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
P••••••••• I••••••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 23, 2012 · 23 filings
SEC status approved since Mar 13, 2007
RAUM
$6.2B
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
91
30 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
12
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$6.2B as of Mar 31, 2026
Mar 23, 2012$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 23, 20120 then
Employees (5.A)91 as of Mar 31, 2026
Mar 28, 201315 then
Private funds12 as of Mar 31, 2026
Mar 28, 20131 then
RAUM +36% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $410MderivedRAUM 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
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%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 vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- yesreportedItem 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)
- 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$2.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 15reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
17 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••••• S••••• C••••• F••• L••••••• L• | Other Private Fund | $382M | 28 | Mar 30, 2020 |
| P••••••••• C•• V• L••• | Securitized Asset Fund | $318M | 2 | Mar 30, 2022 |
| P••••••••• C•• I• L••• | Securitized Asset Fund | $303M | 2 | Mar 30, 2022 |
| P••••••••• C•• I•• L•• | Securitized Asset Fund | $302M | 2 | Mar 30, 2022 |
| P••••••••• C•• I• L•• | Securitized Asset Fund | $301M | 1 | Mar 26, 2021 |
| P••••••••• C•• I•• L••• | Other Private Fund | $295M | 2 | Mar 30, 2022 |
| P••••••••• C••••• O••••••••• F••• I• A••••••••• L• | Other Private Fund | $225M | 13 | Mar 29, 2023 |
| P••••••••• C••••• O••••••••• F••• I••• L• | Other Private Fund | $219M | 37 | Mar 29, 2019 |
| P••••••••• S••••• C••••• F•••• L•• | Other Private Fund | $130M | 3 | Mar 30, 2020 |
| P••••••••• S••••• C••••• F••• S••• L• | Other Private Fund | $129M | 1 | Mar 30, 2022 |
| P••••••••• C•••••• L•••••••• S••••••••• L• | Other Private Fund | $100M | 2 | Mar 27, 2024 |
| P••••••••• C••••• O••••••••• F••• I•• L• | Other Private Fund | $80.6M | 18 | Mar 23, 2015 |
| P••••••••• C••••• O••••••••• F•••• L•no longer reported | Hedge Fund | $45.6M | 9 | Mar 28, 2013 |
| T••• I• P••••••• H••••••• L• | Other Private Fund | $25.3M | 1 | Apr 28, 2022 |
| S• C••••• A••••••••• L•• | Other Private Fund | $18.8M | 2 | Mar 30, 2020 |
| B••••••• R••• W• F•••••• S•• 2• L• | Other Private Fund | $13.9M | 1 | Mar 26, 2021 |
| B••••••• R••• W• F•••••• S••• L• | Other Private Fund | $3.6M | 2 | Mar 30, 2018 |
Owners and control persons
Schedule A and B, latest filing
- P•••• A•••••• H••••• · Managing Membercontrolsince 03/2007 · owns 50% to 75%
- C••••• L••• D••••• · Co-Trustee Of A••••• H• P••• 2••• T••••since 05/2021 · owns less than 5%
- G••••• F••••• R••••• · Chief Compliance Officersince 05/2023 · owns less than 5%
- P•••• I••••• D• · Trustee Of A••••• H• P••• 2••• T•••• M•• 2••• G•• T•••• A•• 2••• G•• T•••• E•• 2••• G•• T••••since 05/2021 · owns less than 5%
Entity owners
- A••••• H• P••• 2••• T•••• · Memberdirect · owns 10% to 25%
- A•• 2••• G•• T•••• · Memberdirect · owns 10% to 25%
- E•• 2••• G•• T•••• · Memberdirect · owns 10% to 25%
- M•• 2••• G•• T•••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- P••••••••• B•• L••pooled vehicle sponsory
- P••••••••• C•••••• I••• L••bankpooled vehicle sponsory
- P••••••••• C•••••• I• G•• L••bankpooled vehicle sponsory
- P••••••••• C••••••• L••bankpooled vehicle sponsory
- P••••••••• C••••••• L••bankpooled vehicle sponsory
- P••••••••• S••••• C••••••• L••bankpooled vehicle sponsory
- P••••••••• S••••• C••••• F••• S•• G•• L••bankpooled vehicle sponsory
