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
I••••••••• I••••••••• A••••••• L••••••
Latest filing Jul 28, 2023
First filing on the tape Mar 30, 2012 · 32 filings
RAUM
$222M
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
9
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$24.9M gross assets
History
32 filings and snapshots on the tape
RAUM$222M as of Sep 27, 2022
Oct 1, 2012$7.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 27, 2022
Sep 27, 20130 then
Employees (5.A)9 as of Sep 27, 2022
Sep 27, 201342 then
Private funds1 as of Sep 27, 2022
Oct 1, 201216 then
RAUM +15% over the last fiscal year-47% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 28, 2023; 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
- $36.9MderivedRAUM 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
- +15%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
- Custody
- $24.9M, 1 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$222M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $24.9M for 1 clientsreported
- 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
32 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••••••••• W••••••• M•••• F••• L••••••no longer reported | Hedge Fund | $336M | 1 | Mar 30, 2012 |
| L•••••• I•• L••no longer reported | Hedge Fund | $332M | 1 | Mar 30, 2012 |
| I••••••••• A•• B••• M••••• F••• A• L••••••no longer reported | Hedge Fund | $307M | 3 | Aug 21, 2015 |
| P••• A••••• C• I•• L•••no longer reported | Hedge Fund | $199M | 1 | Mar 30, 2012 |
| I••••••••• D••••••••• S••••••••• F••• L••••••no longer reported | Hedge Fund | $177M | 15 | Mar 30, 2012 |
| P••• F•••••• F•••• L••no longer reported | Hedge Fund | $102M | 3 | Mar 29, 2012 |
| I••••••••• T••••••••• P••••••• I•• ••••••• L•no longer reported | Private Equity Fund | $90.4M | 96 | Mar 30, 2012 |
| I••••••••• L•••••••• D••••••••• S••••••••• F••• L•••••• S••no longer reported | Hedge Fund | $89.8M | 14 | Mar 30, 2012 |
| I••••••••• S•••••• O••••••••• I•••••• D••••••••• L••• F••• L••••••no longer reported | Hedge Fund | $83.6M | 5 | Mar 10, 2016 |
| I••••••••• S••••••••• G••••• M•••• M••••• F••• L••••••no longer reported | Hedge Fund | $65.2M | 9 | Mar 30, 2012 |
| S••••• M••••••••• A••••••• R••••• F•••• L••no longer reported | Hedge Fund | $64.3M | 11 | Mar 31, 2014 |
| I••••••••• B••••••• F••• L••••••no longer reported | Hedge Fund | $63.3M | 6 | Mar 30, 2012 |
| C••••• L••• S•••• E••••• F••• L••no longer reported | Hedge Fund | $61.3M | 1 | Mar 29, 2012 |
| I••••••••• B•••••• L••••••••• U••• O••••••••• M••••• F••• L••••••no longer reported | Hedge Fund | $51.3M | 3 | Mar 30, 2012 |
| I••••••••• A•••••• C••••• O••••••••• M••••• F••• L••••••no longer reported | Hedge Fund | $42.9M | 2 | Jan 16, 2013 |
| S••••• M••••••••• A••••••• R••••• F••• L•••no longer reported | Hedge Fund | $39.7M | 9 | Mar 31, 2014 |
| I••••••••• E••••••• A•••• F••• S••no longer reported | Hedge Fund | $36.3M | 1 | Sep 27, 2013 |
| I••••••••• B••••••• S••••••••• F••• L••••••no longer reported | Private Equity Fund | $31.9M | 32 | Mar 30, 2012 |
| C•••••••• D••••••••• M••••••• F••• L••no longer reported | Hedge Fund | $26.9M | 1 | Mar 29, 2012 |
| I••••••••• U•• Z••••• V• L••• | Private Equity Fund | $24.9M | 4 | Oct 27, 2020 |
| I••••••••• A•• B••• M••••• F••• E• L••••••no longer reported | Hedge Fund | $19.4M | 1 | Nov 19, 2015 |
| I••••••••• A•• B••• M••••• F••• B• L••••••no longer reported | Hedge Fund | $19.4M | 1 | Nov 19, 2015 |
| C•••••••• D••••••••• M••••••• F••• I• L••no longer reported | Hedge Fund | $17.8M | 1 | Mar 29, 2012 |
| I••••••••• E••••••• M••••••• O••••••••• F••• L••••••no longer reported | Hedge Fund | $15.2M | 3 | Mar 30, 2012 |
| I••••••••• I••••••••• M••••••••• M••••• F••• L••••••no longer reported | Hedge Fund | $13.3M | 106 | Mar 30, 2012 |
