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

R••• A•••• P•••••••• M••••••••• L••

Former SEC-registered adviserPortland, OregonCRD 156831SEC 801-72373IAPD
Latest filing Mar 29, 2017
First filing on the tape Mar 26, 2012 · 13 filings
RAUM
$873M
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
9
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$246M gross assets
History
13 filings and snapshots on the tape
RAUM$873M as of Mar 29, 2017
Mar 26, 2012$650M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Mar 26, 20120 then
Employees (5.A)9 as of Mar 29, 2017
Mar 25, 20136 then
Private funds6 as of Mar 29, 2017
Mar 26, 20123 then
RAUM +14% over the last fiscal year+34% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2017; 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
$146MderivedRAUM 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
unknownderived1 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
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, pension consulting, selection of other advisers, 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
  • 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
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
6reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••• H•••••••• F•••• L•••Real Estate Fund$116M2Mar 26, 2012
      L••• S•••••• F•••• L•Real Estate Fund$76.0M2Mar 26, 2012
      R••••••••• C••••••••• F•••• L•••Real Estate Fund$33.0M2Mar 31, 2014
      N• S•••••••• O••••••••• F•••• L•Real Estate Fund$21.0M2Mar 26, 2012
      E••••••• P•••••••• L•Real Estate Fund$02Mar 29, 2017
      M•••• R••• A•••• F•••• L•Real Estate Fund$02Nov 5, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• B•••• · Member/Managing Directorcontrol
        since 01/2016 · owns 25% to 50%
      • G•••••• S•••••• J•••••• · Managing Member/Chief Compliance Officercontrol
        since 03/2011 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • H••••• K•••••
        LP sponsorn
      • R••• C•••••••• G• L••
        pooled vehicle sponsory
      • R••• E••••••• G•• L••
        pooled vehicle sponsory
      • R••• N• G• L••
        pooled vehicle sponsory
      • R••• N• H•••• G• L••
        pooled vehicle sponsory
      • R••• N• V•••• G• L••
        pooled vehicle sponsory
      • R••• R••• A•••• G•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 6
        Mar 29, 2016 to Mar 29, 2017
      • Advisory employees · 7 to 8
        Mar 29, 2016 to Mar 29, 2017
      • Employees · 8 to 9
        Mar 29, 2016 to Mar 29, 2017
      • Private funds · 5 to 6
        Mar 29, 2016 to Mar 29, 2017
      • Non-discretionary RAUM · $766M to $873M
        Mar 29, 2016 to Mar 29, 2017
      • RAUM · $766M to $873M
        Mar 29, 2016 to Mar 29, 2017
      • Employees · 7 to 8
        Nov 5, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $781M to $766M
        Nov 5, 2015 to Mar 29, 2016
      • RAUM · $781M to $766M
        Nov 5, 2015 to Mar 29, 2016
      • Accounts · 4 to 5
        May 13, 2015 to Nov 5, 2015
      • Advisory employees · 6 to 7
        May 13, 2015 to Nov 5, 2015
      • Employees · 6 to 7
        May 13, 2015 to Nov 5, 2015
      • Private funds · 4 to 5
        May 13, 2015 to Nov 5, 2015
      • Non-discretionary RAUM · $356M to $781M
        May 13, 2015 to Nov 5, 2015
      • RAUM · $356M to $781M
        May 13, 2015 to Nov 5, 2015
      • Non-discretionary RAUM · $363M to $356M
        Apr 30, 2014 to Mar 23, 2015
      • RAUM · $363M to $356M
        Apr 30, 2014 to Mar 23, 2015
      • Accounts · 3 to 4
        Oct 7, 2013 to Mar 31, 2014
      • Private funds · 3 to 4
        Oct 7, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $278M to $363M
        Oct 7, 2013 to Mar 31, 2014
      • RAUM · $278M to $363M
        Oct 7, 2013 to Mar 31, 2014
      • Accounts · 7 to 3
        Aug 19, 2013 to Oct 7, 2013
      • Non-discretionary RAUM · $950M to $278M
        Aug 19, 2013 to Oct 7, 2013
      • RAUM · $950M to $278M
        Aug 19, 2013 to Oct 7, 2013
      • Advisory employees · 3 to 6
        Feb 15, 2013 to Mar 25, 2013
      • Advisory employees · unset to 3.0
        Mar 26, 2012 to Feb 15, 2013
      • Employees · unset to 6.0
        Mar 26, 2012 to Feb 15, 2013
      • Non-discretionary RAUM · $650M to $950M
        Mar 26, 2012 to Feb 15, 2013
      • RAUM · $650M to $950M
        Mar 26, 2012 to Feb 15, 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
      Across the graphs

      R••• A•••• P•••••••• M••••••••• 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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