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

A•••••• R••••• I••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 156718SEC 801-72479IAPD
Latest filing Apr 11, 2019
First filing on the tape Nov 22, 2011 · 17 filings
RAUM
$4.6B
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
28
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
33
$2.0B gross assets
History
17 filings and snapshots on the tape
RAUM$4.6B as of Mar 29, 2019
Mar 21, 2013$2.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 21, 20130 then
Employees (5.A)28 as of Mar 29, 2019
Mar 21, 201317 then
Private funds33 as of Mar 29, 2019
Mar 21, 201314 then
RAUM +87% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 11, 2019; 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
$140MderivedRAUM 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
+87%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, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$2.0B, 33 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
  • 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)
  • 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$4.6B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
33reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.0B for 33 clientsreported
Compensation
% of AUMreported
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
      16 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••••• V• ••••••••• L•no longer reportedPrivate Equity Fund$27.5M2Feb 14, 2012
      O•••••••• V• ••••••••• L•••no longer reportedPrivate Equity Fund$10.0M2Feb 14, 2012
      A•• V•• ••••••• V••• L•••Private Equity Fund$6.2M4Mar 23, 2016
      A•••••• R••••• S••••••••• I• ••••••••• L•no longer reportedPrivate Equity Fund$702,1522Feb 14, 2012
      A•••••• R••••• S••••••••• I•• L•no longer reportedPrivate Equity Fund$488,78117Feb 14, 2012
      A•••••• R••••• S••••••••• I••• L••Private Equity Fund$227,2901Feb 14, 2012
      A•••••• R••••• S••••••••• L••Private Equity Fund$207,4561Feb 14, 2012
      A•••••• R••••• S••••••••• I••••• ••••••••• L•no longer reportedPrivate Equity Fund$141,4792Feb 14, 2012
      A•••••• R••••• E••••••• I•••••••• I•• L•no longer reportedPrivate Equity Fund$78,7626Mar 26, 2012
      A•• V• W••••• R•••• L••no longer reportedPrivate Equity Fund$56,898127Mar 23, 2016
      A•••••• R••••• E••••••• I•••••••• V••• L•••Private Equity Fund$21,22111Mar 25, 2015
      A•••••• R••••• E••••••• I•••••••• V•• L•Private Equity Fund$21,0218Mar 21, 2013
      A••• C••••• I• L•Private Equity Fund$19,32011Mar 25, 2015
      A•••••• M•••• A••••• R•••• L••Private Equity Fund$0130Mar 23, 2016
      A•••••• M•••• A••••• R••• I•• L••Private Equity Fund$0128Mar 28, 2018
      A•••••• R••••• E••••••• I•••••••• V•••• L•••Private Equity Fund$017Mar 29, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• D••••• P••• · Partner, Vice Presidentcontrol
        since 03/2007 · owns less than 5%
      • C••••••• J•••••••• M••••• · Chief Compliance Officer, General Counselcontrol
        since 09/2015 · owns less than 5%
      • H•••••••• J•••••• J••••• · Partner, Vice Presidentcontrol
        since 01/2016 · owns less than 5%
      • H••••• H••••• C••••••••• · Chief Financial Officercontrol
        since 03/2012 · owns less than 5%
      • K•••••• M••••••• W•••••• · Managing Partner, Presidentcontrol
        since 03/2007 · owns less than 5%
      • O••••••• J•••• K•••• · Partner, Vice Presidentcontrol
        since 01/2019 · owns less than 5%
      • S••••••••• A•••••• M••• · Partner, Vice Presidentcontrol
        since 03/2009 · owns less than 5%
      • A•••••• D••••• P••• · Limited Partner, Vice Presidentcontrol
        since 06/2013 · owns 25% to 50% of A•••••• R••••• I••••••••• L•
      • K•••••• M••••••• W•••••• · Limited Partner, Presidentcontrol
        since 06/2013 · owns 25% to 50% of A•••••• R••••• I••••••••• L•
      • K•••••• M••••••• W•••••• · Shareholder, President, Managing Membercontrol
        since 06/2013 · owns F of A•••••• G•• L••
      • S••••••••• A•••••• M••• · Limited Partner, Vice Presidentcontrol
        since 01/2019 · owns 25% to 50% of A•••••• R••••• I••••••••• L•
      Entity owners
      • A•••••• G•• L•• · Managing Member
        direct · owns less than 5%
      • A•••••• R••••• I••••••••• L• · Member
        direct · owns 75% or more
      • A•••••• G•• L•• · General Partner
        indirect · owns F of A•••••• R••••• I••••••••• L•
      Related persons
      Schedule D 7.A
      • A•••••• P•••••••• L••
        pooled vehicle sponsorn
      • A•••••• R••••• P••••••• C••••• I• U••
        pooled vehicle sponsorn
