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
I••••••• C•••••• A•••• M••••••••• L••
Latest filing Jun 5, 2023
First filing on the tape Mar 29, 2012 · 18 filings
RAUM
$394M
reported, Item 5.F
Discretionary
28%
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
13
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
$108M gross assets
History
18 filings and snapshots on the tape
RAUM$394M as of Mar 31, 2023
Mar 29, 2012$112M then
HNW client RAUM$0 as of Mar 31, 2023
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 29, 20120 then
Employees (5.A)13 as of Mar 31, 2023
Jan 31, 201330 then
Private funds1 as of Mar 31, 2023
Mar 29, 20121 then
RAUM -37% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 5, 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
- $131MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 28%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -37%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, subscription, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $108M, 1 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$108M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $108M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- 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
- M•••• B•••••• to M••••• S•••••• L••Mar 30, 2024 · Other
- P••• A••••• to G•••• E•• C•••••• M••••••••• L••Jul 12, 2022 · Other
- E••••• P••• M•••• to P•••••• W••••• A•••••••• L••Aug 27, 2020 · Other
- I•••• O•••• H••• to O•••• W•••••• I•••Aug 26, 2020 · Other
- D•••• W••••• M••••• to S•••••• • C••••••• L••Aug 11, 2020 · Other
- M•••••• T••••• F•••••• to P•••••Apr 21, 2020 · Other
- M••••••• B••• P••••••• to B• R•••• W••••• M•••••••••Oct 28, 2015 · Other
- N•••••••• C•••• to F••••••• I••••••••• W••••• A•••••• L••Jan 29, 2015 · Other
- L•• J••• G••••••• to U•• F•••••••• S••••••• I•••Feb 21, 2014 · Other
- B•••• D• B•••••• to R•• S••••••••• I•••Nov 5, 2012 · Other
Joined, latest
- N•••••••• C•••• from B•••••• F•••••••• S••••••• G••••Nov 3, 2014 · Other
- B•••• D• B•••••• from C••••• A•••••• N••••••• L••Aug 11, 2011 · Other
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••• B••• P•••••••• L•• | Hedge Fund | $108M | 68 | Mar 29, 2012 |
| I• L••••••• I••••• F•••• L••no longer reported | Hedge Fund | $39.8M | 4 | Mar 31, 2020 |
| H••••• C•••• E••••• P•••••• A••• L•••no longer reported | Private Equity Fund | $19.0M | 26 | Feb 14, 2012 |
| H••••• C•••• E••••• P••••••• ••••••• A••• L•••no longer reported | Private Equity Fund | $7.6M | 12 | Feb 14, 2012 |
| H••••• C•••• E••••• P•••••••• L•••no longer reported | Private Equity Fund | $5.5M | 26 | Feb 14, 2012 |
| I• V••••••••• F•••no longer reported | Hedge Fund | $3.5M | 4 | Mar 31, 2014 |
| H••••• C•••• E••••• P••••••• C••••••••• L•••no longer reported | Private Equity Fund | $2.9M | 25 | Feb 14, 2012 |
| H••• P•••••••• L•••no longer reported | Private Equity Fund | $561,536 | 16 | Feb 14, 2012 |
| H••••• C•••• E••••• P••••••• •••••• T•••• L•••no longer reported | Private Equity Fund | $391,602 | 3 | Feb 14, 2012 |
| H••••• C•••• E••••• P••••••• •••••••• L•••no longer reported | Private Equity Fund | $295,165 | 12 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• M•••• C••••••••• · Coo And Cfocontrolsince 09/1997 · owns less than 5%
- R••••• J••••• W••••• · Chairman And Ceocontrolsince 09/1997 · owns less than 5%
- W•••••• T•••• E••••• · Chief Compliance Officercontrolsince 06/2014 · owns less than 5%
- R••••• J••••• W••••• · Membercontrolsince 06/2001 · owns 50% to 75% of I••••••• C•••••• G•••• H•••••••• L••
- W••••••• R••••••• E••• · Membercontrolsince 06/2001 · owns 50% to 75% of I••••••• C•••••• G•••• H•••••••• L••
Entity owners
- I••• H•••••••• L••• · Memberdirect · owns 75% or more
- I••••••• C•••••• G•••• H•••••••• L•• · Memberindirect · owns 75% or more of I••• Holdings, LLC
Related persons
Schedule D 7.A
