 31, 2026
- Discretionary RAUM · $26B to $31BFeb 11, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · unset to 494240096.0Feb 11, 2026 to Mar 31, 2026
- RAUM · $26B to $31BFeb 11, 2026 to Mar 31, 2026
- Accounts · 2 to 33Nov 20, 2024 to Apr 2, 2025
- Advisory employees · 5 to 6Nov 20, 2024 to Apr 2, 2025
- Employees · 21 to 22Nov 20, 2024 to Apr 2, 2025
- Financial planning clients · unset to Nov 20, 2024 to Apr 2, 2025
- Discretionary RAUM · $12B to $26BNov 20, 2024 to Apr 2, 2025
- RAUM · $12B to $26BNov 20, 2024 to Apr 2, 2025
- Business name · O••• N••••••• I••••••••• I•• to C••••••••• I••••••••• I•••Apr 29, 2024 to May 22, 2024
- Legal name · O••• N••••••• I••••••••• I•• to C••••••••• I••••••••• I•••Apr 29, 2024 to May 22, 2024
- Assets in custody · unset to 3269000000.0Mar 18, 2024 to Apr 8, 2024
- Advisory employees · 4 to 5Dec 4, 2023 to Feb 16, 2024
- BD registered reps · 5 to 4Dec 4, 2023 to Feb 16, 2024
- Discretionary RAUM · $11B to $12BDec 4, 2023 to Feb 16, 2024
- RAUM · $11B to $12BDec 4, 2023 to Feb 16, 2024
- BD registered reps · 4 to 5Nov 28, 2022 to Mar 9, 2023
- Employees · 19 to 21Nov 28, 2022 to Mar 9, 2023
- Discretionary RAUM · $12B to $11BNov 28, 2022 to Mar 9, 2023
- RAUM · $12B to $11BNov 28, 2022 to Mar 9, 2023
- Advisory employees · 5 to 4Nov 30, 2021 to Feb 25, 2022
- BD registered reps · 5 to 4Nov 30, 2021 to Feb 25, 2022
- Discretionary RAUM · $9.7B to $12BNov 30, 2021 to Feb 25, 2022
- RAUM · $9.7B to $12BNov 30, 2021 to Feb 25, 2022
- Advisory employees · 6 to 5Dec 4, 2020 to Feb 18, 2021
- Employees · 20 to 19Dec 4, 2020 to Feb 18, 2021
- Discretionary RAUM · $9.4B to $9.7BDec 4, 2020 to Feb 18, 2021
- RAUM · $9.4B to $9.7BDec 4, 2020 to Feb 18, 2021
- Employees · 19 to 20Jan 8, 2020 to Mar 16, 2020
- Discretionary RAUM · $9.1B to $9.4BJan 8, 2020 to Mar 16, 2020
- RAUM · $9.1B to $9.4BJan 8, 2020 to Mar 16, 2020
Signals
15 dated events
- C••••••••• I••••••••• I••• reported RAUM $26.3B, up 124% from $11.7B (2024-11-20 to 2025-04-02)Apr 2, 2025 · RAUM change · derived
- F••••••• C••••• P•••• (Chief Compliance Officer) no longer on Schedule A of C••••••••• I••••••••• I••• (listed 2024-10-18, absent 2024-11-20)Nov 20, 2024 · Control person left · inference
- F••••••• C••••• P•••• (Chief Compliance Officer) appeared on Schedule A of C••••••••• I••••••••• I•••Sep 26, 2024 · Control person joined · fact
- Keith John Dwyer (Director & Chief Compliance Officer) no longer on Schedule A of C••••••••• I••••••••• I••• (listed 2024-07-01, absent 2024-09-26)Sep 26, 2024 · Control person left · inference
- Morton Jonathan Egol (Director,) appeared on Schedule A of C••••••••• I••••••••• I•••Jul 1, 2024 · Control person joined · fact
- Marc Hargis (Chief Operating Officer) appeared on Schedule A of C••••••••• I••••••••• I•••Apr 8, 2024 · Control person joined · fact
- K M•••• M•••• (General Counsel) appeared on Schedule A of C••••••••• I••••••••• I•••Apr 8, 2024 · Control person joined · fact
- Sachin Jain (President) appeared on Schedule A of C••••••••• I••••••••• I•••Mar 18, 2024 · Control person joined · fact
- M••••• L••••••••• (Trustee) appeared on Schedule A of C••••••••• I••••••••• I•••Feb 16, 2024 · Control person joined · fact
- Hart Jeffrey Markusson (Trustee) no longer on Schedule A of C••••••••• I••••••••• I••• (listed 2023-12-04, absent 2024-02-16)Feb 16, 2024 · Control person left · inference
- Salman Syed Hasnain (Trustee) appeared on Schedule A of C••••••••• I••••••••• I•••Feb 16, 2024 · Control person joined · fact
- James Paul Gerard (Director & Senior Vice President) no longer on Schedule A of C••••••••• I••••••••• I••• (listed 2022-11-28, absent 2023-03-09)Mar 9, 2023 · Control person left · inference
- Francois Philippe Charette (Trustee) appeared on Schedule A of C••••••••• I••••••••• I•••Nov 28, 2022 · Control person joined · fact
- C•••••• Philip Byrde (Director & Vice President) no longer on Schedule A of C••••••••• I••••••••• I••• (listed 2021-11-30, absent 2022-02-25)Feb 25, 2022 · Control person left · inference
- C••••••••• I••••••••• I••• reported RAUM $11.4B, up 37% from $8.3B (2017-06-07 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
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
- 513-794-6100reportedpublic record, Form ADV, Mar 31, 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
- Other 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