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••••••••• I•••••••• ••• L••••••
Latest filing Mar 29, 2024
First filing on the tape Mar 28, 2012 · 23 filings
SEC status approved since Jan 3, 2011
RAUM
$1.8B
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
82
9 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.8B as of Mar 29, 2024
Mar 28, 2012$234M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 28, 20120 then
Employees (5.A)82 as of Mar 29, 2024
Mar 28, 201314 then
Private funds: no history
RAUM -70% over the last fiscal year-45% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2024; 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
- $1.8BderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -70%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$1.8B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• M•••• C••••••••• · Chief Executive Officer And Presidentcontrolsince 02/2023 · owns less than 5%
- J••••• J•••• · Vice Presidentcontrolsince 02/2023 · owns less than 5%
- M••••••••• T•••••• B•••••• · Chief Financial Officer & Vice Presidentcontrolsince 03/2024 · owns less than 5%
- T••• T••••• · Vice President And Treasurercontrolsince 03/2024 · owns less than 5%
- W••••••• K••••••• A•• · Chief Compliance Officer And Vice Presidentcontrolsince 02/2023 · owns less than 5%
Entity owners
- D• P••• M••••••••• B••••• L•• · Owner I••••••••• Capital Investors (US) L••••••direct · owns 75% or more
- D• P••• M••••••••• H•••••••• L•• · Owner D• P••• M••••••••• B••••• L••indirect · owns 75% or more of D• P••• M••••••••• B••••• L••
- D••••••••• G••••• I••• · Owner D••••••••• O•••••••• C••••••• L••indirect · owns 75% or more of D••••••••• O•••••••• C••••••• L•• · public reporting company
- D••••••••• I••••••••• H•••••• L•• · Owner D• P••• M••••••••• H•••••••• L••indirect · owns 75% or more of D• P••• M••••••••• H•••••••• L••
- D••••••••• O• S••••••••• L•• · Owner D••••••••• I••••••••• H•••••• L••indirect · owns 75% or more of D••••••••• I••••••••• H•••••• L••
- D••••••••• O•••••••• C••••••• L•• · Owner D••••••••• O• S••••••••• L••indirect · owns 75% or more of D••••••••• O• S••••••••• L••
Related persons
Schedule D 7.A
- A•••••• E• H••••••• G•• L••pooled vehicle sponsorn
- C• E••••• I••••••••• G•• L••pooled vehicle sponsorn
- C•• C•••••• P•••• G•• L••pooled vehicle sponsorn
- C•• O•• C•• P•••• G•• L••pooled vehicle sponsorn
- C•••••• S•••••••• P••••••• I••• L••pooled vehicle sponsorn
- C••••• C•••••• I••••••••• A•••••••• L••investment advisernRAUM $336M
- C••••• C•••••• M•••• L••pooled vehicle sponsorn
- C••••• C•••••• V••• L•••pooled vehicle sponsorn
- C••••• L•••• A•••••• F••• I• G•• L••pooled vehicle sponsorn
- C••••• L•••• A•••••• F••• I• G•• L••pooled vehicle sponsorn
- C••••• L•••• A•••••• M••••••• L••••••pooled vehicle sponsorn
- C•••••• I••••••••• M••••••••• L••••••investment advisery
- C••••••••• A•••••••• L••investment advisern
- D• A•••• G•• L••pooled vehicle sponsorn
- D• A•••••• A••• G•• L••pooled vehicle sponsorn
- D• A•••••• E••••• G•• L••pooled vehicle sponsorn
- D• A•••••• M•• G•• L••pooled vehicle sponsorn
- D• I•••••••• A•••••• L••investment advisern
- D• I•••••••• H••••••• G•• L••pooled vehicle sponsorn
- D• I••••••••• H••••••• G•• L••pooled vehicle sponsorn
- D• M••••••• H••••••• G•• L••pooled vehicle sponsorn
- D• R••••• C•••••••• G•• S••• R•••pooled vehicle sponsorn
- D• S••••••• H••••••• G•• L••pooled vehicle sponsorn
- D• T•••• H••••••• G•• L••pooled vehicle sponsorn
- D•• F••• A••••••• L••investment advisern
- D• C••• I••••••••• H••••••• I• A• G•• L••pooled vehicle sponsorn
- D• C••• I••••••••• H••••••• I• A• G•• L••pooled vehicle sponsorn
- D• C••• I••••••••• H••••••• I• G•• L••pooled vehicle sponsorn
- D• C••• I••••••••• H••••••• I•• G•• L••pooled vehicle sponsorn
- D• F•••• R•••• G•• L••pooled vehicle sponsorn
