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
M•• A•••• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Mar 29, 2012 · 24 filings
SEC status approved since Nov 9, 2010
RAUM
$9.7B
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
39
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
30
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$9.7B as of Mar 23, 2026
Mar 29, 2012$3.4B then
HNW client RAUM$0 as of Mar 23, 2026
Mar 19, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 26, 20130 then
Employees (5.A)39 as of Mar 23, 2026
Mar 26, 201332 then
Private funds30 as of Mar 23, 2026
Mar 29, 20129 then
RAUM -26% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 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
- $323MderivedRAUM 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
- -26%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
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$9.7B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 30reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
51 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V•••••• X••••• C••• L•••••• | Securitized Asset Fund | $5.1B | 5 | Mar 19, 2018 |
| V•••••• X•• C••• L•••••• | Securitized Asset Fund | $910M | 4 | Mar 19, 2018 |
| V•••••• 3• C••• L•••••• | Securitized Asset Fund | $742M | 2 | Mar 26, 2019 |
| V•••••• 3• C••• L•••••• | Securitized Asset Fund | $693M | 4 | Mar 26, 2019 |
| V•••••• 3• C••• L•••••• | Securitized Asset Fund | $637M | 3 | Mar 26, 2019 |
| V•••••• 3• C••••••••• | Securitized Asset Fund | $625M | 4 | Mar 23, 2021 |
| V•••••• X••• C••• L•••••• | Securitized Asset Fund | $615M | 2 | Mar 19, 2018 |
| V•••••• 3• C••• L••••••• | Securitized Asset Fund | $610M | 3 | Mar 26, 2020 |
| V•••••• X•• C••• L•••••• | Securitized Asset Fund | $602M | 2 | Mar 24, 2015 |
| V•••••• X• C••• L•••••• | Securitized Asset Fund | $600M | 5 | Mar 26, 2014 |
| V•••••• 3• C••• L•••••• | Securitized Asset Fund | $585M | 3 | Mar 26, 2019 |
| V•••••• 3• C••• L•••••• | Securitized Asset Fund | $584M | 3 | Mar 26, 2019 |
| V•••••• 4• C••• L•••••• | Securitized Asset Fund | $578M | 2 | Mar 25, 2022 |
| V•••••• X••• C••• L•••••• | Securitized Asset Fund | $563M | 3 | Feb 25, 2016 |
| V•••••• 4• C••• L•••••• | Securitized Asset Fund | $559M | 2 | Mar 25, 2022 |
| V•••••• 3• C••• L•••••• | Securitized Asset Fund | $546M | 2 | Mar 26, 2020 |
| V•••••• X•••• C••• L••••••• | Securitized Asset Fund | $535M | 3 | Mar 19, 2018 |
| V•••••• 3• C••• L•••••• | Securitized Asset Fund | $516M | 4 | Mar 26, 2020 |
| V•••••• 2•• C••• L•••••• | Securitized Asset Fund | $516M | 3 | Mar 19, 2018 |
| V•••••• 4• C••• L•••••• | Securitized Asset Fund | $509M | 6 | Mar 25, 2022 |
| V•••••• 4• C••• L•••••• | Securitized Asset Fund | $507M | 3 | Mar 25, 2022 |
| V•••••• 4• C••• L•••••• | Securitized Asset Fund | $502M | 5 | Mar 28, 2023 |
| V•••••• X• C••• L••••••no longer reported | Securitized Asset Fund | $470M | 5 | Mar 26, 2013 |
| V•••••• 4• C••• L•••••• | Securitized Asset Fund | $466M | 4 | Mar 23, 2021 |
| V•••••• X•• C••• L••••••no longer reported | Securitized Asset Fund | $434M | 5 | Mar 26, 2013 |
| V•••••• 4• C•• L•••••• | Securitized Asset Fund | $412M | 3 | Mar 28, 2024 |
| V•••••• X• C••• L••••••no longer reported | Securitized Asset Fund | $411M | 4 | Mar 26, 2013 |
| V•••••• 4• C•• L•••••• | Securitized Asset Fund | $403M | 4 | Mar 28, 2024 |
| V•••••• X•• C••• L••••••no longer reported | Securitized Asset Fund | $395M | 4 | Mar 26, 2014 |
| V•••••• X••• C••• L•••••• | Securitized Asset Fund | $387M | 7 | Mar 24, 2015 |
| V•••••• X••• C••• L•••••• | Securitized Asset Fund | $345M | 5 | Mar 20, 2017 |
| V•••••• X•••• C••• L•••••• | Securitized Asset Fund | $345M | 4 | Mar 24, 2015 |
| V•••••• X••• C••• L•••••• | Securitized Asset Fund | $336M | 6 | Mar 26, 2013 |
| V•••••• 4• C••• L•••••• | Securitized Asset Fund | $315M | 3 | Mar 28, 2023 |
| V•••••• X••• C••• L•••••• | Securitized Asset Fund | $314M | 3 | Mar 20, 2017 |
