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.

Former SEC-registered adviser

Carpathia Real Estate Advisors LLC

Former SEC-registered adviserNew York, New YorkCRD 152787SEC 801-71018IAPD
Latest filing Apr 1, 2013
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$608M
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
8
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$608M as of Apr 1, 2013
Mar 30, 2012$706M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2013
Mar 30, 20120 then
Employees (5.A): 8
Private funds: no history
RAUM -14% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2013; 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
$608MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-14%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, 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)
  • 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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
      • Andrew Mark Antoncic · Directorcontrol
        since 06/2009 · owns less than 5%
      • Hathaway Stephen Marshall · Directorcontrol
        since 01/2013 · owns less than 5%
      • Andrew Mark Antoncic · Membercontrol
        since 01/2005 · owns 75% or more of Trilyn Holdings LLC
      • Nmn Steven De Bara · Chief Compliance Officer
        since 07/2009 · owns less than 5%
      Entity owners
      • Trilyn Carpathia LLC · Member
        direct · owns 50% to 75%
      • Ttg Carpathia LLC · Member
        direct · owns 50% to 75%
      • State Street Corporation · Shareholder
        indirect · owns 75% or more of State Street Global Advisors Inc. · public reporting company
      • State Street Global Advisors, Inc. · Member
        indirect · owns 75% or more of Ttg Carpathia LLC
      • Trilyn Holdings LLC · Member
        indirect · owns 75% or more of Trilyn Carpathia LLC
      Related persons
      Schedule D 7.A
      Advisers that list Carpathia Real Estate Advisors LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL
      • Rye Brook, NY
      What changed
      consecutive filings, newest first
      • Related bank · false to true
        Jan 30, 2013 to Apr 1, 2013
      • Advisory employees · unset to 8.0
        Aug 7, 2012 to Jan 30, 2013
      • Employees · unset to 8.0
        Aug 7, 2012 to Jan 30, 2013
      • HQ city · RYE BROOK to NEW YORK
        Aug 7, 2012 to Jan 30, 2013
      • Non-discretionary RAUM · $706M to $608M
        Aug 7, 2012 to Jan 30, 2013
      • RAUM · $706M to $608M
        Aug 7, 2012 to Jan 30, 2013
      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