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
N•• C•••••• A•••• M••••••••• I•••
Latest filing Jul 11, 2018
First filing on the tape Jan 3, 2012 · 23 filings
RAUM
$139M
reported, Item 5.F
Discretionary
0.0%
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
9
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$123M gross assets
History
23 filings and snapshots on the tape
RAUM$132M as of Feb 2, 2018
Mar 29, 2012$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 2, 2018
Mar 25, 20130 then
Employees (5.A)9 as of Feb 2, 2018
Mar 25, 20137 then
Private funds2 as of Feb 2, 2018
Mar 30, 20152 then
RAUM +19% over the last fiscal year+85% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 11, 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
- $69.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- +13%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
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
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, 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
- S••• L• D•••••••• to M••••• S••••••Aug 27, 2018 · Other
- H• J••••• D••••••••• to F••••• B••••• C••••••Jul 11, 2018 · Other
- S••••• L••• L••••••• to H••••• F•••••••• S•••••••• L••May 24, 2018 · Other
- T••••• J• C••••••• to H••••• H••• W••••• A•••••••• L••Dec 31, 2017 · Other
- A••• T•••• to A•••• C••••••• L•••Mar 10, 2015 · Other
- R•••• L••• to V•••• F•••••••• A•••••••• I•••Nov 20, 2014 · Other
- M•••••• A•••••••• N••••• to A•••• C••••••• L•••Oct 4, 2011 · Other
- M•••• P••••• to W•••• F•••• A•••••••Sep 22, 2011 · Other
- S•••••• S•••••••• M••••• to N•• E•••••• S••••••••• C•••••••••Dec 17, 2010 · Other
Joined, latest
- H• J••••• D••••••••• from V•• P•••• C•••••• L••May 23, 2018 · Other
- S••••• L••• L••••••• from H••••• F•••••••• S•••••••• L••Dec 17, 2014 · Other
- R•••• L••• from G••••••• A•••••••• L••May 13, 2013 · Other
- A••• T•••• from V••• F•••••••• A•••••••• I•••May 31, 2011 · Other
- M•••• P••••• from M••••• S••••••Jan 7, 2011 · Other
- M•••••• A•••••••• N••••• from M••••• S••••••Jun 29, 2010 · Other
- S•••••• S•••••••• M••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jun 2, 2010 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•• U••••• P••••• R••• F• L• | Private Equity Fund | $104M | 208 | Mar 30, 2015 |
| S••••••••• E•••• L•• | Real Estate Fund | $19.0M | 2 | Mar 30, 2015 |
Owners and control persons
Schedule A and B, latest filing
- D••••••••• H• J••••• · Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- S•••••• T•••••• M•••••• · Managing Director/Ceocontrolsince 09/2007 · owns 75% or more
Related persons
Schedule D 7.A
- N•• C•••••• A•••••••• L•••broker-dealery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Non-discretionary RAUM · $132M to $139MFeb 2, 2018 to Mar 26, 2018
- RAUM · $132M to $139MFeb 2, 2018 to Mar 26, 2018
- Advisory employees · 10 to 9Aug 30, 2017 to Feb 2, 2018
- BD registered reps · 9 to 8Aug 30, 2017 to Feb 2, 2018
- Employees · 10 to 9Aug 30, 2017 to Feb 2, 2018
- Other offices · unset to 0.0Aug 30, 2017 to Feb 2, 2018
- Non-discretionary RAUM · $116M to $132MAug 30, 2017 to Feb 2, 2018
- RAUM · $116M to $132MAug 30, 2017 to Feb 2, 2018
- Advisory employees · 9 to 10Jan 24, 2017 to Mar 31, 2017
- BD registered reps · 10 to 9Jan 24, 2017 to Mar 31, 2017
- Non-discretionary RAUM · $68.0M to $116MJan 24, 2017 to Mar 31, 2017
- RAUM · $68.0M to $116MJan 24, 2017 to Mar 31, 2017
- Accounts · 94 to 2Apr 9, 2015 to Mar 30, 2016
- Advisory employees · 6 to 9Apr 9, 2015 to Mar 30, 2016
- BD registered reps · 7 to 10Apr 9, 2015 to Mar 30, 2016
- Employees · 7 to 10Apr 9, 2015 to Mar 30, 2016
- Discretionary RAUM · $3.8M to $0Apr 9, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $18.2M to $68.0MApr 9, 2015 to Mar 30, 2016
- RAUM · $22.0M to $68.0MApr 9, 2015 to Mar 30, 2016
- Accounts · 104 to 94Mar 26, 2015 to Mar 30, 2015
- Private funds · unset to 2Mar 26, 2015 to Mar 30, 2015
- Discretionary RAUM · $3.0M to $3.8MMar 26, 2015 to Mar 30, 2015
- Non-discretionary RAUM · $4.2M to $18.2MMar 26, 2015 to Mar 30, 2015
- RAUM · $7.2M to $22.0MMar 26, 2015 to Mar 30, 2015
- Related insurance company · true to falseMar 30, 2015 to Mar 30, 2015
- Accounts · 102 to 104Mar 31, 2014 to Jun 30, 2014
- Advisory employees · 5 to 6Mar 31, 2014 to Jun 30, 2014
- BD registered reps · 5 to 7Mar 31, 2014 to Jun 30, 2014
- Employees · 6 to 7Mar 31, 2014 to Jun 30, 2014
- Discretionary RAUM · $2.7M to $3.0MMar 31, 2014 to Jun 30, 2014
- Non-discretionary RAUM · $4.7M to $4.2MMar 31, 2014 to Jun 30, 2014
- RAUM · $7.5M to $7.2MMar 31, 2014 to Jun 30, 2014
- Accounts · 74 to 102Mar 25, 2013 to Mar 31, 2014
- Advisory employees · 6 to 5Mar 25, 2013 to Mar 31, 2014
- Advisory activities · 3 to 4Mar 25, 2013 to Mar 31, 2014
- BD registered reps · 7 to 5Mar 25, 2013 to Mar 31, 2014
- Employees · 7 to 6Mar 25, 2013 to Mar 31, 2014
- Discretionary RAUM · $223M to $2.7MMar 25, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $0 to $4.7MMar 25, 2013 to Mar 31, 2014
- RAUM · $223M to $7.5MMar 25, 2013 to Mar 31, 2014
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- N•• C•••••• A•••• M••••••••• I••• · Private Equityshared crd · organization
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
N•• C•••••• A•••• M••••••••• I••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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