- I••••••• C•••••• ••••••••• L••broker-dealern
- I••••••• C•••••• S••••••• D• I••••••••• M••••••••broker-dealern
- I••••••• C••••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Palm Beach Gardens, Fl · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY3 employees
- Los Angeles, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 12 to 3Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 8 to 6Mar 31, 2022 to Mar 31, 2023
- BD registered reps · 11 to 8Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 10 to 1Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $250M to $108MMar 31, 2022 to Mar 31, 2023
- Employees · 23 to 13Mar 31, 2022 to Mar 31, 2023
- Private funds · 8 to 1Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $242M to $108MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $387M to $285MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $242M to $108MMar 31, 2022 to Mar 31, 2023
- RAUM · $629M to $394MMar 31, 2022 to Mar 31, 2023
- Advisory employees · 9 to 8Nov 11, 2021 to Mar 31, 2022
- BD registered reps · 12 to 11Nov 11, 2021 to Mar 31, 2022
- Assets in custody · $173M to $250MNov 11, 2021 to Mar 31, 2022
- Employees · 22 to 23Nov 11, 2021 to Mar 31, 2022
- Discretionary RAUM · $173M to $242MNov 11, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $505M to $387MNov 11, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $173M to $242MNov 11, 2021 to Mar 31, 2022
- RAUM · $678M to $629MNov 11, 2021 to Mar 31, 2022
- Accounts · 11 to 12Aug 5, 2020 to Mar 31, 2021
- Advisory employees · 16 to 9Aug 5, 2020 to Mar 31, 2021
- Advisory activities · 2 to 3Aug 5, 2020 to Mar 31, 2021
- BD registered reps · 23 to 12Aug 5, 2020 to Mar 31, 2021
- Pooled vehicle clients · 11 to 10Aug 5, 2020 to Mar 31, 2021
- Assets in custody · $245M to $173MAug 5, 2020 to Mar 31, 2021
- Employees · 28 to 22Aug 5, 2020 to Mar 31, 2021
- HQ city · LOS ANGELES to PALM BEACH GARDENSAug 5, 2020 to Mar 31, 2021
- HQ state · CA to FLAug 5, 2020 to Mar 31, 2021
- State-registered IARs · 20 to 0Aug 5, 2020 to Mar 31, 2021
- Other offices · 0 to 2Aug 5, 2020 to Mar 31, 2021
- Private funds · 2 to 8Aug 5, 2020 to Mar 31, 2021
- Discretionary RAUM · $245M to $173MAug 5, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $0 to $505MAug 5, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $245M to $173MAug 5, 2020 to Mar 31, 2021
- RAUM · $245M to $678MAug 5, 2020 to Mar 31, 2021
- Accounts · 1 to 11Mar 30, 2019 to Mar 31, 2020
- Advisory employees · 17 to 16Mar 30, 2019 to Mar 31, 2020
- BD registered reps · 22 to 23Mar 30, 2019 to Mar 31, 2020
- Pooled vehicle clients · 1 to 11Mar 30, 2019 to Mar 31, 2020
- Assets in custody · $121M to $245MMar 30, 2019 to Mar 31, 2020
Signals
6 dated events
- M•••• B•••••• left I••••••• C•••••• A•••• M••••••••• L•• for M••••• S•••••• L•• (registered 2025-01-27)Mar 30, 2024 · a•••••• firm c••••e · fact
- I••••••• C•••••• A•••• M••••••••• L•• reported RAUM $393.7M, down 37% from $629.0M (2022-03-31 to 2023-03-31)Mar 31, 2023 · ria raum c••••e · derived
- P••• A••••• left I••••••• C•••••• A•••• M••••••••• L•• for G•••• E•• C•••••• M••••••••• L•• (registered 2022-10-25)Jul 12, 2022 · a•••••• firm c••••e · fact
- I••••••• C•••••• A•••• M••••••••• L•• reported 0 state-registered advisory representatives, down from 20 (2020-08-05 to 2021-03-31)Mar 31, 2021 · ria a•••••• headcount c••••e · derived
- I••••••• C•••••• A•••• M••••••••• L•• reported RAUM $678.0M, up 176% from $245.4M (2020-08-05 to 2021-03-31)Mar 31, 2021 · ria raum c••••e · derived
- I••••••• C•••••• A•••• M••••••••• L•• reported RAUM $245.4M, up 104% from $120.6M (2019-03-30 to 2020-03-31)Mar 31, 2020 · ria raum c••••e · derived
Across DFX
shared identifiers only, never a name match
- I••••••• C•••••• A•••• M••••••••• L•• · Private Equityshared crd · organization
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