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•••••• A•••••••• L••••••

Former SEC-registered adviserMelbourne, CRD 145813SEC 801-68638IAPD
Latest filing Mar 31, 2014
First filing on the tape Dec 22, 2011 · 8 filings
RAUM
$3.7B
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
44
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$3.7B as of Mar 31, 2014
Mar 26, 2012$5.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Mar 26, 20120 then
Employees (5.A)44 as of Mar 31, 2014
Mar 25, 201346 then
Private funds: no history
RAUM -16% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2014; 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
$91.2MderivedRAUM 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
-16%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
41reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• N••••••• J••• · Head Of Legal And Company Secretary
        since 04/2011 · owns less than 5%
      • F••••• M•••••• P•••• · Ceo,Director
        since 10/2013 · owns less than 5%
      • L•• A•••••• T•• S•••• · Director
        since 07/1998 · owns less than 5%
      • S••••••• J•••••• C•••••• · Director
        since 08/2000 · owns less than 5%
      • S••••••• J•••• E•••••••• · Head Of Compliance
        since 04/2013 · owns less than 5%
      • Y••••••• M•••• D•••• · Director
        since 11/2007 · owns less than 5%
      Entity owners
      • I•••••• P•••••• G•••• L•••••• · Direct Owner
        direct · owns 75% or more
      • I•••••• L•••••• · Indirect Owner
        indirect · owns 50% to 75% of Ivz, Inc. · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 34 to 41
        Feb 20, 2014 to Mar 31, 2014
      • Advisory employees · 8 to 10
        Feb 20, 2014 to Mar 31, 2014
      • Employees · 46 to 44
        Feb 20, 2014 to Mar 31, 2014
      • Discretionary RAUM · $4.5B to $3.7B
        Feb 20, 2014 to Mar 31, 2014
      • RAUM · $4.5B to $3.7B
        Feb 20, 2014 to Mar 31, 2014
      • Accounts · 48 to 34
        Mar 26, 2012 to Mar 25, 2013
      • Advisory employees · unset to 8.0
        Mar 26, 2012 to Mar 25, 2013
      • Advisory activities · 2 to 4
        Mar 26, 2012 to Mar 25, 2013
      • Employees · unset to 46.0
        Mar 26, 2012 to Mar 25, 2013
      • Discretionary RAUM · $5.1B to $4.5B
        Mar 26, 2012 to Mar 25, 2013
      • RAUM · $5.1B to $4.5B
        Mar 26, 2012 to Mar 25, 2013
      • Assets in custody · 62000000.0 to unset
        Dec 22, 2011 to Mar 26, 2012
      • Custody of client assets · true to false
        Dec 22, 2011 to Mar 26, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 22, 2011 to Mar 26, 2012
      • Discretionary RAUM · $7.6B to $5.1B
        Dec 22, 2011 to Mar 26, 2012
      • RAUM · $7.6B to $5.1B
        Dec 22, 2011 to Mar 26, 2012
      • Related bank · false to true
        Dec 22, 2011 to Mar 26, 2012
      Signals
      No event on the tape.
      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
      Across the graphs

      I•••••• A•••••••• L•••••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

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