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
I•••• C•••••• M••••••••• L••
Latest filing Aug 26, 2026
First filing on the tape Mar 23, 2012 · 38 filings
SEC status approved since Mar 11, 2011
RAUM
$3.9B
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
34
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$3.9B as of Aug 26, 2026
Mar 23, 2012$3.1B then
HNW client RAUM$0 as of Aug 26, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Aug 26, 2026
Mar 23, 20120 then
Employees (5.A)34 as of Aug 26, 2026
Mar 22, 201332 then
Private funds8 as of Aug 26, 2026
Mar 23, 20124 then
RAUM -5.8% over the last fiscal year+1.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 26, 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
- $184MderivedRAUM 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
- -5.8%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, portfolio management for investment companiesreportedItem 5.G
- Custody
- $7.8B, 21 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.9B100%
- Investment companies$10.4M0.3%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 21reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.8B for 21 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
18 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•••• V••••••••• A•••••••• M••••• F••• I•• L•• | Hedge Fund | $2.4B | 3 | Mar 2, 2015 |
| I•••• E•••• D••••• M••••• F••• L•••no longer reported | Hedge Fund | $391M | 26 | Mar 23, 2012 |
| I•••• E•••• D••••• M••••• F••• I• L•••no longer reported | Hedge Fund | $171M | 6 | Mar 22, 2013 |
| I•••• C•••••• M••••• F••• L••• | Hedge Fund | $154M | 15 | Mar 23, 2012 |
| I•••• P•••• S•••• C••••• O••••••••• M••••• F••• L•••no longer reported | Hedge Fund | $130M | 14 | Sep 25, 2017 |
| I•••• E••••••• S••••••• M••••• F••• L••no longer reported | Hedge Fund | $114M | 13 | Feb 25, 2013 |
| I•••• V••••••••• A•••••••• M••••• F••• I• L•• | Hedge Fund | $100M | 28 | Aug 29, 2014 |
| I•••• M••••••• M••••• F••• L••no longer reported | Hedge Fund | $84.7M | 9 | May 23, 2018 |
| I•••• S••••• O••••••••• M••••• F••• L•••no longer reported | Hedge Fund | $71.3M | 9 | Mar 23, 2012 |
| I•••• V••••••••• S••••••••• M••••• F••• L•• | Hedge Fund | $66.2M | 1 | Sep 25, 2017 |
| I•••• V•••• M••••• F••• L•• | Hedge Fund | $50.3M | 9 | Feb 26, 2019 |
| P•••• G••••• C••••• S••••••••• L•no longer reported | Hedge Fund | $39.6M | 13 | Feb 14, 2012 |
| P•••• G••••• C••••• S••••••••• S•• L•no longer reported | Hedge Fund | $30.9M | 1 | Feb 14, 2012 |
| I•••• A••••••• R••••• F••• L••no longer reported | Hedge Fund | $20.4M | 8 | Nov 29, 2013 |
| I•••• C••••• S••••••••• M••••• F••• L••• | Hedge Fund | $12.4M | 5 | Aug 27, 2024 |
| I•••• C••••••••• M••••• F••• L•••no longer reported | Hedge Fund | $0 | 9 | Mar 23, 2012 |
| I•••• V••••••••• A•••••••• M••••• F••• L•••no longer reported | Hedge Fund | $0 | 0 | Nov 29, 2013 |
| I•••• P•••• G••••• C••••• S••••••••• M••••• F••• L•••no longer reported | Hedge Fund | $0 | 0 | Aug 29, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B•••• B•••• E•••• · Principal, Portfolio Manager, Chief Investment Officercontrolsince 05/2006 · owns less than 5%
- B•••••• M••••••• G•••••• · Chief Financial Officercontrolsince 02/2014 · owns less than 5%
- R••••••••• J•••• C••••••••• · Chief Operating Officer And General Counselcontrolsince 08/2006 · owns less than 5%
- S••••• D•••••• L••••• · Principal, Portfolio Managercontrolsince 05/2006 · owns less than 5%
- V••••••••• A••••• · Chief Technology Officercontrolsince 08/2006 · owns less than 5%
- V••••••• S•••••• G••••• · Chief Compliance Officer And Associate General Counselcontrolsince 04/2013 · owns less than 5%
- B•••• B•••• E•••• · Managing Membercontrolsince 03/2012 · owns 25% to 50% of I•••• H••••• G• L••
- B•••• B•••• E•••• · Limited Partnercontrolsince 02/2011 · owns 25% to 50% of I•••• C•••••• M••••••••• H••••••• L•
- S••••• D•••••• L••••• · Managing Membercontrolsince 03/2012 · owns 25% to 50% of I•••• H••••• G• L••
