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•• L••

Former SEC-registered adviserNew York, New YorkCRD 113105SEC 801-60501IAPD
Latest filing Jun 9, 2014
First filing on the tape Mar 31, 2012 · 3 filings
RAUM
$561M
reported, Item 5.F
Discretionary
0.0%
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
7
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$561M as of Jun 9, 2014
Mar 31, 2012$825M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 3
Employees (5.A): 7
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 9, 2014; every figure names its basis
RAUM per advisor
$187MderivedRAUM 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
$561MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, pension consulting, otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • controlled by a public reporting company (10.A)
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
1-10reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E••••••• J••••• · Board Membercontrol
        since 09/1998 · owns 10% to 25%
      • K••••••• T•••••• P• · Chief Financial Officer/Chief Operations Officer/Chief Compliance Officercontrol
        since 10/2008 · owns less than 5%
      • M••••• R••••••• · Ceo/Cio Board Membercontrol
        since 09/1998 · owns 10% to 25%
      • U•••••••• J•••• O•••• · Directorcontrol
        since 09/1998 · owns less than 5%
      • U•••••••• J•••• O•••• · Owner, Ucp-U•• L•• & Manager, U•• L••control
        since 09/1998 · owns 25% to 50% of Ucp-U•• L••
      • R••••• H••• D•••• · Member
        since 09/1998 · owns 10% to 25%
      • S••••• E••••• · Chief Legal Officer
        since 06/2005 · owns less than 5%
      Entity owners
      • U••••••••• · Board Member Manager
        direct · owns 25% to 50%
      • E••••• O• J••••• H• F••• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Atlanta, GA
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 3.0
        Jun 19, 2012 to Jun 9, 2014
      • Employees · unset to 7.0
        Jun 19, 2012 to Jun 9, 2014
      • State-registered IARs · unset to 3.0
        Jun 19, 2012 to Jun 9, 2014
      • Discretionary RAUM · $825M to $0
        Jun 19, 2012 to Jun 9, 2014
      • Non-discretionary RAUM · $0 to $561M
        Jun 19, 2012 to Jun 9, 2014
      • RAUM · $825M to $561M
        Jun 19, 2012 to Jun 9, 2014
      • Related adviser · false to true
        Jun 19, 2012 to Jun 9, 2014
      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