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
V•••••• I••••••••• •••• I•••
Latest filing Aug 5, 2026
First filing on the tape Feb 14, 2012 · 32 filings
SEC status approved since Mar 27, 2012
RAUM
$1.5B
reported, Item 5.F
Discretionary
7.2%
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
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.5B as of Aug 5, 2026
Dec 20, 2012$641M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 5, 2026
Dec 20, 20120 then
Employees (5.A)5 as of Aug 5, 2026
Dec 20, 20125 then
Private funds1 as of Aug 5, 2026
Dec 20, 20121 then
RAUM +281% over the last fiscal year+43% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 5, 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
- $210MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 7.2%derivedof RAUM
- Institutional
- 25%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
- +281%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- 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$1.1B75%
- Pension and profit-sharing plans$206M14%
- Insurance companies$156M11%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.75 institutional_share=0.25 related_bd=false related_bank=false 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••• I••••••••• S•• L••no longer reported | Other Private Fund | $230M | 1 | Dec 22, 2017 |
| Z••••• H••••••• I••••••••• P•••••••• L•no longer reported | Other Private Fund | $180M | 4 | Feb 14, 2012 |
| V•••••• I••••••••• D••• F••• | Other Private Fund | $109M | 5 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• N•••••••• J•••• · Director, Executive Directorcontrolsince 08/2015 · owns less than 5%
- F••• D••••••• M•••••• · Non-Executive Directorcontrolsince 12/2022 · owns less than 5%
- B••••••••• E••••••• S••••• M••••••• · Ownercontrolsince 08/2023 · owns 75% or more of B••••••••• P••••••• L••
- B••••••••• E••••••• S••••• M••••••• · L•••••• Partnercontrolsince 01/2011 · owns 50% to 75% of L••••••• L•
- B••••••••• E••••••• S••••• M••••••• · Ownercontrolsince 08/2023 · owns 75% or more of B•••••••• G•••• H••••••• S•
- G••••••••• D••••• · L•••••• Partnercontrolsince 01/2011 · owns 25% to 50% of L••••••• L•
- A•••••• S•••••••• H•••••••• · Chief Compliance Officersince 06/2022 · owns less than 5%
Entity owners
- V•••••• I••••••••• H••••••• L•• · Shareholderdirect · owns 75% or more
- B•••••••• A• H••••••• L•••••• · General Partnerindirect · owns F of N••••••• C•••••• ••••••• L•••
- B•••••••• A• H••••••• L•••••• · General Partnerindirect · owns F of N••••••• J••••• H••••••• L•
- B•••••••• G• L•••••• · General Partnerindirect · owns F of N••••••• I••••• L•
- B•••••••• G•••• H••••••• S• · Ownerindirect · owns 75% or more of B•••••••• H••••••• ••••••••• S•
- B•••••••• H••••••• ••••••••• S• · Ownerindirect · owns 75% or more of B•••••••• A• H••••••• L••••••
- B•••••••• H••••••• ••••••••• S• · General Partnerindirect · owns F of B•••••••• G• L••••••
- B••••••••• P••••••• L•• · Ownerindirect · owns 75% or more of L• ••• L••
- C•••••• F••• H•••••• A•• · Ownerindirect · owns 75% or more of V•••••• I••••••••• H••••••• L••
- L••••••• L• · L•••••• Partnerindirect · owns 75% or more of N••••••• I••••• L•
- L• ••• L•• · General Partnerindirect · owns F of L••••••• L•
- N••••••• C•••••• ••••••• L••• · L•••••• Partnerindirect · owns 75% or more of N••••••• J••••• H••••••• L•
- N••••••• I••••• L• · L•••••• Partnerindirect · owns 75% or more of N••••••• C•••••• ••••••• L•••
- N••••••• J••••• H••••••• L• · Ownerindirect · owns 75% or more of N••••••• U• M••••••••• H••••••• L•••••• I•
- N••••••• M••••• L••••••••• H••••••• S••• · Ownerindirect · owns 50% to 75% of C•••••• F••• H•••••• A••
- N••••••• U• M••••••••• H••••••• L•••••• I• · Ownerindirect · owns 75% or more of N••••••• M••••• L••••••••• H••••••• S•••
Related persons
Schedule D 7.A
- V•••••• I••••••••• ••• L••••••investment advisern
- V•••••• I••••••••• U•• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Aug 5, 2026institutional share of RAUM of 25% against a peer median of 0% (1506 comparable advisers, 98.0th percentile, 8.3 robust deviations)peers: asset managers, $1B to $5B (1,506) · 98% percentile
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 28.0% to 7.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: asset managers, $1B to $5B (1,506)
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 69.0% to 25.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: asset managers, $1B to $5B (1,506)