- S••••• D•••••• L••••• · Limited Partnercontrolsince 02/2011 · owns 25% to 50% of I•••• C•••••• M••••••••• H••••••• L•
- B•••• L•••••••• J••••• · Chief Risk Officersince 07/2015 · owns less than 5%
Entity owners
- I•• H••••• L•• · Sole Member Of I•••• C•••••• A••••••• L••direct · owns 75% or more
- I•••• C•••••• M••••••••• H••••••• L• · Sole Member Of I•••• C•••••• M••••••••• L••direct · owns 75% or more
- I•••• H••••• G• L•• · General Partnerindirect · owns F of I•••• C•••••• M••••••••• H••••••• L•
Related persons
Schedule D 7.A
- I•••• C•••••• A••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Private funds · 7 to 8Mar 31, 2026 to Aug 26, 2026
- Accounts · 18 to 21Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 14 to 15Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 17 to 20Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $2.2B to $7.8BMar 31, 2025 to Mar 31, 2026
- Employees · 31 to 34Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.1B to $3.9BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $4.1B to $3.9BMar 31, 2025 to Mar 31, 2026
- RAUM · $4.1B to $3.9BMar 31, 2025 to Mar 31, 2026
- Accounts · 14 to 18Aug 27, 2024 to Mar 31, 2025
- Pooled vehicle clients · 13 to 17Aug 27, 2024 to Mar 31, 2025
- Assets in custody · $1.9B to $2.2BAug 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Aug 27, 2024 to Mar 31, 2025
- Private funds · 6 to 7Aug 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.0B to $4.1BAug 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $3.0B to $4.1BAug 27, 2024 to Mar 31, 2025
- RAUM · $3.0B to $4.1BAug 27, 2024 to Mar 31, 2025
- Private funds · 4 to 6Mar 28, 2024 to Aug 27, 2024
- Advisory employees · 12 to 14Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $2.3B to $1.9BMar 30, 2023 to Mar 28, 2024
- Employees · 30 to 31Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.7B to $3.0BMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $3.7B to $3.0BMar 30, 2023 to Mar 28, 2024
- RAUM · $3.7B to $3.0BMar 30, 2023 to Mar 28, 2024
- Accounts · 13 to 14Apr 1, 2022 to Mar 30, 2023
- Advisory activities · 1 to 2Apr 1, 2022 to Mar 30, 2023
- Assets in custody · $2.4B to $2.3BApr 1, 2022 to Mar 30, 2023
- Employees · 28 to 30Apr 1, 2022 to Mar 30, 2023
- Discretionary RAUM · $3.5B to $3.7BApr 1, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $3.5B to $3.7BApr 1, 2022 to Mar 30, 2023
- RAUM · $3.5B to $3.7BApr 1, 2022 to Mar 30, 2023
- Accounts · 14 to 13Nov 3, 2021 to Mar 31, 2022
- Pooled vehicle clients · 14 to 13Nov 3, 2021 to Mar 31, 2022
- Assets in custody · $1.1B to $2.4BNov 3, 2021 to Mar 31, 2022
- Discretionary RAUM · $2.0B to $3.5BNov 3, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $2.0B to $3.5BNov 3, 2021 to Mar 31, 2022
- RAUM · $2.0B to $3.5BNov 3, 2021 to Mar 31, 2022
- Accounts · 21 to 14Mar 30, 2020 to Mar 31, 2021
- Advisory employees · 17 to 12Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 21 to 14Mar 30, 2020 to Mar 31, 2021
Signals
6 dated events
- I•••• C•••••• M••••••••• L•• reported RAUM $4.1B, up 35% from $3.0B (2024-08-27 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- I•••• C•••••• M••••••••• L•• reported RAUM $3.5B, up 72% from $2.0B (2021-11-03 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- I•••• C•••••• M••••••••• L•• reported RAUM $2.0B, up 34% from $1.5B (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- I•••• C•••••• M••••••••• L•• reported RAUM $1.5B, down 41% from $2.5B (2019-08-06 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- I•••• C•••••• M••••••••• L•• reported RAUM $2.5B, down 43% from $4.5B (2019-05-30 to 2019-08-06)Aug 6, 2019 · RAUM change · derived
- Stephen Adam Radosti (Principal, Portfolio Manager) no longer on Schedule A of I•••• C•••••• M••••••••• L•• (listed 2019-05-30, absent 2019-08-06)Aug 6, 2019 · Control person left · inference
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
- Website
- I••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-294-8500reportedpublic record, Form ADV, Aug 26, 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