      • A•••••• R••••• P••••••• V• L••
        pooled vehicle sponsorn
      • A•••••• R••••• P••••••• V•• L••
        pooled vehicle sponsorn
      • A•••••• R••••• P••••••• V••• L••
        pooled vehicle sponsorn
      • A•••••• R••••• P••••••• V•••• L••
        pooled vehicle sponsorn
      • A•• 7• S•••••• 1• G•• L••
        pooled vehicle sponsorn
      • A•• 7• S•••••• 2• G•• L••
        pooled vehicle sponsorn
      • A•• 7• S•••••• 5• G•• L••
        pooled vehicle sponsorn
      • A•• 7• S•••••• 6• G•• L••
        pooled vehicle sponsorn
      • A•• 7• S•••••• 7• G•• L••
        pooled vehicle sponsorn
      • A•• 7• S•••••• 8• G•• L••
        pooled vehicle sponsorn
      • A•• 8• S•••••• 1• G•• L••
        pooled vehicle sponsorn
      • A•• 8• S•••••• 2• G•• L••
        pooled vehicle sponsorn
      • A•• 8• S•••••• 5• G•• L••
        pooled vehicle sponsorn
      • A•• C••••• I• G•• L••
        pooled vehicle sponsorn
      • A•• V••• P•••••••• L••
        pooled vehicle sponsorn
      • C••• I••••••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 25 to 33
        Mar 28, 2018 to Mar 29, 2019
      • Advisory employees · 22 to 25
        Mar 28, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 25 to 33
        Mar 28, 2018 to Mar 29, 2019
      • Assets in custody · $1.7B to $2.0B
        Mar 28, 2018 to Mar 29, 2019
      • Employees · 26 to 28
        Mar 28, 2018 to Mar 29, 2019
      • Private funds · 25 to 33
        Mar 28, 2018 to Mar 29, 2019
      • Discretionary RAUM · $2.5B to $4.6B
        Mar 28, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $2.5B to $4.6B
        Mar 28, 2018 to Mar 29, 2019
      • RAUM · $2.5B to $4.6B
        Mar 28, 2018 to Mar 29, 2019
      • Accounts · 23 to 25
        Mar 28, 2017 to Mar 28, 2018
      • Advisory employees · 23 to 22
        Mar 28, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        Mar 28, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        Mar 28, 2017 to Mar 28, 2018
      • HNW clients · unset to 0.0
        Mar 28, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        Mar 28, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        Mar 28, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 25.0
        Mar 28, 2017 to Mar 28, 2018
      • Assets in custody · $1.6B to $1.7B
        Mar 28, 2017 to Mar 28, 2018
      • Employees · 27 to 26
        Mar 28, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 28, 2017 to Mar 28, 2018
      • Private funds · 23 to 25
        Mar 28, 2017 to Mar 28, 2018
      • Discretionary RAUM · $2.7B to $2.5B
        Mar 28, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 2475563552.0
        Mar 28, 2017 to Mar 28, 2018
      • RAUM · $2.7B to $2.5B
        Mar 28, 2017 to Mar 28, 2018
      • Accounts · 24 to 23
        Mar 23, 2016 to Mar 28, 2017
      • Advisory employees · 19 to 23
        Mar 23, 2016 to Mar 28, 2017
      • Assets in custody · $1.6B to $1.6B
        Mar 23, 2016 to Mar 28, 2017
      • Employees · 23 to 27
        Mar 23, 2016 to Mar 28, 2017
      • Private funds · 24 to 23
        Mar 23, 2016 to Mar 28, 2017
      • Discretionary RAUM · $3.2B to $2.7B
        Mar 23, 2016 to Mar 28, 2017
      • RAUM · $3.2B to $2.7B
        Mar 23, 2016 to Mar 28, 2017
      • Accounts · 22 to 24
        Oct 2, 2015 to Mar 23, 2016
      • Advisory employees · 17 to 19
        Oct 2, 2015 to Mar 23, 2016
      • Assets in custody · $1.3B to $1.6B
        Oct 2, 2015 to Mar 23, 2016
      • Employees · 21 to 23
        Oct 2, 2015 to Mar 23, 2016
      • Private funds · 20 to 24
        Oct 2, 2015 to Mar 23, 2016
      • Discretionary RAUM · $2.9B to $3.2B
        Oct 2, 2015 to Mar 23, 2016
      • RAUM · $2.9B to $3.2B
        Oct 2, 2015 to Mar 23, 2016
      • Accounts · 14 to 22
        Mar 21, 2014 to Mar 25, 2015
      • Advisory employees · 16 to 17
        Mar 21, 2014 to Mar 25, 2015
      Signals
      3 dated events
      • A•••••• R••••• I••••••••• L•• reported RAUM $4.6B, up 87% from $2.5B (2018-03-28 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • Kelly Josh Overbay (Partner, Vice President) appeared on Schedule A of A•••••• R••••• I••••••••• L••
        Mar 29, 2019 · Control person joined · fact
      • Dennis John Mcgurk (Partner) no longer on Schedule A of A•••••• R••••• I••••••••• L•• (listed 2018-03-28, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      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

      A•••••• R••••• 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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