Advisers that list I••••••••• I•••••••• ••• L•••••• as a related person
- 290954 n
Offices
Schedule D 1.F, the 25 largest
- New York, NY4 employees
- Los Angeles, CA3 employees
- Denver, CO
What changed
consecutive filings, newest first
- Advisory employees · 3 to 9Mar 30, 2023 to Mar 29, 2024
- Employees · 118 to 82Mar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $6.1B to $1.8BMar 30, 2023 to Mar 29, 2024
- RAUM · $6.1B to $1.8BMar 30, 2023 to Mar 29, 2024
- Accounts · 2 to 1Feb 23, 2023 to Mar 30, 2023
- Advisory employees · 10 to 3Feb 23, 2023 to Mar 30, 2023
- BD registered reps · 2 to 0Feb 23, 2023 to Mar 30, 2023
- Business name · A•• C•••••• I•••••••• ••• L•••••• to I••••••••• I•••••••• ••• L••••••Feb 23, 2023 to Mar 30, 2023
- Employees · 15 to 118Feb 23, 2023 to Mar 30, 2023
- Legal name · A•• C•••••• I•••••••• ••• L•••••• to I••••••••• I•••••••• ••• L••••••Feb 23, 2023 to Mar 30, 2023
- Other offices · 1 to 3Feb 23, 2023 to Mar 30, 2023
- Non-discretionary RAUM · $11B to $6.1BFeb 23, 2023 to Mar 30, 2023
- RAUM · $11B to $6.1BFeb 23, 2023 to Mar 30, 2023
- Related bank · true to falseFeb 23, 2023 to Mar 30, 2023
- Related broker-dealer · true to falseFeb 23, 2023 to Mar 30, 2023
- HQ city · ST CHARLES to BOCA RATONAug 16, 2022 to Feb 23, 2023
- HQ state · IL to FLAug 16, 2022 to Feb 23, 2023
- HQ city · NEW YORK to ST CHARLESMar 30, 2022 to Aug 16, 2022
- HQ state · NY to ILMar 30, 2022 to Aug 16, 2022
- Advisory employees · 26 to 10Dec 14, 2021 to Mar 30, 2022
- BD registered reps · 4 to 2Dec 14, 2021 to Mar 30, 2022
- Employees · 34 to 15Dec 14, 2021 to Mar 30, 2022
- HQ city · CHICAGO to NEW YORKDec 14, 2021 to Mar 30, 2022
- HQ state · IL to NYDec 14, 2021 to Mar 30, 2022
- Other offices · 2 to 1Dec 14, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $11B to $11BDec 14, 2021 to Mar 30, 2022
- RAUM · $11B to $11BDec 14, 2021 to Mar 30, 2022
- Advisory employees · 27 to 26Mar 27, 2020 to Mar 29, 2021
- BD registered reps · 6 to 4Mar 27, 2020 to Mar 29, 2021
- Employees · 39 to 34Mar 27, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $19B to $11BMar 27, 2020 to Mar 29, 2021
- RAUM · $19B to $11BMar 27, 2020 to Mar 29, 2021
- Advisory employees · 23 to 27Mar 28, 2019 to Mar 27, 2020
- Employees · 36 to 39Mar 28, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $19B to $19BMar 28, 2019 to Mar 27, 2020
- RAUM · $19B to $19BMar 28, 2019 to Mar 27, 2020
- Accounts · 1 to 2Dec 13, 2018 to Mar 28, 2019
- Advisory employees · 22 to 23Dec 13, 2018 to Mar 28, 2019
- BD registered reps · 2 to 6Dec 13, 2018 to Mar 28, 2019
- Employees · 35 to 36Dec 13, 2018 to Mar 28, 2019
Signals
30 dated events
- I••••••••• I•••••••• ••• L•••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $1.8B)May 2, 2025 · Left the SEC roster · derived
- I••••••••• I•••••••• ••• L•••••• reported RAUM $1.8B, down 70% from $6.1B (2023-03-30 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- P•••••• A•••••• H••••• (Director) no longer on Schedule A of I••••••••• I•••••••• ••• L•••••• (listed 2023-03-30, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Jacky Wu (Vice President And Treasurer) no longer on Schedule A of I••••••••• I•••••••• ••• L•••••• (listed 2023-03-30, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Mark Ronald Sanders (Vice President And Secretary) no longer on Schedule A of I••••••••• I•••••••• ••• L•••••• (listed 2023-03-30, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- M Trisha Koyanagi (Vice President And Assistant Treasurer) no longer on Schedule A of I••••••••• I•••••••• ••• L•••••• (listed 2023-03-30, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- B•••••• T••••• M•••••••• (Chief Financial Officer & Vice President) appeared on Schedule A of I••••••••• I•••••••• ••• L••••••Mar 29, 2024 · Control person joined · fact
