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•••••••• N•••• A••••••• I•••

Former SEC-registered adviserChicago, IllinoisCRD 109481SEC 801-56466IAPD
Latest filing Oct 3, 2013
First filing on the tape Nov 15, 2011 · 10 filings
RAUM
$242M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$68B as of Mar 28, 2013
Mar 28, 2012$61B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2013
Mar 28, 20120 then
Employees (5.A): 200
Private funds1 as of Mar 28, 2013
Mar 28, 20121 then
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 3, 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
$242MderivedRAUM 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
+12%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • I••••••••• L••• · Chief Compliance Officercontrol
        since 10/2013 · owns less than 5%
      • O••••••• P••••••• J• · President, Chief Executive Officercontrol
        since 10/2013 · owns less than 5%
      • P••••••• C••••••• G••• · Chief Financial Officercontrol
        since 10/2013 · owns less than 5%
      • P••••••••• A••••• C•••••• · Chief Legal Officer, Secretarycontrol
        since 10/2013 · owns less than 5%
      Entity owners
      • A•••• I•••••••• N•••• A•••••• H••••••• I••• · Owner
        direct · owns 75% or more
      • A•••• G•••• H•••••••• L••• · Shareholder
        indirect · owns 75% or more of A•••• International Insurance Ltd.
      • A•••• I•••••••• H•••••••• L•• · Shareholder
        indirect · owns 75% or more of A•••• Investors N•••• A•••••• Holdings, Ltd
      • A•••• P•• · Shareholder
        indirect · owns 75% or more of A•••• G•••• H•••••••• L•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • RAUM · $62B to $242M
        Jun 27, 2013 to Oct 3, 2013
      • Accounts · 33 to 1
        Jun 27, 2013 to Oct 3, 2013
      • Advisory employees · 30 to 1
        Jun 27, 2013 to Oct 3, 2013
      • BD registered reps · 1 to 0
        Jun 27, 2013 to Oct 3, 2013
      • Employees · 125 to 1
        Jun 27, 2013 to Oct 3, 2013
      • HQ city · DES MOINES to CHICAGO
        Jun 27, 2013 to Oct 3, 2013
      • HQ state · IA to IL
        Jun 27, 2013 to Oct 3, 2013
      • Discretionary RAUM · $62B to $242M
        Jun 27, 2013 to Oct 3, 2013
      • Non-discretionary RAUM · $198M to $0
        Jun 27, 2013 to Oct 3, 2013
      • Related broker-dealer · true to false
        Jun 27, 2013 to Oct 3, 2013
      • Accounts · 60 to 33
        Mar 28, 2013 to Jun 27, 2013
      • Advisory employees · 60 to 30
        Mar 28, 2013 to Jun 27, 2013
      • Advisory activities · 3 to 1
        Mar 28, 2013 to Jun 27, 2013
      • BD registered reps · 3 to 1
        Mar 28, 2013 to Jun 27, 2013
      • Employees · 200 to 125
        Mar 28, 2013 to Jun 27, 2013
      • Private funds · 1 to unset
        Mar 28, 2013 to Jun 27, 2013
      • Discretionary RAUM · $67B to $62B
        Mar 28, 2013 to Jun 27, 2013
      • Non-discretionary RAUM · $788M to $198M
        Mar 28, 2013 to Jun 27, 2013
      • RAUM · $68B to $62B
        Mar 28, 2013 to Jun 27, 2013
      • Accounts · 53 to 60
        Nov 8, 2012 to Mar 28, 2013
      • BD registered reps · 16 to 3
        Nov 8, 2012 to Mar 28, 2013
      • Discretionary RAUM · $60B to $67B
        Nov 8, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $547M to $788M
        Nov 8, 2012 to Mar 28, 2013
      • RAUM · $61B to $68B
        Nov 8, 2012 to Mar 28, 2013
      • Related bank · false to true
        Nov 8, 2012 to Mar 28, 2013
      • Advisory employees · unset to 60.0
        Aug 7, 2012 to Nov 8, 2012
      • BD registered reps · unset to 16.0
        Aug 7, 2012 to Nov 8, 2012
      • Employees · unset to 200.0
        Aug 7, 2012 to Nov 8, 2012
      • Accounts · 51 to 53
        Feb 9, 2012 to Mar 28, 2012
      • Discretionary RAUM · $51B to $60B
        Feb 9, 2012 to Mar 28, 2012
      • Non-discretionary RAUM · $540M to $547M
        Feb 9, 2012 to Mar 28, 2012
      • RAUM · $52B to $61B
        Feb 9, 2012 to Mar 28, 2012
      • Advisory activities · 2 to 3
        Nov 15, 2011 to Feb 9, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 15, 2011 to Feb 9, 2012
      • Private funds · unset to 1
        Nov 15, 2011 to Feb 9, 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

      A•••• I•••••••• N•••• 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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