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••••••• I••••••••• ••• L••
Latest filing Mar 29, 2017
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
$2.5B
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
33
14 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$1.4B gross assets
History
12 filings and snapshots on the tape
RAUM$2.5B as of Mar 29, 2017
Mar 30, 2012$647M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Mar 28, 20130 then
Employees (5.A)33 as of Mar 29, 2017
Mar 28, 201310 then
Private funds5 as of Mar 29, 2017
Mar 30, 20123 then
RAUM +3.6% over the last fiscal year+27% 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
- $164MderivedRAUM 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
- +3.6%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 vehiclesreportedItem 5.G
- Custody
- $1.4B, 5 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)
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
- 15reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.4B for 5 clientsreported
- Compensation
- % of AUM, 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• D•••••• R••••• U•• · Chief Compliance Officercontrolsince 04/2013 · owns less than 5%
- S••••• D•••••• R••••• U•• · Ownercontrolsince 04/2006 · owns 75% or more of A••••••• I••••••••• ••••••••• S•••
Entity owners
- A••••••• I••••••••• L•••••• · General Partner/Ownerdirect · owns 75% or more
- A••••••• I••••••••• ••••••••• S••• · Ownerindirect · owns 75% or more of A••••••• I••••••••• L••••••
Related persons
Schedule D 7.A
- A••••••• ••••••••• S•••••••pooled vehicle sponsorn
- A••••••• ••• L••••••investment advisern
- A••••••• I••••••••• ••••• P••• L••investment advisern
- A••••••• I••••••••• ••• L••••••bankpooled vehicle sponsorn
- A••••••• I••••••••• ••• I•••investment advisernRAUM $6.9B
- A••••••• I••••••••• L••••••pooled vehicle sponsory
- A••••••• N•• P••••••••• G• I• S•••pooled vehicle sponsory
- A••••••• N•• P••••••••• G• S•••pooled vehicle sponsory
- A••••••• S•••••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 19 to 15Mar 30, 2016 to Mar 29, 2017
- Advisory employees · 6 to 14Mar 30, 2016 to Mar 29, 2017
- Assets in custody · $587M to $1.4BMar 30, 2016 to Mar 29, 2017
- Employees · 14 to 33Mar 30, 2016 to Mar 29, 2017
- Private funds · 3 to 5Mar 30, 2016 to Mar 29, 2017
- Discretionary RAUM · $2.4B to $2.5BMar 30, 2016 to Mar 29, 2017
- RAUM · $2.4B to $2.5BMar 30, 2016 to Mar 29, 2017
- Advisory employees · 3 to 6Jul 17, 2015 to Mar 30, 2016
- Assets in custody · $556M to $587MJul 17, 2015 to Mar 30, 2016
- Employees · 9 to 14Jul 17, 2015 to Mar 30, 2016
- Discretionary RAUM · $1.7B to $2.4BJul 17, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $87.3M to $0Jul 17, 2015 to Mar 30, 2016
- RAUM · $1.8B to $2.4BJul 17, 2015 to Mar 30, 2016
- Accounts · 13 to 19Nov 12, 2014 to Mar 31, 2015
- Advisory employees · 5 to 3Nov 12, 2014 to Mar 31, 2015
- Assets in custody · $612M to $556MNov 12, 2014 to Mar 31, 2015
- Employees · 11 to 9Nov 12, 2014 to Mar 31, 2015
- Discretionary RAUM · $1.2B to $1.7BNov 12, 2014 to Mar 31, 2015
- Non-discretionary RAUM · $0 to $87.3MNov 12, 2014 to Mar 31, 2015
- RAUM · $1.2B to $1.8BNov 12, 2014 to Mar 31, 2015
- Accounts · 12 to 13Nov 19, 2013 to Mar 31, 2014
- Advisory employees · 6 to 5Nov 19, 2013 to Mar 31, 2014
- Assets in custody · $467M to $612MNov 19, 2013 to Mar 31, 2014
- Discretionary RAUM · $864M to $1.2BNov 19, 2013 to Mar 31, 2014
- RAUM · $864M to $1.2BNov 19, 2013 to Mar 31, 2014
- Accounts · 13 to 12Mar 28, 2013 to Oct 24, 2013
- Employees · 10 to 11Mar 28, 2013 to Oct 24, 2013
- Discretionary RAUM · $1.2B to $864MMar 28, 2013 to Oct 24, 2013
- RAUM · $1.2B to $864MMar 28, 2013 to Oct 24, 2013
- Accounts · 12 to 13Mar 30, 2012 to Mar 28, 2013
- Advisory employees · unset to 6.0Mar 30, 2012 to Mar 28, 2013
- Assets in custody · $405M to $467MMar 30, 2012 to Mar 28, 2013
- Employees · unset to 10.0Mar 30, 2012 to Mar 28, 2013
- State-registered IARs · unset to 0.0Mar 30, 2012 to Mar 28, 2013
- Discretionary RAUM · $647M to $1.2BMar 30, 2012 to Mar 28, 2013
- RAUM · $647M to $1.2BMar 30, 2012 to Mar 28, 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
A••••••• 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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