| V•••••• X•••• C••• L•••••• | Securitized Asset Fund | $313M | 3 | Mar 20, 2017 |
| V•••••• I• C•• L••••••no longer reported | Securitized Asset Fund | $295M | 7 | Mar 29, 2012 |
| V•••••• V•• C•• L••••••no longer reported | Securitized Asset Fund | $265M | 81 | Mar 29, 2012 |
| V•••••• X• C••• L•••••• | Securitized Asset Fund | $262M | 5 | Feb 25, 2016 |
| V•••••• V••• C•• L••••••no longer reported | Securitized Asset Fund | $260M | 5 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• P••••• · Chief Financial Officer And Head Of Operationscontrolsince 02/2007 · owns less than 5%
- C••••••••• H•••• L• · Chief Executive Officer/Chief Investment Officercontrolsince 08/2003 · owns 50% to 75%
- D••••• M•••••• F• · S••••• Managing Director/S••••• Portfolio Managercontrolsince 08/2003 · owns 25% to 50%
- F•••• T•••••• P• · Chief Legal And Chief Compliance Officercontrolsince 05/2006 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 23, 2026RAUM (Item 5.F) moved from $13,120,111,184 to $9,684,379,798 (-26.0%) between the annual amendments of 2025-03-20 and 2026-03-23; the peer median change was +13.0% (631 comparable advisers, 3.0th percentile of changes)peers: asset managers, $5B to $20B (631) · 3.2% percentile
What changed
consecutive filings, newest first
- Accounts · 31 to 30Mar 20, 2025 to Mar 23, 2026
- Advisory employees · 24 to 22Mar 20, 2025 to Mar 23, 2026
- Employees · 45 to 39Mar 20, 2025 to Mar 23, 2026
- Private funds · 31 to 30Mar 20, 2025 to Mar 23, 2026
- Discretionary RAUM · $13B to $9.7BMar 20, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $13B to $9.7BMar 20, 2025 to Mar 23, 2026
- RAUM · $13B to $9.7BMar 20, 2025 to Mar 23, 2026
- Accounts · 34 to 31Jul 22, 2024 to Mar 20, 2025
- Pooled vehicle clients · 34 to 31Jul 22, 2024 to Mar 20, 2025
- Financial planning clients · unset to Jul 22, 2024 to Mar 20, 2025
- Private funds · 34 to 31Jul 22, 2024 to Mar 20, 2025
- Discretionary RAUM · $17B to $13BJul 22, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $17B to $13BJul 22, 2024 to Mar 20, 2025
- RAUM · $17B to $13BJul 22, 2024 to Mar 20, 2025
- Accounts · 32 to 34Sep 13, 2023 to Mar 28, 2024
- Pooled vehicle clients · 32 to 34Sep 13, 2023 to Mar 28, 2024
- Discretionary RAUM · $18B to $17BSep 13, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $18B to $17BSep 13, 2023 to Mar 28, 2024
- RAUM · $18B to $17BSep 13, 2023 to Mar 28, 2024
- Advisory employees · 25 to 24Mar 25, 2022 to Mar 28, 2023
- Private funds · 32 to 34Mar 25, 2022 to Mar 28, 2023
- Discretionary RAUM · $17B to $18BMar 25, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $17B to $18BMar 25, 2022 to Mar 28, 2023
- RAUM · $17B to $18BMar 25, 2022 to Mar 28, 2023
- Advisory employees · 23 to 25Apr 17, 2021 to Mar 25, 2022
- Employees · 41 to 45Apr 17, 2021 to Mar 25, 2022
- Discretionary RAUM · $16B to $17BApr 17, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $16B to $17BApr 17, 2021 to Mar 25, 2022
- RAUM · $16B to $17BApr 17, 2021 to Mar 25, 2022
- Accounts · 30 to 32Apr 22, 2020 to Mar 23, 2021
- Advisory employees · 22 to 23Apr 22, 2020 to Mar 23, 2021
- Pooled vehicle clients · 30 to 32Apr 22, 2020 to Mar 23, 2021
- Private funds · 30 to 32Apr 22, 2020 to Mar 23, 2021
- Discretionary RAUM · $16B to $16BApr 22, 2020 to Mar 23, 2021
- Pooled vehicle RAUM · $16B to $16BApr 22, 2020 to Mar 23, 2021
- RAUM · $16B to $16BApr 22, 2020 to Mar 23, 2021
- Accounts · 28 to 30Apr 29, 2019 to Mar 26, 2020
- Advisory employees · 24 to 22Apr 29, 2019 to Mar 26, 2020
- Pooled vehicle clients · 28 to 30Apr 29, 2019 to Mar 26, 2020
- Employees · 43 to 41Apr 29, 2019 to Mar 26, 2020
Signals
1 dated events
- M•• A•••• M••••••••• L•• reported RAUM $9.7B, down 26% from $13.1B (2025-03-20 to 2026-03-23)Mar 23, 2026 · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-705-5300reportedpublic record, Form ADV, Mar 23, 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