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $385,485,463 to $1,467,098,388 (+281.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 99.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 99% percentile
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Mar 31, 2025 to Mar 31, 2026
- Advisory activities · 3 to 2Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 1 to 2Mar 31, 2025 to Mar 31, 2026
- Employees · 4 to 5Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $109M to $106MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $276M to $1.4BMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $158M to $206MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $109M to $1.1BMar 31, 2025 to Mar 31, 2026
- RAUM · $385M to $1.5BMar 31, 2025 to Mar 31, 2026
- Accounts · 6 to 7Oct 3, 2024 to Mar 31, 2025
- Advisory activities · 2 to 3Oct 3, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Oct 3, 2024 to Mar 31, 2025
- Discretionary RAUM · $254M to $109MOct 3, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $294M to $276MOct 3, 2024 to Mar 31, 2025
- Pension RAUM · $172M to $158MOct 3, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $109M to $109MOct 3, 2024 to Mar 31, 2025
- RAUM · $548M to $385MOct 3, 2024 to Mar 31, 2025
- BD registered reps · 3 to 0Jul 11, 2023 to Mar 28, 2024
- Assets in custody · unset to 0.0Jul 11, 2023 to Mar 28, 2024
- Custody of client assets · false to trueJul 11, 2023 to Mar 28, 2024
- Employees · 5 to 4Jul 11, 2023 to Mar 28, 2024
- Other offices · 1 to 0Jul 11, 2023 to Mar 28, 2024
- Discretionary RAUM · $247M to $254MJul 11, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $255M to $294MJul 11, 2023 to Mar 28, 2024
- Pension RAUM · $152M to $172MJul 11, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $92.6M to $109MJul 11, 2023 to Mar 28, 2024
- RAUM · $502M to $548MJul 11, 2023 to Mar 28, 2024
- Related broker-dealer · true to falseJul 11, 2023 to Mar 28, 2024
- Accounts · 5 to 6Jun 21, 2022 to Mar 31, 2023
- Pension plan clients · unset to 2.0Jun 21, 2022 to Mar 31, 2023
- Pooled vehicle clients · 2 to 1Jun 21, 2022 to Mar 31, 2023
- Assets in custody · 104331768.0 to unsetJun 21, 2022 to Mar 31, 2023
- Employees · 4 to 5Jun 21, 2022 to Mar 31, 2023
- Other offices · 2 to 1Jun 21, 2022 to Mar 31, 2023
- Private funds · 2 to 1Jun 21, 2022 to Mar 31, 2023
- Discretionary RAUM · $318M to $247MJun 21, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $207M to $255MJun 21, 2022 to Mar 31, 2023
- Pension RAUM · unset to 152280500.0Jun 21, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $318M to $92.6MJun 21, 2022 to Mar 31, 2023
- RAUM · $525M to $502MJun 21, 2022 to Mar 31, 2023
Signals
9 dated events
- V•••••• I••••••••• •••• I••• reported RAUM $1.5B, up 281% from $385.5M (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- V•••••• I••••••••• •••• I••• reported RAUM $385.5M, down 30% from $548.3M (2024-10-03 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Nath Ravindra Thakur (Non-Executive Director) no longer on Schedule A of V•••••• I••••••••• •••• I••• (listed 2023-07-11, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- M•••••• D•••••• Fry (Non-Executive Director) appeared on Schedule A of V•••••• I••••••••• •••• I•••Mar 31, 2023 · Control person joined · fact
- Nath Ravindra Thakur (Non-Executive Director) appeared on Schedule A of V•••••• I••••••••• •••• I•••Mar 31, 2023 · Control person joined · fact
- John Darius Berendji (Non-Executive Director) no longer on Schedule A of V•••••• I••••••••• •••• I••• (listed 2022-06-21, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- P Peter Galloway (Chief Compliance Officer) no longer on Schedule A of V•••••• I••••••••• •••• I••• (listed 2022-03-30, absent 2022-06-21)Jun 21, 2022 · Control person left · inference
- K•••• Law (Non-Executive Director) no longer on Schedule A of V•••••• I••••••••• •••• I••• (listed 2021-07-15, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- V•••••• I••••••••• •••• I••• reported RAUM $455.4M, up 39% from $328.3M (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- V•••••• I••••••••• •••• I••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- V••••••INFRA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-681-2910reportedpublic record, Form ADV, Aug 5, 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