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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SEC-registered adviser
I•••• C•••••• P•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 28, 2012 · 27 filings
SEC status approved since Jan 9, 2006
RAUM
$5.1B
reported, Item 5.F
Discretionary
99%
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
59
28 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$5.1B as of Mar 30, 2026
Mar 28, 2012$5.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20130 then
Employees (5.A)59 as of Mar 30, 2026
Mar 28, 201384 then
Private funds4 as of Mar 30, 2026
Mar 28, 201212 then
RAUM +26% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $299MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $4.1B, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 17reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.1B for 8 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.81 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
22 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•••• S••••• M••••• F•••• L••• | Hedge Fund | $1.7B | 150 | Mar 28, 2012 |
| I•••• P•••••• O••••••••• M••••• F•••• L••• | Hedge Fund | $788M | 103 | Mar 28, 2012 |
| I•••• J•••• L••• O••• M••••• F•••• L••• | Hedge Fund | $659M | 40 | May 17, 2016 |
| I•••• J•••• L••• O••• F•••• L•no longer reported | Hedge Fund | $591M | 34 | Mar 28, 2012 |
| I•••• A••• P•••••• M••••• F•••• L•••no longer reported | Hedge Fund | $299M | 0 | Mar 28, 2012 |
| I•••• C•••• M••••• F•••• L•••no longer reported | Hedge Fund | $235M | 51 | May 17, 2016 |
| I•••• E••••••• M•••••• M••••• F•••• L•••no longer reported | Hedge Fund | $141M | 16 | Nov 21, 2012 |
| I•••• J•••• M••••• F•••• L••• | Hedge Fund | $130M | 39 | Mar 28, 2012 |
| I•••• J•••• L••• O••• F•••• L•••no longer reported | Hedge Fund | $84.4M | 13 | Nov 17, 2015 |
| I•••• I•••• M••••• F•••• L•••no longer reported | Hedge Fund | $83.0M | 34 | Aug 18, 2015 |
| I•••• O••• F•••• L••• | Hedge Fund | $35.5M | 38 | Mar 28, 2012 |
| I•••• M••••• M••••• F•••• L•••no longer reported | Hedge Fund | $33.5M | 70 | Mar 28, 2012 |
| I•••• E••••••• M•••••• L••• O••• M••••• F•••• L•••no longer reported | Hedge Fund | $29.3M | 15 | Nov 21, 2012 |
| P••••• I•••• J•••• L•••no longer reported | Hedge Fund | $26.6M | 5 | Mar 28, 2013 |
| I•••• J•••• M••••• N•••••• M••••• F•••• L•••no longer reported | Hedge Fund | $23.1M | 2 | Aug 16, 2013 |
| I•••• T••••••• E••••••• M•••••• F•••no longer reported | Other Private Fund | $16.7M | 1 | Nov 21, 2012 |
| I•••• O••• F•••• L•••no longer reported | Hedge Fund | $9.2M | 6 | Mar 28, 2012 |
| I•••• P••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $9.1M | 7 | Mar 28, 2012 |
| I•••• G••••• S••••••••• D••••••••• H•••••• C••••••• L•••no longer reported | Other Private Fund | $6.6M | 27 | Mar 28, 2012 |
| I•••• O••••••• F•••• S•• • S••••••••• P•••••••• 1•no longer reported | Hedge Fund | $6.2M | 6 | Nov 10, 2016 |
| I•••• S••••••••• F•••••• M••••• F•••• L•••no longer reported | Private Equity Fund | $1.1M | 80 | Mar 28, 2012 |
| I•••• O••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $428,572 | 8 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• P••••• T••••• · Membercontrolsince 01/2024 · owns less than 5%
- C•••••• P•••• R••••• G••••• · Membercontrolsince 01/2024 · owns less than 5%
- C•••••• M••••••• J••• · Membercontrolsince 01/2019 · owns less than 5%
- D••••••• L••••••• B•••••• · Membercontrolsince 01/2019 · owns less than 5%
- D•• A•• · Membercontrolsince 01/2020 · owns less than 5%
- F•••••••• D•••••• · Membercontrolsince 04/2018 · owns less than 5%
- G•••• B••••• E••••• · Managing Membercontrolsince 07/2000 · owns 25% to 50%
- G••••••• Z••••• H• · Membercontrolsince 09/2021 · owns 5% to 10%
- K••••••••• M•••••••• •••••••• M•••• · Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
- K••• E•••• G• · Membercontrolsince 01/2024 · owns less than 5%
