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
S••••••••• R••• E••••• P••••••• L•••
Latest filing Mar 31, 2026
First filing on the tape Feb 9, 2012 · 22 filings
SEC status approved since Mar 5, 2012
RAUM
$307M
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
31
19 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
15
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$307M as of Mar 31, 2026
Mar 25, 2013$2.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 25, 20130 then
Employees (5.A)31 as of Mar 31, 2026
Mar 25, 201349 then
Private funds15 as of Mar 31, 2026
Mar 25, 201331 then
RAUM -5.5% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $14.6MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.5%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 vehicles, otherreportedItem 5.G
- Custody
- $306M, 20 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$299M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 21reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $306M for 20 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.97 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
31 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• L••••• P•••••• P••••••• I•• L••• | Real Estate Fund | $110M | 36 | Feb 9, 2012 |
| S••••••••• L••••• • P••••• L••• | Real Estate Fund | $87.1M | 3 | Feb 9, 2012 |
| S••••••••• L••••• P•••••• P••••••• L••• | Real Estate Fund | $68.7M | 23 | Feb 9, 2012 |
| S••••••••• L••••• P••••••• I•• L••• | Real Estate Fund | $62.8M | 61 | Feb 9, 2012 |
| S••••••••• L••••• P••••••• L••• | Real Estate Fund | $39.1M | 19 | Feb 9, 2012 |
| S••••••••• L••••• F••• I•• L••• | Real Estate Fund | $38.7M | 356 | Feb 9, 2012 |
| S••••••••• L••••• P•••••• P••••••• I••• L••• | Real Estate Fund | $32.7M | 44 | Feb 9, 2012 |
| S••••••••• L••••• C•••••• P•••••••• L•••no longer reported | Real Estate Fund | $31.0M | 910 | Feb 9, 2012 |
| S••••••••• L••••• O••••••• P••••••• I•• L••• | Real Estate Fund | $27.1M | 11 | Feb 9, 2012 |
| S••••••••• L••••• F•••• L••• | Real Estate Fund | $20.2M | 157 | Feb 9, 2012 |
| S••••••••• L••••• C•••••• P••••••• I•• L•••no longer reported | Real Estate Fund | $16.2M | 476 | Feb 9, 2012 |
| S••••••••• L••••• O••••••• •••••• 4• P•••••••• L•••no longer reported | Real Estate Fund | $14.6M | 2 | Feb 9, 2012 |
| S••••••••• L••••• O••••••• P•••••••• L••• | Real Estate Fund | $12.1M | 4 | Feb 9, 2012 |
| S••••••••• L••••• O••••••• P••••••• ••••••• I•• L••• | Real Estate Fund | $10.8M | 2 | Feb 9, 2012 |
| S••••••••• L••••• O••••••• F•••• L••• | Real Estate Fund | $8.7M | 76 | Feb 9, 2012 |
| S••••••••• L••••• F••• I••• L••• | Real Estate Fund | $7.0M | 404 | Feb 9, 2012 |
| S••••••••• L••••• O••••••• F••• I•• L••• | Real Estate Fund | $6.4M | 42 | Feb 9, 2012 |
| S••••••••• L••••• O••••••• P••••••• I••••• L••• | Real Estate Fund | $6.0M | 5 | Feb 9, 2012 |
| S••••••••• L••••• P••••••• I••• L••• | Real Estate Fund | $6.0M | 46 | Feb 9, 2012 |
| S••••••••• L••••• O••••••• C•••••• P•••••••• L•••no longer reported | Real Estate Fund | $5.8M | 147 | Feb 9, 2012 |
| S••••••••• L••••• C•••••• P••••••• I••• L•••no longer reported | Real Estate Fund | $5.4M | 365 | Feb 9, 2012 |
| S••••••••• L••••• O••••••• P••••••• I••• L•• | Real Estate Fund | $3.8M | 13 | Feb 9, 2012 |
| S••••••••• L••••• O••••••• P••••••• I••••• L••• | Real Estate Fund | $2.9M | 3 | Feb 9, 2012 |
| S••••••••• L••••• P••••••• I•• ••••• L••• | Real Estate Fund | $1.6M | 4 | Feb 9, 2012 |
| S••••••••• L••••• O••••••• C•••••• P••••••• I•• L•••no longer reported | Real Estate Fund | $1.5M | 50 | Feb 9, 2012 |
| S••••••••• L••••• O••••••• •••••• 3• P•••••••• L•••no longer reported | Real Estate Fund | $706,000 | 3 | Feb 9, 2012 |
| S••••••••• L••••• O••••••• C•••••• P••••••• I••• L•••no longer reported | Real Estate Fund | $673,000 | 39 | Feb 9, 2012 |
| S••••••••• L••••• P••••••• I•• ••••• L••• | Real Estate Fund | $590,000 | 2 | Feb 9, 2012 |
| S••••••••• L••••• O••••••• F••• I••• L••• | Real Estate Fund | $561,000 | 24 | Feb 9, 2012 |
| S••••••••• L••••• •••••• 2• P•••••••• L•••no longer reported | Real Estate Fund | $359,000 | 2 | Feb 9, 2012 |
| S••••••••• L••••• O••••••• •••••• 1• P•••••••• L•••no longer reported | Real Estate Fund | $285,000 | 2 | Feb 9, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• R••••••• · Chief Compliance Officer & Executive Committee Membercontrolsince 05/2010 · owns less than 5%
- B••••••• B•••• · Executive Committee Membercontrolsince 05/2010 · owns less than 5%
