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.

Former SEC-registered adviser

Aurora Investment Management L.L.C.

Former SEC-registered adviserOakbrook Terrace, IllinoisCRD 127065SEC 801-62103IAPD
Latest filing Mar 26, 2018
First filing on the tape Apr 3, 2012 · 26 filings
RAUM
$52.1M
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
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
$52.4M gross assets
History
26 filings and snapshots on the tape
RAUM$52.1M as of Mar 26, 2018
Apr 3, 2012$12B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2018
Apr 1, 20130 then
Employees (5.A)6 as of Mar 26, 2018
Apr 1, 201395 then
Private funds8 as of Mar 26, 2018
Apr 3, 201210 then
RAUM -94% over the last fiscal year-82% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2018; 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
$6.5MderivedRAUM 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
-94%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$52.0M, 8 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)
  • 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$52.1M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$52.0M for 8 clientsreported
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
      18 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Smaurora Multi Manager Fund L.P.no longer reportedHedge Fund$105M2Apr 1, 2013
      Borealis Strategic Capital Master Fund L.P.Hedge Fund$38.7M15Feb 4, 2016
      Aurora Macro Opportunities Offshore Fund Ltd.no longer reportedHedge Fund$25.6M1Aug 20, 2012
      Cif Smaurora Fund Ltd.Hedge Fund$14.3M1Apr 3, 2012
      Aurora Horizons Fund Cfc Ltd.no longer reportedHedge Fund$13.8M1Mar 17, 2014
      Smahf Fund I L.L.C.Hedge Fund$13.3M1Nov 11, 2013
      Aurora Hedged Equity Offshore Fund Ltd.no longer reportedHedge Fund$12.7M1Apr 3, 2012
      Aurora Global Opportunities L.P.Hedge Fund$10.6M219Apr 3, 2012
      Aurora Offshore Fund Ltd. IIHedge Fund$9.9M201Apr 3, 2012
      Aurora Offshore Fund Ltd.Hedge Fund$8.3M125Apr 3, 2012
      Borealis Credit Opportunities L.P.no longer reportedHedge Fund$7.6M3Jan 15, 2015
      Aurora Limited PartnershipHedge Fund$6.3M519Apr 3, 2012
      Aurora Limited Partnership IIno longer reportedHedge Fund$4.1M1Apr 3, 2012
      Aurora Global Opportunities Offshore Fund Ltd.Hedge Fund$2.0M131Apr 3, 2012
      Aurora Macro Opportunities L.P.no longer reportedHedge Fund$789,4706Aug 20, 2012
      Mmmlf L.P.no longer reportedHedge Fund$546,6472Mar 22, 2012
      Spa Partners L.P.Hedge Fund$482,35839Apr 3, 2012
      Aurora Hedged Equity L.P.Hedge Fund$430,46713Apr 3, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Matthew Scott Montpas · General Counsel, And Chief Compliance Officercontrol
        since 01/2006 · owns less than 5%
      • Anne Marie Morley · Managing Director Of Operationscontrol
        since 08/2010 · owns less than 5%
      • Theodore James Orfanos · Directorcontrol
        since 07/2016 · owns less than 5%
      • Joseph Michael Sullivan · Chief Financial Officercontrol
        since 07/2014 · owns less than 5%
      • Norman Eric Ward · Directorcontrol
        since 07/2016 · owns less than 5%
      Entity owners
      • Harris Alternatives Holding, Inc. · Sole Member
        direct · owns 75% or more
      • Bpce · Shareholder
        indirect · owns 50% to 75% of Natixis
      • Natixis · Shareholder
        indirect · owns 75% or more of Natixis Investment Managers (Nim)
      • Natixis Investment Managers (Nim) · Shareholder
        indirect · owns 75% or more of Natixis Investment Managers Participations 1 (Ngamp1)
      • Natixis Investment Managers Participations 1 (Ngamp1) · Shareholder
