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
L••••••••• I••••••••• P•••••••• L••
Latest filing Aug 27, 2026
First filing on the tape Mar 28, 2012 · 107 filings
SEC status approved since Nov 29, 2005
RAUM
$87B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$29B
derived; firm RAUM over IAPD count
Employees
481
206 advisory (5.B.1)
Offices
22
beyond the principal office
Private funds
141
reported on Schedule D
History
107 filings and snapshots on the tape
RAUM$87B as of Aug 27, 2026
Sep 27, 2012$21B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 27, 2026
Sep 27, 20132 then
Employees (5.A)481 as of Aug 27, 2026
Sep 27, 201377 then
Private funds141 as of Aug 27, 2026
Sep 27, 2012127 then
RAUM +18% over the last fiscal year+17% a year over threeIARs 2 to 0offices 19 to 22
Practice profile
derived from the filing of Aug 27, 2026; every figure names its basis
- RAUM per advisor
- $29BderivedRAUM 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
- $683MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 160.3derivedItem 5.A over advisors
- Advisors per office
- 0.1derived23 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $60B, 107 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$86B98%
- Sovereign wealth funds$1.6B1.8%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 128reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $60B for 107 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.98 institutional_share=0.02 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• M•••••• B•••••Chartered Financial Analyst | Palm Beach Gardens, Fl | Nov 10, 2022 | 21 y | 0 |
| J••••••• G•• | Palm Beach Gardens, Fl | Dec 16, 2022 | 16 y | 0 |
| M•••••• J••••• | Bellaire, Tx | Jun 16, 2025 | 23 y | 4 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• J••••• from E••••••••• C•••••• M••••••••• L•Jun 16, 2025 · Other
Private funds
200 reported on Schedule D 7.B.(1)
All funds of L••••••••• I••••••••• P•••••••• L••
Owners and control persons
Schedule A and B, latest filing
- A••••••• C••••• D••••• · Chief Compliance Officercontrolsince 01/2016 · owns less than 5%
- B•••••••• B•••••••• C•••••• · Presidentcontrolsince 01/2022 · owns less than 5%
- M••••••• S•••• G••••• · Chief Executive Officer, Chief Investment Officercontrolsince 01/2022 · owns less than 5%
- P••••••• J••• S•••• · Vice President And Executive Managing D•••••••controlsince 08/2005 · owns less than 5%
- P•••••• D••••• G•••••• · Chief Legal Officer / Chief Administrative Officercontrolsince 12/2023 · owns less than 5%
- S•••• R•••••• P•••••••• · Vice President And Chief Operating Officercontrolsince 08/2005 · owns less than 5%
Entity owners
- L•• I••••••••• L•• · Memberdirect · owns 75% or more
- B••• O•• C•••••• C•••• L• · Memberindirect · owns 75% or more of B••• O•• G• S••••• G• H••••••• L••
- B••• O•• C•••••• G• H••••••• L•• · Managing Memberindirect · owns 75% or more of B••• O•• C•••••• G• L••
- B••• O•• C•••••• G• L•• · General Partnerindirect · owns F of B••• O•• C•••••• C•••• L•
- B••• O•• C•••••• I••• · Managing Memberindirect · owns 75% or more of B••• O•• C•••••• G• H••••••• L•• · public reporting company
- B••• O•• G• S••••• G• H••••••• L•• · General Partnerindirect · owns F of B••• O•• G• S••••• O••••••• I••••••• L•
- B••• O•• G• S••••• I• G• L•• · General Partnerindirect · owns F of B••• O•• G• S••••• I• •••• L•
- B••• O•• G• S••••• I• G• L•• · General Partnerindirect · owns F of B••• O•• G• S••••• I• ••••• L•
- B••• O•• G• S••••• I• G• L•• · General Partnerindirect · owns F of B••• O•• G• S••••• O••••••• I••••••• L•
- B••• O•• G• S••••• O••••••• I••••••• L• · L•••••• Partnerindirect · owns 50% to 75% of B••• O•• G• S••••• I• •••• L•
- B••• O•• G• S••••• O••••••• I••••••• L• · L•••••• Partnerindirect · owns 50% to 75% of B••• O•• G• S••••• I• ••••• L•
- H•• L••••••••• H••••••• C•••• · Memberindirect · owns 75% or more of L•• I••••••••• L••
- N•••••••• G••••• I••••••••• L•••••• · S••••Holderindirect · owns 75% or more of H•• L••••••••• H••••••• C••••
- N••• A••••••••• L•• · Managing Memberindirect · owns F of N••• B••• I••••••••• L••
- N••• B••• I••••••••• L•• · L•••••• Partnerindirect · owns 25% to 50% of B••• O•• C•••••• C•••• L•
- N•••••••• B••••• A•••••••• L•• · Trusteeindirect · owns F of D••• T•••• I•
- H•• L••••••••• H••••••• C•••• · Memberdirect · owns 10% to 25%
- B••• O•• G• S••••• I• •••• L• · Memberindirect · owns 50% to 75% of D••• T•••• I•
- B••• O•• G• S••••• I• ••••• L• · Memberindirect · owns 50% to 75% of D••• T•••• I•
- D••• T•••• I• · S••••Holderindirect · owns 25% to 50% of N•••••••• G••••• I••••••••• L••••••
Related persons
Schedule D 7.A
- A•••••• L••••••pooled vehicle sponsory
- L•• 9•• L••pooled vehicle sponsory