- W••••• M•••• A••••• · Executive Committee Membercontrolsince 05/2010 · owns less than 5%
- A•••••• R••••••• · Managing Membercontrolsince 01/2021 · owns 75% or more of R••• G•••• •••••• H••••••• L••
- B••••••• B••••• •••• · Grantorcontrolsince 09/2009 · owns 75% or more of B••• 2••• N••••• T••••
- W••••• M•••• A••••• · Managing Membercontrolsince 12/2009 · owns 75% or more of M• R••• H•••••• L••
Entity owners
- B•• 8• L•• · Limited Partnerdirect · owns 25% to 50%
- M• R••• H•••••• L•• · Limited Partnerdirect · owns 25% to 50%
- R••• A•••• •••• H••••••• L•• · Limited Partnerdirect · owns 10% to 25%
- R••• C• M••••• C• L•• · General Partnerdirect · owns less than 5%
- B•• 8• L•• · Non-Managing Membersindirect · owns 25% to 50% of R••• C• M••••• C• L••
- B••• 2••• N••••• T•••• · Non-Managing Memberindirect · owns 75% or more of B•• 8• L••
- M• R••• H•••••• L•• · Non-Managing Memberindirect · owns 25% to 50% of R••• C• M••••• C• L••
- R••• G•••• •••••• H••••••• L•• · Managing Memberindirect · owns 75% or more of R••• A•••• •••• H••••••• L••
Related persons
Schedule D 7.A
- A••••••• M•••••• L••pooled vehicle sponsorn
- S••••••••• E••••• P••••••• L•n
- S••••••••• M•••••• L••n
- S••••••••• R••••••••• I••••••••• P••••••• L•n
- S••••••••• S•••••••• P••••••• L•n
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA4 employees
- London, United Kingdom2 employees
- San Clemente, CA
What changed
consecutive filings, newest first
- Assets in custody · $324M to $306MJun 27, 2025 to Mar 31, 2026
- Employees · 30 to 31Jun 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $325M to $307MJun 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $311M to $299MJun 27, 2025 to Mar 31, 2026
- RAUM · $325M to $307MJun 27, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jun 27, 2025
- Advisory employees · 18 to 19Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $334M to $324MMar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $335M to $325MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $319M to $311MMar 29, 2024 to Mar 31, 2025
- RAUM · $335M to $325MMar 29, 2024 to Mar 31, 2025
- Accounts · 31 to 21Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 20 to 18Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 29 to 19Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $588M to $334MMar 31, 2023 to Mar 29, 2024
- Employees · 32 to 30Mar 31, 2023 to Mar 29, 2024
- Private funds · 21 to 15Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $593M to $335MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $570M to $319MMar 31, 2023 to Mar 29, 2024
- RAUM · $593M to $335MMar 31, 2023 to Mar 29, 2024
- Advisory employees · 21 to 20Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $667M to $588MMar 31, 2022 to Mar 31, 2023
- Employees · 34 to 32Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $672M to $593MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $642M to $570MMar 31, 2022 to Mar 31, 2023
- RAUM · $672M to $593MMar 31, 2022 to Mar 31, 2023
- Advisory employees · 20 to 21Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $713M to $667MMar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $719M to $672MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $684M to $642MMar 31, 2021 to Mar 31, 2022
- RAUM · $719M to $672MMar 31, 2021 to Mar 31, 2022
- Advisory employees · 22 to 20Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $792M to $713MMar 30, 2020 to Mar 31, 2021
- Employees · 37 to 34Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $798M to $719MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $748M to $684MMar 30, 2020 to Mar 31, 2021
- RAUM · $798M to $719MMar 30, 2020 to Mar 31, 2021
- Advisory employees · 21 to 22Jun 10, 2019 to Mar 30, 2020
- Assets in custody · $889M to $792MJun 10, 2019 to Mar 30, 2020
- Employees · 36 to 37Jun 10, 2019 to Mar 30, 2020
Signals
1 dated events
- S••••••••• R••• E••••• P••••••• L••• reported RAUM $335.4M, down 43% from $593.3M (2023-03-31 to 2024-03-29)Mar 29, 2024 · 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
- Firm profile
- linkedin.com/company/11232294reportedpublic record, Form ADV, Sep 19, 2026
- Website
- S•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-716-2000reportedpublic record, Form ADV, Mar 31, 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
Across the graphs
S••••••••• R••• E••••• P••••••• 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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