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

Pavilion Advisory Group Inc.

Former SEC-registered adviserChicago, IllinoisCRD 137901SEC 801-64975IAPD
Latest filing Dec 19, 2018
First filing on the tape Jan 23, 2012 · 32 filings
RAUM
$3.1B
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
93
82 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$3.1B as of Mar 28, 2018
Jan 23, 2012$6.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2018
Jan 23, 20120 then
Employees (5.A)93 as of Mar 28, 2018
Mar 27, 201323 then
Private funds: no history
RAUM +37% over the last fiscal year+72% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 19, 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
$197MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
66%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+37%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, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
pension consulting, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
Custody
$4.9M, 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)
  • 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
  • Pension and profit-sharing plans$1.6B76%
  • Charitable organizations$500M24%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
9reported
Accounts
16reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$4.9M for 1 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
      • Laurin Jamie Abbott · Treasurercontrol
        since 03/2014 · owns less than 5%
      • Eric Bolduc · Chief Operating Officercontrol
        since 06/2016 · owns less than 5%
      • James Colin Dean · Secretarycontrol
        since 11/2018 · owns less than 5%
      • Michael Jeremiah France · Directorcontrol
        since 11/2018 · owns less than 5%
      • Scott Richard Joseph · Directorcontrol
        since 11/2018 · owns less than 5%
      • Teresa Christine Mahoney · Directorcontrol
        since 11/2018 · owns less than 5%
      • Normantas Susan Mcdermott · Chief Investment Officercontrol
        since 10/2016 · owns less than 5%
      • Keith John Jr. Mote · Director, President And Managing Directorcontrol
        since 09/2012 · owns less than 5%
      • A Carolyn Tuohy · Chief Compliance Officercontrol
        since 03/2017 · owns less than 5%
      Entity owners
      • Pavilion Financial Corporation Holdings Inc. · Shareholder
        direct · owns 75% or more
      • Marsh & Mclennan Companies, Inc. · Member
        indirect · owns 75% or more of Marsh LLC · public reporting company
      • Marsh International Holdings II, Inc. · Member
        indirect · owns 75% or more of Mmc International Holdings LLC
      • Marsh International Holdings, Inc. · Shareholder
        indirect · owns 50% to 75% of Marsh International Holdings II, Inc.
      • Marsh LLC · Shareholder
        indirect · owns 75% or more of Marsh USA Inc
      • Marsh USA Inc · Shareholder
        indirect · owns 75% or more of Marsh International Holdings, Inc.
      • Mercer Consulting Group, Inc. · Member
        indirect · owns 75% or more of Mercer LLC
      • Mercer Holdings, Inc. · Shareholder
        indirect · owns 25% to 50% of Marsh International Holdings II, Inc.
      • Mercer LLC · Shareholder
        indirect · owns 75% or more of Mercer Holdings, Inc.
      • Mmc International Holdings LLC · Shareholder
        indirect · owns 75% or more of Pavilion Financial Corporation Holdings Inc.
      Related persons
      Schedule D 7.A
      • Altius Associates Gp Limited
        pooled vehicle sponsorn
      • Altius Associates Special Partner Gp Limited
        pooled vehicle sponsorn
      • Altius Client (Gp) II LLC
        pooled vehicle sponsorn
      • Altius Client (Gp) LLC
        pooled vehicle sponsorn
      • Altius Client JP Limited
        pooled vehicle sponsorn
      • Altius Real Assets (Gp) LLC
        pooled vehicle sponsorn
      • Altius Real Assets Management S.A.R.L
        pooled vehicle sponsorn
      • Pavilion Advisory Group Ltd.
        investment adviserbankLP sponsorn
      • Pavilion Alternatives Group (Singapore) Pte. Ltd.
        investment advisern
      • Mercer Alternatives Limited
        investment advisernRAUM $5.5B
      • Pavilion Alternatives Group, LLC
        investment adviserLP sponsorn
      • Pavilion Financial Corporation
        pooled vehicle sponsory
      • Pavilion Global Markets Inc.
        investment advisern
      • Pavilion Global Markets Ltd.
