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•••••••• D••••••••• R••••• M••••••••• I• L••

Former SEC-registered adviserCleveland, OhioCRD 151913SEC 801-79449IAPD
Latest filing Mar 10, 2020
First filing on the tape Mar 21, 2014 · 10 filings
RAUM
$22.8M
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
9
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$22.8M gross assets
History
10 filings and snapshots on the tape
RAUM$22.8M as of Mar 10, 2020
Feb 5, 2015$129M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 10, 2020
Feb 5, 20150 then
Employees (5.A)9 as of Mar 10, 2020
Feb 5, 20156 then
Private funds1 as of Mar 10, 2020
Feb 5, 20151 then
RAUM -78% over the last fiscal year-43% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 10, 2020; 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
$22.8MderivedRAUM 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
-78%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 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$22.8M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I•••••••• D••••••••• R••••• F•••• L•Other Private Fund$22.8M1Mar 21, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• T•••••• J•••• · Chief Compliance Officercontrol
        since 08/2017 · owns less than 5%
      • Z•••••••• G•••• A••••• · Managing Directorcontrol
        since 02/2010 · owns less than 5%
      • R•••••• R••••• F•••••• · Membercontrol
        since 01/2009 · owns 25% to 50% of I•••••••• D••••••••• R••••• L••
      • Z•••••••• G•••• A••••• · Managing Member
        since 05/2006 · owns 75% or more of I•••••••• D••••••••• R••••• L••
      Entity owners
      • I•••••••• D••••••••• R••••• L•• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $104M to $22.8M
        Mar 12, 2019 to Mar 10, 2020
      • Discretionary RAUM · $104M to $22.8M
        Mar 12, 2019 to Mar 10, 2020
      • Pooled vehicle RAUM · $104M to $22.8M
        Mar 12, 2019 to Mar 10, 2020
      • RAUM · $104M to $22.8M
        Mar 12, 2019 to Mar 10, 2020
      • Advisory employees · 5 to 9
        Feb 21, 2018 to Mar 12, 2019
      • Assets in custody · $116M to $104M
        Feb 21, 2018 to Mar 12, 2019
      • Employees · 5 to 9
        Feb 21, 2018 to Mar 12, 2019
      • Discretionary RAUM · $116M to $104M
        Feb 21, 2018 to Mar 12, 2019
      • Pooled vehicle RAUM · $116M to $104M
        Feb 21, 2018 to Mar 12, 2019
      • RAUM · $116M to $104M
        Feb 21, 2018 to Mar 12, 2019
      • Pooled vehicle clients · unset to 1.0
        Aug 4, 2017 to Feb 21, 2018
      • Assets in custody · unset to 116055572.0
        Aug 4, 2017 to Feb 21, 2018
      • Other offices · unset to 0.0
        Aug 4, 2017 to Feb 21, 2018
      • Discretionary RAUM · $126M to $116M
        Aug 4, 2017 to Feb 21, 2018
      • Pooled vehicle RAUM · unset to 116055572.0
        Aug 4, 2017 to Feb 21, 2018
      • RAUM · $126M to $116M
        Aug 4, 2017 to Feb 21, 2018
      • BD registered reps · 0 to 1
        Sep 7, 2016 to Jan 23, 2017
      • Insurance-licensed employees · 0 to 1
        Sep 7, 2016 to Jan 23, 2017
      • Discretionary RAUM · $130M to $126M
        Sep 7, 2016 to Jan 23, 2017
      • RAUM · $130M to $126M
        Sep 7, 2016 to Jan 23, 2017
      • Related adviser · false to true
        Sep 7, 2016 to Jan 23, 2017
      • Advisory employees · 6 to 5
        Feb 5, 2015 to Mar 4, 2016
      • Employees · 6 to 5
        Feb 5, 2015 to Mar 4, 2016
      • Discretionary RAUM · $129M to $130M
        Feb 5, 2015 to Mar 4, 2016
      • RAUM · $129M to $130M
        Feb 5, 2015 to Mar 4, 2016
      • Discretionary RAUM · $128M to $129M
        Apr 7, 2014 to Feb 5, 2015
      • RAUM · $128M to $129M
        Apr 7, 2014 to Feb 5, 2015
      Signals
      1 dated events
      • I•••••••• D••••••••• R••••• M••••••••• I• L•• filed its initial SEC registration (Form ADV)
        Mar 21, 2014 · First SEC registration · fact
      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•••••••• D••••••••• R••••• M••••••••• I• L•• 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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