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
U•• A•••• M••••••••• L••
Legal name U•••• B••••••• P••••• A•••• M••••••••• L••
Latest filing Mar 30, 2021
First filing on the tape Nov 22, 2011 · 24 filings
RAUM
$231M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$231M as of Mar 30, 2021
Mar 30, 2012$2.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Apr 1, 20130 then
Employees (5.A)3 as of Mar 30, 2021
Apr 1, 201324 then
Private funds6 as of Mar 31, 2017
Mar 30, 201235 then
RAUM +9.5% over the last fiscal year+107% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 30, 2021; 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
- $231MderivedRAUM 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
- +9.5%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- 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
- Pooled investment vehicles$231M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
38 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• A•• L••no longer reported | Hedge Fund | $163M | 363 | Nov 22, 2011 |
| S••••••••• A•• M• L••no longer reported | Hedge Fund | $101M | 78 | Nov 22, 2011 |
| S••••••••• A•• L•no longer reported | Hedge Fund | $70.8M | 390 | Nov 22, 2011 |
| S••••••••• I••••••••• A•• L••no longer reported | Hedge Fund | $40.9M | 55 | Nov 22, 2011 |
| S••••••••• A•• I• L••no longer reported | Hedge Fund | $37.7M | 96 | Nov 22, 2011 |
| S••••••••• A•• S•• L••no longer reported | Hedge Fund | $36.2M | 185 | Nov 22, 2011 |
| S••••••••• M••••••••• L••no longer reported | Hedge Fund | $35.8M | 187 | Nov 22, 2011 |
| N•••• A•••• R••••••• F••• I•no longer reported | Hedge Fund | $32.9M | 1 | Mar 29, 2012 |
| S••••••••• A•• P••• 1•••• L•no longer reported | Hedge Fund | $28.0M | 306 | Nov 22, 2011 |
| S••••••••• M••••••••• L•no longer reported | Hedge Fund | $23.4M | 337 | Nov 22, 2011 |
| S••••••••• F•••••• R••••••• M••••• F••• S••• S••••••••• P•••••••• O•• M•••••no longer reported | Hedge Fund | $17.5M | 2 | Nov 22, 2011 |
| S••••••••• A•• P••• 2•••• L•no longer reported | Hedge Fund | $17.3M | 81 | Nov 22, 2011 |
| D•••••• C••• ••••••• L••no longer reported | Hedge Fund | $17.1M | 24 | Nov 22, 2011 |
| S••••••••• A•• I• M• L••no longer reported | Hedge Fund | $16.6M | 40 | Nov 22, 2011 |
| D•••••• C••• ••• L•no longer reported | Hedge Fund | $14.7M | 2 | Nov 22, 2011 |
| S••••••••• A•• S•• L••no longer reported | Hedge Fund | $14.0M | 236 | Nov 22, 2011 |
| S••••••••• G••••• R•••••••• F••• L••no longer reported | Hedge Fund | $12.9M | 2 | Nov 22, 2011 |
| S••••••••• M••••••••• S•• L••no longer reported | Hedge Fund | $12.2M | 60 | Nov 22, 2011 |
| D•••••• G••••• E••••••• L•• L•no longer reported | Hedge Fund | $12.1M | 4 | Nov 22, 2011 |
| S••••••••• F•••••• R••••••• F••• S••• S••••••••• P•••••••• O•• B•no longer reported | Hedge Fund | $10.9M | 78 | Nov 22, 2011 |
| S••••••••• I••••••••• M••••••••• L••no longer reported | Hedge Fund | $9.0M | 20 | Nov 22, 2011 |
| D•••••• G••••• E••••• ••••••• L•••no longer reported | Hedge Fund | $8.9M | 14 | Nov 22, 2011 |
| S••••••••• F•••••• R••••••• F••• S••• S••••••••• P•••••••• O•• A•no longer reported | Hedge Fund | $6.7M | 206 | Nov 22, 2011 |