- T••••• Teh (Vice President And Treasurer) appeared on Schedule A of I••••••••• I•••••••• ••• L••••••Mar 29, 2024 · Control person joined · fact
- I••••••••• I•••••••• ••• L•••••• reported RAUM $6.1B, down 44% from $10.8B (2023-02-23 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- T••••• Joseph Sommer (Director, Chief Compliance Officer) no longer on Schedule A of I••••••••• I•••••••• ••• L•••••• (listed 2022-08-16, absent 2023-02-23)Feb 23, 2023 · Control person left · inference
- C.D. (Mi Only) Shawn Johnson (Chief Executive Officer) no longer on Schedule A of I••••••••• I•••••••• ••• L•••••• (listed 2022-08-16, absent 2023-02-23)Feb 23, 2023 · Control person left · inference
- Ann Kristen Whealon (Chief Compliance Officer And Vice President) appeared on Schedule A of I••••••••• I•••••••• ••• L••••••Feb 23, 2023 · Control person joined · fact
- Jacky Wu (Vice President And Treasurer) appeared on Schedule A of I••••••••• I•••••••• ••• L••••••Feb 23, 2023 · Control person joined · fact
- Mark Ronald Sanders (Vice President And Secretary) appeared on Schedule A of I••••••••• I•••••••• ••• L••••••Feb 23, 2023 · Control person joined · fact
- Christopher Marc Ganzi (Chief Executive Officer And President) appeared on Schedule A of I••••••••• I•••••••• ••• L••••••Feb 23, 2023 · Control person joined · fact
- M Trisha Koyanagi (Vice President And Assistant Treasurer) appeared on Schedule A of I••••••••• I•••••••• ••• L••••••Feb 23, 2023 · Control person joined · fact
- J•••• J•••• (Vice President) appeared on Schedule A of I••••••••• I•••••••• ••• L••••••Feb 23, 2023 · Control person joined · fact
- Blanchard Stanley Smith (Director, Vice President) no longer on Schedule A of I••••••••• I•••••••• ••• L•••••• (listed 2022-03-30, absent 2022-08-16)Aug 16, 2022 · Control person left · inference
- P•••••• A•••••• H••••• (Director) appeared on Schedule A of I••••••••• I•••••••• ••• L••••••Aug 16, 2022 · Control person joined · fact
- P••• K•••• M•••••• H••••••• (Director, Vice President) no longer on Schedule A of I••••••••• I•••••••• ••• L•••••• (listed 2021-12-14, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- P•••••• T••••• (Director, Vice President) no longer on Schedule A of I••••••••• I•••••••• ••• L•••••• (listed 2021-12-14, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- S•••• J••••• (Chairman) no longer on Schedule A of I••••••••• I•••••••• ••• L•••••• (listed 2021-06-15, absent 2021-12-14)Dec 14, 2021 · Control person left · inference
- R•••••• C•••••••• S•••• E•••• (Director, Vice President) no longer on Schedule A of I••••••••• I•••••••• ••• L•••••• (listed 2021-06-15, absent 2021-12-14)Dec 14, 2021 · Control person left · inference
- Blanchard Stanley Smith (Director, Vice President) appeared on Schedule A of I••••••••• I•••••••• ••• L••••••Dec 14, 2021 · Control person joined · fact
- C.D. (Mi Only) Shawn Johnson (Chief Executive Officer) appeared on Schedule A of I••••••••• I•••••••• ••• L••••••Dec 14, 2021 · Control person joined · fact
- Boe Pahari (Director, President) no longer on Schedule A of I••••••••• I•••••••• ••• L•••••• (listed 2021-03-29, absent 2021-06-15)Jun 15, 2021 · Control person left · inference
- I••••••••• I•••••••• ••• L•••••• reported RAUM $10.7B, down 44% from $19.2B (2020-03-27 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- R•••••• C•••••••• S•••• E•••• (Director, Vice President) appeared on Schedule A of I••••••••• I•••••••• ••• L••••••Mar 27, 2020 · Control person joined · fact
- Jon D•••• Foo (Director, Vice President) no longer on Schedule A of I••••••••• I•••••••• ••• L•••••• (listed 2019-03-28, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- I••••••••• I•••••••• ••• L•••••• reported RAUM $19.1B, up 42% from $13.5B (2017-09-21 to 2018-03-30)Mar 30, 2018 · 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.
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