- L••• B••••• C•••••••• · Member, Chief Operating Officer, Chief Risk Officercontrolsince 01/2023 · owns less than 5%
- M•• Y•••• · Membercontrolsince 01/2023 · owns less than 5%
- P•••••• J•••• D•••••• · Membercontrolsince 01/2005 · owns 25% to 50%
- S••••••• J••••• J••••• · Member, Chief Executive Officercontrolsince 07/2000 · owns 5% to 10%
- S••••• H•••••• M••••• · Membercontrolsince 01/2005 · owns 10% to 25%
- S•••••• A••••• N•• · Interim Chief Financial Officercontrolsince 07/2024 · owns less than 5%
- W•••••• J••••• J••••• · Member, Senior Advisorcontrolsince 07/2005 · owns less than 5%
Related persons
Schedule D 7.A
- I•••• P•••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA7 employees
What changed
consecutive filings, newest first
- Accounts · 18 to 17Mar 24, 2025 to Mar 30, 2026
- Advisory employees · 26 to 28Mar 24, 2025 to Mar 30, 2026
- Pooled vehicle clients · 13 to 12Mar 24, 2025 to Mar 30, 2026
- Assets in custody · $3.2B to $4.1BMar 24, 2025 to Mar 30, 2026
- Employees · 55 to 59Mar 24, 2025 to Mar 30, 2026
- Private funds · 5 to 4Mar 24, 2025 to Mar 30, 2026
- Discretionary RAUM · $4.0B to $5.0BMar 24, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $41.0M to $50.6MMar 24, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $3.3B to $4.1BMar 24, 2025 to Mar 30, 2026
- RAUM · $4.0B to $5.1BMar 24, 2025 to Mar 30, 2026
- Accounts · 16 to 18Jul 29, 2024 to Mar 24, 2025
- Advisory employees · 23 to 26Jul 29, 2024 to Mar 24, 2025
- Assets in custody · $3.2B to $3.2BJul 29, 2024 to Mar 24, 2025
- Employees · 56 to 55Jul 29, 2024 to Mar 24, 2025
- Financial planning clients · unset to Jul 29, 2024 to Mar 24, 2025
- Discretionary RAUM · $3.9B to $4.0BJul 29, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $0 to $41.0MJul 29, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $3.4B to $3.3BJul 29, 2024 to Mar 24, 2025
- RAUM · $3.9B to $4.0BJul 29, 2024 to Mar 24, 2025
- Assets in custody · $0 to $3.2BMar 28, 2024 to May 28, 2024
- Accounts · 27 to 16Mar 28, 2023 to Mar 28, 2024
- Advisory employees · 21 to 23Mar 28, 2023 to Mar 28, 2024
- Pooled vehicle clients · 24 to 13Mar 28, 2023 to Mar 28, 2024
- Assets in custody · $2.8B to $0Mar 28, 2023 to Mar 28, 2024
- Employees · 60 to 56Mar 28, 2023 to Mar 28, 2024
- Private funds · 7 to 5Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.2B to $3.9BMar 28, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $2.8B to $3.4BMar 28, 2023 to Mar 28, 2024
- RAUM · $3.2B to $3.9BMar 28, 2023 to Mar 28, 2024
- Accounts · 29 to 27Sep 8, 2022 to Mar 28, 2023
- Advisory employees · 24 to 21Sep 8, 2022 to Mar 28, 2023
- Pooled vehicle clients · 26 to 24Sep 8, 2022 to Mar 28, 2023
- Assets in custody · $3.6B to $2.8BSep 8, 2022 to Mar 28, 2023
- Employees · 58 to 60Sep 8, 2022 to Mar 28, 2023
- Private funds · 9 to 7Sep 8, 2022 to Mar 28, 2023
- Discretionary RAUM · $4.8B to $3.2BSep 8, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $3.7B to $2.8BSep 8, 2022 to Mar 28, 2023
- RAUM · $4.8B to $3.2BSep 8, 2022 to Mar 28, 2023
- Accounts · 30 to 29Mar 24, 2021 to Mar 28, 2022
- Pooled vehicle clients · 27 to 26Mar 24, 2021 to Mar 28, 2022
Signals
30 dated events
- I•••• C•••••• P•••••••• L•• reported RAUM $5.1B, up 26% from $4.0B (2025-03-24 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Nmn A•••• S••••• (Interim Chief Financial Officer) appeared on Schedule A of I•••• C•••••• P•••••••• L••Jul 29, 2024 · Control person joined · fact
- Theresa Laura Ferchak (Chief Compliance Officer) no longer on Schedule A of I•••• C•••••• P•••••••• L•• (listed 2024-03-28, absent 2024-05-28)May 28, 2024 · Control person left · inference
- M•••• M•••••••• (M•••••) K•••••••• (Chief Compliance Officer) appeared on Schedule A of I•••• C•••••• P•••••••• L••May 28, 2024 · Control person joined · fact
- G Eric Koo (Member) appeared on Schedule A of I•••• C•••••• P•••••••• L••Mar 28, 2024 · Control person joined · fact
- Thomas Peter Boodell (Member) appeared on Schedule A of I•••• C•••••• P•••••••• L••Mar 28, 2024 · Control person joined · fact