- L••••••••• P••••••• H• L••••••investment advisery
- L••••••••• P••••••• U•• L••investment advisery
- L•••••••• A••••••••• L•••investment adviserpooled vehicle sponsorn
- M•• D••••••• S••••••• L••••••pooled vehicle sponsory
- N•••••••• G••••• I••••••••• L••••••investment advisery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Palm Beach Gardens, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New Y•••, NY12 employees
- Chicago, IL8 employees
- London, United Kingdom6 employees
- Hong Kong, Hong Kong5 employees
- Singapore, Singapore3 employees
- Chicago, IL3 employees
- Portland, ME1 employees
- Boston, MA1 employees
- , 1 employees
- Dubai, United Arab Emirates1 employees
- Hong Kong - Central, China1 employees
- New Haven, CT1 employees
- Pensacola, FL1 employees
- P••••••, AZ1 employees
What changed
consecutive filings, newest first
- Private funds · 137 to 141May 28, 2026 to Aug 27, 2026
- Private funds · 136 to 137Apr 29, 2026 to May 28, 2026
- Private funds · 135 to 136Nov 25, 2025 to Feb 26, 2026
- Accounts · 137 to 128Aug 27, 2025 to Nov 25, 2025
- Advisory employees · 171 to 206Aug 27, 2025 to Nov 25, 2025
- Pooled vehicle clients · 135 to 126Aug 27, 2025 to Nov 25, 2025
- Assets in custody · $46B to $60BAug 27, 2025 to Nov 25, 2025
- Employees · 413 to 481Aug 27, 2025 to Nov 25, 2025
- State-registered IARs · 2 to 0Aug 27, 2025 to Nov 25, 2025
- Other offices · 21 to 22Aug 27, 2025 to Nov 25, 2025
- Private funds · 152 to 135Aug 27, 2025 to Nov 25, 2025
- Discretionary RAUM · $72B to $85BAug 27, 2025 to Nov 25, 2025
- Non-discretionary RAUM · $2.2B to $2.2BAug 27, 2025 to Nov 25, 2025
- Pooled vehicle RAUM · $72B to $86BAug 27, 2025 to Nov 25, 2025
- RAUM · $74B to $87BAug 27, 2025 to Nov 25, 2025
- Private funds · 147 to 152Jul 24, 2025 to Aug 27, 2025
- Financial planning clients · unset to May 28, 2025 to Jul 24, 2025
- Other offices · 19 to 21May 28, 2025 to Jul 24, 2025
- Private funds · 143 to 147Feb 26, 2025 to May 28, 2025
- Private funds · 140 to 143Jan 30, 2025 to Feb 26, 2025
- Private funds · 135 to 140Sep 27, 2024 to Nov 27, 2024
- Accounts · 151 to 137Aug 28, 2024 to Sep 27, 2024
- Advisory employees · 124 to 171Aug 28, 2024 to Sep 27, 2024
- Pooled vehicle clients · 149 to 135Aug 28, 2024 to Sep 27, 2024
- Assets in custody · $31B to $46BAug 28, 2024 to Sep 27, 2024
- Employees · 286 to 413Aug 28, 2024 to Sep 27, 2024
- Other offices · 21 to 19Aug 28, 2024 to Sep 27, 2024
- Private funds · 156 to 135Aug 28, 2024 to Sep 27, 2024
- Discretionary RAUM · $53B to $72BAug 28, 2024 to Sep 27, 2024
- Non-discretionary RAUM · $2.3B to $2.2BAug 28, 2024 to Sep 27, 2024
- Pooled vehicle RAUM · $54B to $72BAug 28, 2024 to Sep 27, 2024
- RAUM · $56B to $74BAug 28, 2024 to Sep 27, 2024
- Private funds · 153 to 156Jul 12, 2024 to Aug 28, 2024
- Other offices · 20 to 21Mar 21, 2024 to May 24, 2024
- Private funds · 152 to 153Mar 21, 2024 to May 24, 2024
- Private funds · 150 to 152Feb 1, 2024 to Feb 28, 2024
- Private funds · 128 to 150Nov 8, 2023 to Nov 27, 2023
- Accounts · 145 to 151Aug 25, 2023 to Sep 28, 2023
- Advisory employees · 68 to 124Aug 25, 2023 to Sep 28, 2023
- Pooled vehicle clients · 143 to 149Aug 25, 2023 to Sep 28, 2023
Signals
7 dated events
- L••••••••• I••••••••• P•••••••• L•• reported RAUM $74.1B, up 33% from $55.8B (2024-08-28 to 2024-09-27)Sep 27, 2024 · RAUM change · derived
- L••••••••• I••••••••• P•••••••• L•• reported 20 offices beyond its principal office, up from 11 (2023-08-25 to 2023-09-28)Sep 28, 2023 · Office count change · derived
- L••••••••• I••••••••• P•••••••• L•• reported 10 offices beyond its principal office, up from 4 (2022-08-26 to 2022-09-28)Sep 28, 2022 · Office count change · derived
- Ross Kelly Perkins (Co-Chief Investment Officer) no longer on Schedule A of L••••••••• I••••••••• P•••••••• L•• (listed 2021-11-29, absent 2022-01-28)Jan 28, 2022 · Control person left · inference
- C•••••• B••••••• B••••••• (President) appeared on Schedule A of L••••••••• I••••••••• P•••••••• L••Jan 28, 2022 · Control person joined · fact
- L••••••••• I••••••••• P•••••••• L•• reported RAUM $64.1B, up 39% from $46.3B (2021-08-27 to 2021-09-28)Sep 28, 2021 · RAUM change · derived
- L••••••••• I••••••••• P•••••••• L•• reported RAUM $45.8B, up 27% from $36.0B (2018-08-28 to 2018-09-28)Sep 28, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/north-rock-llcreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/pier61reportedpublic record, Form ADV, Sep 18, 2026
- Website
- secure.ssnc.cloudreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 561-741-0820reportedpublic record, Form ADV, Aug 27, 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
- $29Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026