        broker-dealertrust companyn
      Advisers that list Pavilion Advisory Group Inc. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Minneapolis, MN45 employees
      • New York, NY2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 17 to 16
        Aug 31, 2017 to Mar 28, 2018
      • Advisory employees · 89 to 82
        Aug 31, 2017 to Mar 28, 2018
      • Advisory activities · 4 to 5
        Aug 31, 2017 to Mar 28, 2018
      • Charity clients · unset to 9.0
        Aug 31, 2017 to Mar 28, 2018
      • Assets in custody · $685M to $4.9M
        Aug 31, 2017 to Mar 28, 2018
      • Employees · 95 to 93
        Aug 31, 2017 to Mar 28, 2018
      • Other offices · unset to 3.0
        Aug 31, 2017 to Mar 28, 2018
      • Discretionary RAUM · $2.3B to $3.1B
        Aug 31, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 1563695234.0
        Aug 31, 2017 to Mar 28, 2018
      • RAUM · $2.3B to $3.1B
        Aug 31, 2017 to Mar 28, 2018
      • Accounts · 6 to 17
        Dec 21, 2016 to Mar 30, 2017
      • Advisory employees · 31 to 89
        Dec 21, 2016 to Mar 30, 2017
      • Assets in custody · $713M to $685M
        Dec 21, 2016 to Mar 30, 2017
      • Employees · 35 to 95
        Dec 21, 2016 to Mar 30, 2017
      • Discretionary RAUM · $952M to $2.3B
        Dec 21, 2016 to Mar 30, 2017
      • RAUM · $952M to $2.3B
        Dec 21, 2016 to Mar 30, 2017
      • Assets in custody · unset to 713490365.0
        Sep 9, 2016 to Dec 21, 2016
      • Custody of client assets · false to true
        Sep 9, 2016 to Dec 21, 2016
      • Accounts · 4 to 6
        Jun 11, 2015 to Mar 29, 2016
      • Advisory employees · 24 to 31
        Jun 11, 2015 to Mar 29, 2016
      • Employees · 32 to 35
        Jun 11, 2015 to Mar 29, 2016
      • Discretionary RAUM · $621M to $952M
        Jun 11, 2015 to Mar 29, 2016
      • RAUM · $621M to $952M
        Jun 11, 2015 to Mar 29, 2016
      • Accounts · 2 to 4
        Nov 20, 2014 to Mar 24, 2015
      • State-registered IARs · 5 to 0
        Nov 20, 2014 to Mar 24, 2015
      • Discretionary RAUM · $490M to $621M
        Nov 20, 2014 to Mar 24, 2015
      • RAUM · $490M to $621M
        Nov 20, 2014 to Mar 24, 2015
      • Accounts · unset to 2.0
        Apr 17, 2014 to Jun 23, 2014
      • Advisory employees · 19 to 24
        Apr 17, 2014 to Jun 23, 2014
      • Employees · 23 to 32
        Apr 17, 2014 to Jun 23, 2014
      • State-registered IARs · 0 to 5
        Apr 17, 2014 to Jun 23, 2014
      • Discretionary RAUM · unset to 490000000.0
        Apr 17, 2014 to Jun 23, 2014
      • Non-discretionary RAUM · unset to 0.0
        Apr 17, 2014 to Jun 23, 2014
      • RAUM · unset to 490000000.0
        Apr 17, 2014 to Jun 23, 2014
      • Advisory activities · 5 to 4
        Mar 27, 2013 to Mar 28, 2014
      • Accounts · 5.0 to unset
        Jan 16, 2013 to Mar 27, 2013
      • Advisory employees · 18 to 19
        Jan 16, 2013 to Mar 27, 2013
      • Employees · 24 to 23
        Jan 16, 2013 to Mar 27, 2013
      • Discretionary RAUM · 7253547.0 to unset
        Jan 16, 2013 to Mar 27, 2013
      • Non-discretionary RAUM · 0.0 to unset
        Jan 16, 2013 to Mar 27, 2013
      Signals
      1 dated events
      • Pavilion Advisory Group Inc. reported RAUM $3.1B, up 37% from $2.3B (2017-08-31 to 2018-03-28)
        Mar 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.
      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