- Robert Gerard Paul Chanin (Member) appeared on Schedule A of I•••• C•••••• P•••••••• L••Mar 28, 2024 · Control person joined · fact
- Chunghark Brian Lee (Member) appeared on Schedule A of I•••• C•••••• P•••••••• L••Mar 28, 2023 · Control person joined · fact
- Ann Jennifer Barb (Member) no longer on Schedule A of I•••• C•••••• P•••••••• L•• (listed 2022-09-08, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- I•••• C•••••• P•••••••• L•• reported RAUM $3.2B, down 33% from $4.8B (2022-09-08 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- Y•••• Mo (Member) appeared on Schedule A of I•••• C•••••• P•••••••• L••Mar 28, 2023 · Control person joined · fact
- Tariq Ahmad (Member) no longer on Schedule A of I•••• C•••••• P•••••••• L•• (listed 2022-09-08, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- Cindy Chi (Member) no longer on Schedule A of I•••• C•••••• P•••••••• L•• (listed 2022-09-08, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- H Zlata Gleason (Member) appeared on Schedule A of I•••• C•••••• P•••••••• L••Mar 28, 2022 · Control person joined · fact
- John Matthew Sippel (Member) no longer on Schedule A of I•••• C•••••• P•••••••• L•• (listed 2021-03-24, absent 2022-03-28)Mar 28, 2022 · Control person left · inference
- Yuki Soga (Member) no longer on Schedule A of I•••• C•••••• P•••••••• L•• (listed 2020-04-07, absent 2021-03-24)Mar 24, 2021 · Control person left · inference
- Siddharth Velakacharla (Member) no longer on Schedule A of I•••• C•••••• P•••••••• L•• (listed 2020-04-07, absent 2021-03-24)Mar 24, 2021 · Control person left · inference
- Anh Do (Member) appeared on Schedule A of I•••• C•••••• P•••••••• L••Mar 23, 2020 · Control person joined · fact
- Ann Jennifer Barb (Member) appeared on Schedule A of I•••• C•••••• P•••••••• L••Mar 23, 2020 · Control person joined · fact
- Fenton Sheldon Kasowitz (Managing Member) no longer on Schedule A of I•••• C•••••• P•••••••• L•• (listed 2019-02-01, absent 2020-03-23)Mar 23, 2020 · Control person left · inference
- Seath Ethan Devine (Member) no longer on Schedule A of I•••• C•••••• P•••••••• L•• (listed 2019-02-01, absent 2020-03-23)Mar 23, 2020 · Control person left · inference
- Flaviano Brian Guzman (Member, General Counsel) no longer on Schedule A of I•••• C•••••• P•••••••• L•• (listed 2019-02-01, absent 2020-03-23)Mar 23, 2020 · Control person left · inference
- Mary Kathleen Olin (Chief Compliance Officer) no longer on Schedule A of I•••• C•••••• P•••••••• L•• (listed 2018-03-28, absent 2019-02-01)Feb 1, 2019 · Control person left · inference
- Theresa Laura Ferchak (Chief Compliance Officer) appeared on Schedule A of I•••• C•••••• P•••••••• L••Feb 1, 2019 · Control person joined · fact
- Cindy Chi (Member) appeared on Schedule A of I•••• C•••••• P•••••••• L••Feb 1, 2019 · Control person joined · fact
- Yuki Soga (Member) appeared on Schedule A of I•••• C•••••• P•••••••• L••Feb 1, 2019 · Control person joined · fact
- John Michael Conway (Member) appeared on Schedule A of I•••• C•••••• P•••••••• L••Feb 1, 2019 · Control person joined · fact
- Bessett Leonard Desomma (Member) appeared on Schedule A of I•••• C•••••• P•••••••• L••Feb 1, 2019 · Control person joined · fact
- Daisuke Fujisaki (Member) appeared on Schedule A of I•••• C•••••• P•••••••• L••Feb 1, 2019 · Control person joined · fact
- I•••• C•••••• P•••••••• L•• reported RAUM $5.4B, down 30% from $7.7B (2018-03-28 to 2019-02-01)Feb 1, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Indus Capital Partners LLC · Family Officesshared crd · office
- I•••• C•••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/indus-capitalreportedpublic record, Form ADV, Sep 19, 2026
- Website
- i•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-909-2888reportedpublic record, Form ADV, Mar 30, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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