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
U•••••• M••••••••• L••
Latest filing Mar 13, 2026
First filing on the tape Feb 13, 2012 · 20 filings
SEC status approved since Mar 30, 2012
RAUM
$1.4B
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
23
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.4B as of Mar 13, 2026
Mar 25, 2013$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2026
Mar 25, 20130 then
Employees (5.A)23 as of Mar 13, 2026
Mar 25, 201326 then
Private funds2 as of Mar 13, 2026
Mar 25, 20134 then
RAUM -7.9% over the last fiscal year-2.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 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
- $355MderivedRAUM 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
- -7.9%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
- $1.4B, 3 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.4B for 3 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| U•••••• P•••••••• L••• | Hedge Fund | $1.2B | 34 | Feb 13, 2012 |
| U•••••• P••••••• D••••••••• I••••••••• L••• | Private Equity Fund | $289M | 65 | Feb 13, 2012 |
| U•••••• R••• E••••• P•••••••• L•••no longer reported | Real Estate Fund | $148,651 | 24 | Feb 13, 2012 |
| U•••••• O••••••• F•••• L••• | Hedge Fund | $0 | 4 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- N•••• J••••• · Presidentcontrolsince 06/1997 · owns less than 5%
- N•••• J••••• · Membercontrolsince 01/2018 · owns 75% or more of J••••• N••• L••
- E••••••••• R••••••• I• · Ccosince 07/2015 · owns less than 5%
- O•••••••• V•••••• · Cfosince 01/2018 · owns less than 5%
Entity owners
- J••••• N••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- J•• T•••• C••••••n
- J••••• N••• L••bankpooled vehicle sponsory
Advisers that list U•••••• M••••••••• L•• as a related person
- 157313 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 9 to 8Mar 7, 2025 to Mar 13, 2026
- Assets in custody · $1.5B to $1.4BMar 7, 2025 to Mar 13, 2026
- Employees · 24 to 23Mar 7, 2025 to Mar 13, 2026
- Discretionary RAUM · $1.5B to $1.4BMar 7, 2025 to Mar 13, 2026
- Pooled vehicle RAUM · $1.5B to $1.4BMar 7, 2025 to Mar 13, 2026
- RAUM · $1.5B to $1.4BMar 7, 2025 to Mar 13, 2026
- Accounts · 5 to 4Mar 29, 2024 to Mar 7, 2025
- Pooled vehicle clients · 4 to 3Mar 29, 2024 to Mar 7, 2025
- Assets in custody · $1.6B to $1.5BMar 29, 2024 to Mar 7, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 7, 2025
- Private funds · 3 to 2Mar 29, 2024 to Mar 7, 2025
- Discretionary RAUM · $1.6B to $1.5BMar 29, 2024 to Mar 7, 2025
- Pooled vehicle RAUM · $1.6B to $1.5BMar 29, 2024 to Mar 7, 2025
- RAUM · $1.6B to $1.5BMar 29, 2024 to Mar 7, 2025
- Assets in custody · $1.5B to $1.6BMar 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.6B to $1.6BMar 28, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.5B to $1.6BMar 28, 2023 to Mar 29, 2024
- RAUM · $1.6B to $1.6BMar 28, 2023 to Mar 29, 2024
- Assets in custody · $1.9B to $1.5BMar 29, 2022 to Mar 28, 2023
- Discretionary RAUM · $1.9B to $1.6BMar 29, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $1.9B to $1.5BMar 29, 2022 to Mar 28, 2023
- RAUM · $1.9B to $1.6BMar 29, 2022 to Mar 28, 2023
- Advisory employees · 10 to 9Mar 24, 2021 to Mar 29, 2022
- Assets in custody · $1.9B to $1.9BMar 24, 2021 to Mar 29, 2022
- Employees · 26 to 24Mar 24, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.9B to $1.9BMar 24, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $1.9B to $1.9BMar 24, 2021 to Mar 29, 2022
- RAUM · $1.9B to $1.9BMar 24, 2021 to Mar 29, 2022
- Assets in custody · $1.6B to $1.9BMar 30, 2020 to Mar 24, 2021
- Discretionary RAUM · $1.6B to $1.9BMar 30, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $1.6B to $1.9BMar 30, 2020 to Mar 24, 2021
- RAUM · $1.6B to $1.9BMar 30, 2020 to Mar 24, 2021
- Assets in custody · $1.5B to $1.6BMar 25, 2019 to Mar 30, 2020
- Discretionary RAUM · $1.5B to $1.6BMar 25, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $1.5B to $1.6BMar 25, 2019 to Mar 30, 2020
- RAUM · $1.5B to $1.6BMar 25, 2019 to Mar 30, 2020
- Assets in custody · $1.6B to $1.5BApr 30, 2018 to Mar 25, 2019
- Employees · 25 to 26Apr 30, 2018 to Mar 25, 2019
- Discretionary RAUM · $1.6B to $1.5BApr 30, 2018 to Mar 25, 2019
- Pooled vehicle RAUM · $1.6B to $1.5BApr 30, 2018 to Mar 25, 2019
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- U•••••• M••••••••• L•• · Family Officesshared crd · office
- U•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- U•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- U••••••MGMT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-455-6200reportedpublic record, Form ADV, Mar 13, 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
U•••••• 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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