        indirect · owns 75% or more of Natixis U.S. Holdings, Inc.
      • Natixis Investment Managers, L.P. (Nimlp) · Shareholder
        indirect · owns 75% or more of Harris Alternatives Holding, Inc.
      • Natixis Investment Managers, LLC (Nimllc) · General Partner
        indirect · owns F of Natixis Investment Managers, L.P. (Nimlp)
      • Natixis U.S. Holdings, Inc. · Limited Partner
        indirect · owns 75% or more of Natixis Investment Managers, L.P. (Nimlp)
      • Natixis U.S. Holdings, Inc. · Member
        indirect · owns 75% or more of Natixis Investment Managers, LLC (Nimllc)
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 8
        Mar 30, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 8.0
        Mar 30, 2017 to Mar 26, 2018
      • Assets in custody · $850M to $52.0M
        Mar 30, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 26, 2018
      • Private funds · 10 to 8
        Mar 30, 2017 to Mar 26, 2018
      • Discretionary RAUM · $850M to $52.1M
        Mar 30, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 52097951.0
        Mar 30, 2017 to Mar 26, 2018
      • RAUM · $850M to $52.1M
        Mar 30, 2017 to Mar 26, 2018
      • Accounts · 15 to 12
        Jan 4, 2017 to Mar 30, 2017
      • Advisory employees · 9 to 2
        Jan 4, 2017 to Mar 30, 2017
      • Assets in custody · $2.0B to $850M
        Jan 4, 2017 to Mar 30, 2017
      • Employees · 22 to 6
        Jan 4, 2017 to Mar 30, 2017
      • Private funds · 14 to 10
        Jan 4, 2017 to Mar 30, 2017
      • Discretionary RAUM · $2.0B to $850M
        Jan 4, 2017 to Mar 30, 2017
      • RAUM · $2.0B to $850M
        Jan 4, 2017 to Mar 30, 2017
      • Accounts · 20 to 15
        Sep 2, 2016 to Nov 18, 2016
      • Advisory employees · 4 to 9
        Sep 2, 2016 to Nov 18, 2016
      • Assets in custody · $6.3B to $2.0B
        Sep 2, 2016 to Nov 18, 2016
      • HQ city · CHICAGO to OAKBROOK TERRACE
        Sep 2, 2016 to Nov 18, 2016
      • Discretionary RAUM · $6.7B to $2.0B
        Sep 2, 2016 to Nov 18, 2016
      • RAUM · $6.7B to $2.0B
        Sep 2, 2016 to Nov 18, 2016
      • Advisory employees · 30 to 4
        Mar 30, 2016 to Sep 2, 2016
      • Advisory activities · 4 to 3
        Mar 30, 2016 to Sep 2, 2016
      • Employees · 68 to 22
        Mar 30, 2016 to Sep 2, 2016
      • Private funds · 15 to 14
        Mar 30, 2016 to Sep 2, 2016
      • Accounts · 18 to 20
        Feb 4, 2016 to Mar 30, 2016
      • Assets in custody · $9.2B to $6.3B
        Feb 4, 2016 to Mar 30, 2016
      • Employees · 80 to 68
        Feb 4, 2016 to Mar 30, 2016
      • Private funds · 16 to 15
        Feb 4, 2016 to Mar 30, 2016
      • Discretionary RAUM · $9.7B to $6.7B
        Feb 4, 2016 to Mar 30, 2016
      • RAUM · $9.7B to $6.7B
        Feb 4, 2016 to Mar 30, 2016
      • Private funds · 15 to 16
        Jun 4, 2015 to Feb 4, 2016
      • Accounts · 19 to 18
        Jan 15, 2015 to Mar 31, 2015
      • Assets in custody · $9.6B to $9.2B
        Jan 15, 2015 to Mar 31, 2015
      • Employees · 85 to 80
        Jan 15, 2015 to Mar 31, 2015
      • Private funds · 16 to 15
        Jan 15, 2015 to Mar 31, 2015
      • Discretionary RAUM · $10B to $9.7B
        Jan 15, 2015 to Mar 31, 2015
      • RAUM · $10B to $9.7B
        Jan 15, 2015 to Mar 31, 2015
      • Accounts · 16 to 19
        Mar 17, 2014 to Mar 31, 2014
      • Advisory employees · 28 to 30
        Mar 17, 2014 to Mar 31, 2014
      Signals
      1 dated events
      • Aurora Investment Management L.L.C. reported RAUM $52.1M, down 94% from $850.0M (2017-03-30 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.
      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