| U•• R••••••••• F•••no longer reported | Hedge Fund | $5.8M | 6 | Nov 22, 2011 |
| S••••••••• A•• P••• 1•••• L••no longer reported | Hedge Fund | $5.6M | 54 | Nov 22, 2011 |
| S••••••••• M••••••••• S•• L••no longer reported | Hedge Fund | $5.1M | 68 | Nov 22, 2011 |
| S••••••••• A•• I• S•• L••no longer reported | Hedge Fund | $4.7M | 37 | Nov 22, 2011 |
| S••••••••• E••••••• I• L••no longer reported | Hedge Fund | $3.8M | 3 | Nov 22, 2011 |
| S••••••••• A•• P••• 2•••• L••no longer reported | Hedge Fund | $2.5M | 25 | Nov 22, 2011 |
| S••••••••• M••••••••• A•••••••• L•no longer reported | Hedge Fund | $2.2M | 83 | Nov 22, 2011 |
| S••••••••• M••••••••• A•••••••• S•• L••no longer reported | Hedge Fund | $1.3M | 14 | Nov 22, 2011 |
| S••••••••• F•••••• R••••••• A••••• F••• S••• S••••••••• P•••••••• O•• B•no longer reported | Hedge Fund | $826,520 | 3 | Nov 22, 2011 |
| S••••••••• M••••••••• A•••••••• L••no longer reported | Hedge Fund | $797,218 | 14 | Nov 22, 2011 |
| U•••• S••••••• F••• • E•••• D••••• M••••• L••no longer reported | Hedge Fund | $631,450 | 1 | Nov 22, 2011 |
| S••••••••• E•••• D••••• F••• L••no longer reported | Hedge Fund | $517,522 | 3 | Nov 22, 2011 |
| S••••••••• A••••••••• B••••••• F••• L••no longer reported | Hedge Fund | $444,758 | 3 | Nov 22, 2011 |
| S••••••••• E•••• D••••• F••• L•no longer reported | Hedge Fund | $424,644 | 3 | Nov 22, 2011 |
| S••••••••• A••••••••• B••••••• F••• L•no longer reported | Hedge Fund | $31,318 | 1 | Nov 22, 2011 |
Owners and control persons
Schedule A and B, latest filing
- C••••• I••• M••• · Board Of Managerscontrolsince 07/2012 · owns less than 5%
- G•••••••• W••••••• S•••••• · General Counsel & Chief Compliance Officercontrolsince 01/2017 · owns less than 5%
- M••••••••• E••••• · Board Of Managerscontrolsince 06/2015 · owns less than 5%
- D• P••••••••• A••• R••••• · Shareholdercontrolsince 12/2018 · owns 75% or more of H••• C••••••••• G••••• S•
- D• P••••••••• D•••••• A•••• · Shareholdercontrolsince 12/2018 · owns 75% or more of H••• C••••••••• G••••• S•
- D• P••••••••• G•• · Shareholdercontrolsince 12/2018 · owns 75% or more of H••• C••••••••• G••••• S•
- D• P••••••••• M••• · Shareholdercontrolsince 12/2018 · owns 75% or more of H••• C••••••••• G••••• S•
Entity owners
- U••• H•••••••• I••• · Managing Memberdirect · owns 75% or more
- C•• H••••••• S••• · Shareholderindirect · owns 75% or more of U•••• B••••••• P•••••
- H• D• P• ••••••• D• P••••••••• · Shareholderindirect · owns 50% to 75% of C•• H••••••• S•••
- H••• C••••••••• G••••• S• · Shareholderindirect · owns 75% or more of H• D• P• ••••••• D• P•••••••••
- U•••• B••••••• P••••• · Shareholderindirect · owns 75% or more of U••• H•••••••• I•••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $211M to $231MJun 1, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $211M to $231MJun 1, 2020 to Mar 30, 2021
- RAUM · $211M to $231MJun 1, 2020 to Mar 30, 2021
- Advisory employees · 5 to 2Mar 31, 2020 to Jun 1, 2020
- Advisory activities · 2 to 1Mar 31, 2020 to Jun 1, 2020
- Pooled vehicle clients · 2 to 1Mar 31, 2020 to Jun 1, 2020
- Employees · 6 to 3Mar 31, 2020 to Jun 1, 2020
- Other offices · 1 to 0Mar 31, 2020 to Jun 1, 2020