- P••••••••• S••••• C••••• L••••••• L••bankpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- New York, NY48 employees
- Chicago, IL2 employees
- Amsterdam, Netherlands1 employees
- Houston, TX1 employees
- Santa Monica, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 31, 2026bank affiliate (Item 7.A.6): yes on the filing of 2025-05-12, no on the filing of 2026-03-31peers: asset managers, $5B to $20B (684)
What changed
consecutive filings, newest first
- Accounts · 19 to 15May 12, 2025 to Mar 31, 2026
- Advisory employees · 25 to 30May 12, 2025 to Mar 31, 2026
- Pooled vehicle clients · 17 to 12May 12, 2025 to Mar 31, 2026
- Assets in custody · $4.4B to $0May 12, 2025 to Mar 31, 2026
- Employees · 79 to 91May 12, 2025 to Mar 31, 2026
- Private funds · 13 to 12May 12, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.4B to $6.1BMay 12, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $118M to $17.6MMay 12, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.7B to $2.1BMay 12, 2025 to Mar 31, 2026
- RAUM · $4.5B to $6.2BMay 12, 2025 to Mar 31, 2026
- Related adviser · false to trueMay 12, 2025 to Mar 31, 2026
- Related bank · true to falseMay 12, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to May 12, 2025
- Accounts · 15 to 19Mar 27, 2024 to Mar 31, 2025
- Advisory employees · 24 to 25Mar 27, 2024 to Mar 31, 2025
- Pooled vehicle clients · 13 to 17Mar 27, 2024 to Mar 31, 2025
- Assets in custody · $3.7B to $4.4BMar 27, 2024 to Mar 31, 2025
- Employees · 67 to 79Mar 27, 2024 to Mar 31, 2025
- Private funds · 11 to 13Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.9B to $4.4BMar 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $85.4M to $118MMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.4B to $2.7BMar 27, 2024 to Mar 31, 2025
- RAUM · $4.0B to $4.5BMar 27, 2024 to Mar 31, 2025
- Accounts · 19 to 15May 10, 2023 to Mar 27, 2024
- Advisory employees · 31 to 24May 10, 2023 to Mar 27, 2024
- Pooled vehicle clients · 17 to 13May 10, 2023 to Mar 27, 2024
- Assets in custody · $4.4B to $3.7BMay 10, 2023 to Mar 27, 2024
- Employees · 61 to 67May 10, 2023 to Mar 27, 2024
- Other offices · 0 to 5May 10, 2023 to Mar 27, 2024
- Private funds · 15 to 11May 10, 2023 to Mar 27, 2024
- Discretionary RAUM · $4.4B to $3.9BMay 10, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $118M to $85.4MMay 10, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $2.7B to $1.4BMay 10, 2023 to Mar 27, 2024
- RAUM · $4.5B to $4.0BMay 10, 2023 to Mar 27, 2024
- Accounts · 15 to 19Apr 28, 2022 to Mar 29, 2023
- Advisory employees · 24 to 31Apr 28, 2022 to Mar 29, 2023
- Pooled vehicle clients · 13 to 17Apr 28, 2022 to Mar 29, 2023
- Assets in custody · $0 to $4.4BApr 28, 2022 to Mar 29, 2023
- Custody of client assets · false to trueApr 28, 2022 to Mar 29, 2023
- Employees · 51 to 61Apr 28, 2022 to Mar 29, 2023
Signals
4 dated events
- P••••••••• I••••••••• A•••••••• L•• reported RAUM $6.2B, up 36% from $4.5B (2025-05-12 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- P••••••••• I••••••••• A•••••••• L•• reported 5 offices beyond its principal office, up from 0 (2023-05-10 to 2024-03-27)Mar 27, 2024 · Office count change · derived
- P••••••••• I••••••••• A•••••••• L•• reported RAUM $4.7B, up 31% from $3.6B (2022-01-04 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- P••••••••• I••••••••• A•••••••• L•• reported RAUM $3.4B, up 40% from $2.5B (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P••••••••• I••••••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••••••••• I••••••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- P•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-905-1000reportedpublic record, Form ADV, Mar 31, 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