| I••••••••• I••••••••• P•••••• •••• F••••••• L••no longer reported | Hedge Fund | $11.4M | 1 | Mar 30, 2012 |
| I••••••••• E•••• D••••• H•••• F••• L•••••• S••no longer reported | Hedge Fund | $11.0M | 4 | Mar 30, 2012 |
| I••••••••• P•••••• E••••• 2••• F•••• L•••no longer reported | Private Equity Fund | $6.2M | 43 | Mar 30, 2012 |
| C••••••• I•• L••no longer reported | Hedge Fund | $1.9M | 1 | Jan 16, 2013 |
| I••••••••• S••••• M•••••• F•••• C•••••• L•••••• S••no longer reported | Hedge Fund | $1.2M | 2 | Mar 30, 2012 |
| I••••••••• O••••••••• I••••••••• O••••••• F••• L••••••no longer reported | Hedge Fund | $528,194 | 1 | Mar 30, 2012 |
| B••••••••• I•• L••••••no longer reported | Hedge Fund | $429,879 | 1 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• A•••• · Directorcontrolsince 11/2018 · owns less than 5%
- C••••••• D••• · Directorcontrolsince 08/2021 · owns less than 5%
- E••••••• E••••••• H• · Directorcontrolsince 11/2018 · owns less than 5%
- M•••••• B••••• J••••• · Chief Compliance Officercontrolsince 02/2006 · owns less than 5%
- R••••• A••••• M••••••• · Directorcontrolsince 03/2013 · owns less than 5%
Entity owners
- E••••• K•• L•••••• · Shareh•••••direct · owns 75% or more
- C• H••••••• L•• · Shareh•••••indirect · owns 50% to 75% of I••••••••• H••••••• L••
- I•••• H••••••• L•• · Shareh•••••indirect · owns 75% or more of I•••• I••••••••• S•• L••
- I•••• I••••••••• S•• L•• · Shareh•••••indirect · owns 50% to 75% of S•••• L••
- I••••••••• H••••••• L•• · Shareh•••••indirect · owns 75% or more of I••••••••• S•••
- I••••••••• S••• · Shareh•••••indirect · owns 75% or more of E••••• K•• L••••••
- O•••••••• H••••••• L•• · Shareh•••••indirect · owns 50% to 75% of C• H••••••• L••
- S•••• H••••••• L•• · Shareh•••••indirect · owns 75% or more of I•••• I••••••••• S•• L••
- S•••• L•• · Shareh•••••indirect · owns 25% to 50% of O•••••••• H••••••• L••
Related persons
Schedule D 7.A
- C• I••••••••• P•••••••• L••investment advisernRAUM $444M
- I•• N••••••• H•••••• L••••••broker-dealern
- I•• S••••• L••• F••• C•••••••••pooled vehicle sponsorn
- I••••••••• ••• D••••• L••••••investment advisern
- I••••••••• A••••••• R••••• I••••••••• L••investment advisernRAUM $1.1B
- I••••••••• A••• F•••••••• S••••••• P•••••• L••••••broker-dealern
- I••••••••• A•••• F••• G• L••••••pooled vehicle sponsorn
- I••••••••• C••••• M••••••••• E• L••••••investment advisern
- I••••••••• C••••• M••••••••• U• L••investment advisernRAUM $12B
- I••••••••• E••••••• B••••• F••• 2••• G•• L•pooled vehicle sponsorn
- I••••••••• E••••••• P•••••• E••••• F••• I•• G• L••••••pooled vehicle sponsorn
- I••••••••• E••••••• P•••••• E••••• F••• I•• G• S•• R•••pooled vehicle sponsorn
- I••••••••• F•••••••• S••••••• B•••••investment advisern
- I••••••••• F•••••• A• G• L••••••pooled vehicle sponsorn
- I••••••••• G••• I••••••••• B••broker-dealerinvestment advisern
- I••••••••• I•••• A•••• M••••••• P•••••• L••••••investment advisern
- I••••••••• I••••••••• A••••••• L••investment advisernRAUM $5.5B
- I••••••••• I••••••••• S•••••••• L••investment advisernRAUM $2.8B
- I••••••••• I••••••••• L••broker-dealerinvestment advisern
- I••••••••• M••••••••• H•••••••• L•••investment advisern
- I••••••••• M••••••••• S••••••• L••••••investment advisern
- I••••••••• N•••••• H••••• L••••••broker-dealern
- I••••••••• N•••• A••••••• P•••••• E••••• F••• I• G• S•• R•••pooled vehicle sponsorn
- I••••••••• N•••• A••••••• P•••••• E••••• F••• I• G•• L•••pooled vehicle sponsorn
- I••••••••• P•••••• C••••• A•••••• I• L••investment advisern
- I••••••••• P•••••• E••••• 2••• F••• G• L•investment adviserpooled vehicle sponsorn
- I••••••••• S•••• A••••• F•••••••• S••••••• C••broker-dealern
- I••••••••• S••••••••• L••••••broker-dealerinvestment advisern