- Advisory employees · 12 to 5Mar 29, 2019 to Mar 31, 2020
- Advisory activities · 3 to 2Mar 29, 2019 to Mar 31, 2020
- Employees · 13 to 6Mar 29, 2019 to Mar 31, 2020
- Other offices · 2 to 1Mar 29, 2019 to Mar 31, 2020
- Discretionary RAUM · $100M to $211MMar 29, 2019 to Mar 31, 2020
- Pooled vehicle RAUM · $100M to $211MMar 29, 2019 to Mar 31, 2020
- RAUM · $100M to $211MMar 29, 2019 to Mar 31, 2020
- Advisory employees · 14 to 12Aug 6, 2018 to Mar 29, 2019
- Advisory activities · 2 to 3Aug 6, 2018 to Mar 29, 2019
- Pooled vehicle clients · 3 to 2Aug 6, 2018 to Mar 29, 2019
- Employees · 15 to 13Aug 6, 2018 to Mar 29, 2019
- Discretionary RAUM · $25.9M to $100MAug 6, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $25.9M to $100MAug 6, 2018 to Mar 29, 2019
- RAUM · $25.9M to $100MAug 6, 2018 to Mar 29, 2019
- Accounts · 6 to 1Sep 28, 2017 to Mar 29, 2018
- Advisory employees · 12 to 14Sep 28, 2017 to Mar 29, 2018
- Advisory activities · 3 to 2Sep 28, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 3.0Sep 28, 2017 to Mar 29, 2018
- Assets in custody · 38911335.0 to unsetSep 28, 2017 to Mar 29, 2018
- Custody of client assets · true to falseSep 28, 2017 to Mar 29, 2018
- Employees · 13 to 15Sep 28, 2017 to Mar 29, 2018
- Financial planning clients · unset to 0Sep 28, 2017 to Mar 29, 2018
- Other offices · unset to 2.0Sep 28, 2017 to Mar 29, 2018
- Private funds · 6 to unsetSep 28, 2017 to Mar 29, 2018
- Discretionary RAUM · $38.9M to $25.9MSep 28, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 25863881.0Sep 28, 2017 to Mar 29, 2018
- RAUM · $38.9M to $25.9MSep 28, 2017 to Mar 29, 2018
- Related bank · true to falseSep 28, 2017 to Mar 29, 2018
- Accounts · 13 to 6Apr 26, 2016 to Mar 31, 2017
- Advisory employees · 11 to 12Apr 26, 2016 to Mar 31, 2017
- Assets in custody · $116M to $38.9MApr 26, 2016 to Mar 31, 2017
- Employees · 14 to 13Apr 26, 2016 to Mar 31, 2017
Signals
8 dated events
- Akim Jason Lovelace (Chief Executive Officer & Chief Risk Officer) no longer on Schedule A of U•• A•••• M••••••••• L•• (listed 2020-03-31, absent 2020-06-01)Jun 1, 2020 · Control person left · inference
- Anne Rotman De Picciotto (Shareholder) appeared on Schedule A of U•• A•••• M••••••••• L••Mar 31, 2020 · Control person joined · fact
- Marc De Picciotto (Shareholder) appeared on Schedule A of U•• A•••• M••••••••• L••Mar 31, 2020 · Control person joined · fact
- U•• A•••• M••••••••• L•• reported RAUM $211.0M, up 110% from $100.2M (2019-03-29 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- Alain Daniel De Picciotto (Shareholder) appeared on Schedule A of U•• A•••• M••••••••• L••Mar 31, 2020 · Control person joined · fact
- Guy De Picciotto (Shareholder) appeared on Schedule A of U•• A•••• M••••••••• L••Mar 31, 2020 · Control person joined · fact
- Daniel Edgar De Picciotto (Estate Of) (Shareholder) no longer on Schedule A of U•• A•••• M••••••••• L•• (listed 2018-08-06, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- U•• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 9, 2012 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- U•• 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