- I••••••••• S•••••••• C•••••• P••••••• G•• L•••pooled vehicle sponsorn
- I••••••••• S••••• A•investment advisern
Advisers that list I••••••••• I••••••••• A••••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 6May 25, 2022 to Sep 27, 2022
- Pooled vehicle clients · 7 to 6May 25, 2022 to Sep 27, 2022
- Assets in custody · $11.1M to $24.9MMay 25, 2022 to Sep 27, 2022
- Discretionary RAUM · $193M to $222MMay 25, 2022 to Sep 27, 2022
- Pooled vehicle RAUM · $193M to $222MMay 25, 2022 to Sep 27, 2022
- RAUM · $193M to $222MMay 25, 2022 to Sep 27, 2022
- Related bank · true to falseMay 25, 2022 to Sep 27, 2022
- Accounts · 10 to 7Apr 30, 2021 to Sep 28, 2021
- Advisory employees · 11 to 9Apr 30, 2021 to Sep 28, 2021
- Pooled vehicle clients · 3 to 7Apr 30, 2021 to Sep 28, 2021
- Assets in custody · $289M to $11.1MApr 30, 2021 to Sep 28, 2021
- Employees · 11 to 9Apr 30, 2021 to Sep 28, 2021
- Private funds · 2 to 1Apr 30, 2021 to Sep 28, 2021
- Discretionary RAUM · $289M to $193MApr 30, 2021 to Sep 28, 2021
- Pooled vehicle RAUM · $150M to $193MApr 30, 2021 to Sep 28, 2021
- RAUM · $289M to $193MApr 30, 2021 to Sep 28, 2021
- Accounts · 27 to 10Sep 30, 2019 to Sep 28, 2020
- Advisory employees · 8 to 11Sep 30, 2019 to Sep 28, 2020
- Charity clients · unset to 0.0Sep 30, 2019 to Sep 28, 2020
- Corporate clients · unset to 0.0Sep 30, 2019 to Sep 28, 2020
- Pension plan clients · unset to 0.0Sep 30, 2019 to Sep 28, 2020
- Pooled vehicle clients · 15 to 3Sep 30, 2019 to Sep 28, 2020
- Assets in custody · $1.5B to $289MSep 30, 2019 to Sep 28, 2020
- Employees · 8 to 11Sep 30, 2019 to Sep 28, 2020
- Private funds · 5 to 2Sep 30, 2019 to Sep 28, 2020
- Discretionary RAUM · $1.5B to $289MSep 30, 2019 to Sep 28, 2020
- Pooled vehicle RAUM · $553M to $150MSep 30, 2019 to Sep 28, 2020
- RAUM · $1.5B to $289MSep 30, 2019 to Sep 28, 2020
- Accounts · 25 to 27Oct 11, 2018 to Sep 30, 2019
- Advisory employees · 11 to 8Oct 11, 2018 to Sep 30, 2019
- Pooled vehicle clients · 19 to 15Oct 11, 2018 to Sep 30, 2019
- Assets in custody · $1.8B to $1.5BOct 11, 2018 to Sep 30, 2019
- Employees · 18 to 8Oct 11, 2018 to Sep 30, 2019
- Private funds · 9 to 5Oct 11, 2018 to Sep 30, 2019
- Discretionary RAUM · $1.8B to $1.5BOct 11, 2018 to Sep 30, 2019
- Non-discretionary RAUM · $764M to $0Oct 11, 2018 to Sep 30, 2019
- Pooled vehicle RAUM · $621M to $553MOct 11, 2018 to Sep 30, 2019
- RAUM · $2.6B to $1.5BOct 11, 2018 to Sep 30, 2019
- Accounts · 19 to 25Aug 27, 2018 to Sep 27, 2018
- HNW clients · unset to 0.0Aug 27, 2018 to Sep 27, 2018
Signals
7 dated events
- D••• Clinton (Director) appeared on Schedule A of I••••••••• I••••••••• A••••••• L••••••Sep 27, 2022 · Control person joined · fact
- I••••••••• I••••••••• A••••••• L•••••• reported RAUM $289.1M, down 80% from $1.5B (2019-09-30 to 2020-09-28)Sep 28, 2020 · RAUM change · derived
- Mufeed Rajab (Director) no longer on Schedule A of I••••••••• I••••••••• A••••••• L•••••• (listed 2019-09-30, absent 2020-09-28)Sep 28, 2020 · Control person left · inference
- I••••••••• I••••••••• A••••••• L•••••• reported RAUM $1.5B, down 43% from $2.6B (2018-10-11 to 2019-09-30)Sep 30, 2019 · RAUM change · derived
- Harsh Shethia (Director) no longer on Schedule A of I••••••••• I••••••••• A••••••• L•••••• (listed 2018-10-11, absent 2019-09-30)Sep 30, 2019 · Control person left · inference
- H E•••••• E•••••• (Director) appeared on Schedule A of I••••••••• I••••••••• A••••••• L••••••Sep 30, 2019 · Control person joined · fact
- A•••• A••••••••• (Director) appeared on Schedule A of I••••••••• I••••••••• A••••••• L••••••Sep 30, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- I••••••••• I••••••••• A••••••• 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