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

I•• O• I•••••••• V•••• I••••••••

Former SEC-registered adviserLondon, CRD 157597SEC 801-73347IAPD
Legal name I•••••••• V•••• I•••••••• •••• L••
Latest filing Jun 14, 2021
First filing on the tape Feb 13, 2012 · 13 filings
RAUM
$1.2B
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$1.2B as of Jun 14, 2021
May 11, 2012$967M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 14, 2021
May 31, 20130 then
Employees (5.A)8 as of Jun 14, 2021
May 31, 20138 then
Private funds1 as of Jun 21, 2019
May 21, 20151 then
RAUM -27% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 14, 2021; 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
$138MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
45%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
-27%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$510M41%
  • Charitable organizations$355M29%
  • Pension and profit-sharing plans$200M16%
  • Other investment advisers$111M8.9%
  • Corporations and businesses$65.0M5.2%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I•• U••••••• F••• P••no longer reportedOther Private Fund$514M208May 21, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • D• M•• V•• O•••••••• H••••••• A•••••• · Member, Chief Executive Officercontrol
        since 07/2005 · owns 50% to 75%
      • H•••••••• G••••• · Member, Chief Compliance Officercontrol
        since 10/2012 · owns 10% to 25%
      • J•••••• G••••• A•••••••• · Membercontrol
        since 04/2007 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 9
        Jun 25, 2020 to Jun 14, 2021
      • Advisory employees · 6 to 5
        Jun 25, 2020 to Jun 14, 2021
      • Pooled vehicle clients · 3 to 2
        Jun 25, 2020 to Jun 14, 2021
      • Employees · 9 to 8
        Jun 25, 2020 to Jun 14, 2021
      • Discretionary RAUM · $1.7B to $1.2B
        Jun 25, 2020 to Jun 14, 2021
      • Pension RAUM · $255M to $200M
        Jun 25, 2020 to Jun 14, 2021
      • Pooled vehicle RAUM · $819M to $510M
        Jun 25, 2020 to Jun 14, 2021
      • RAUM · $1.7B to $1.2B
        Jun 25, 2020 to Jun 14, 2021
      • Private funds · 1 to unset
        Jun 21, 2019 to Jun 25, 2020
      • Discretionary RAUM · $2.2B to $1.7B
        Jun 21, 2019 to Jun 25, 2020
      • Pension RAUM · $319M to $255M
        Jun 21, 2019 to Jun 25, 2020
      • Pooled vehicle RAUM · $1.1B to $819M
        Jun 21, 2019 to Jun 25, 2020
      • RAUM · $2.2B to $1.7B
        Jun 21, 2019 to Jun 25, 2020
      • Discretionary RAUM · $2.4B to $2.2B
        Jun 21, 2018 to Jun 21, 2019
      • Pension RAUM · $334M to $319M
        Jun 21, 2018 to Jun 21, 2019
      • Pooled vehicle RAUM · $1.3B to $1.1B
        Jun 21, 2018 to Jun 21, 2019
      • RAUM · $2.4B to $2.2B
        Jun 21, 2018 to Jun 21, 2019
      • Accounts · 10 to 12
        Jun 14, 2017 to Jun 21, 2018
      • Pooled vehicle clients · unset to 3.0
        Jun 14, 2017 to Jun 21, 2018
      • Employees · 8 to 9
        Jun 14, 2017 to Jun 21, 2018
      • Other offices · unset to 0.0
        Jun 14, 2017 to Jun 21, 2018
      • Discretionary RAUM · $1.8B to $2.4B
        Jun 14, 2017 to Jun 21, 2018
      • Pension RAUM · unset to 333600000.0
        Jun 14, 2017 to Jun 21, 2018
      • Pooled vehicle RAUM · unset to 1284600000.0
        Jun 14, 2017 to Jun 21, 2018
      • RAUM · $1.8B to $2.4B
        Jun 14, 2017 to Jun 21, 2018
      • Advisory employees · 5 to 6
        Oct 14, 2016 to Jun 14, 2017
      • Employees · 7 to 8
        Oct 14, 2016 to Jun 14, 2017
      • Discretionary RAUM · $1.6B to $1.8B
        Oct 14, 2016 to Jun 14, 2017
      • RAUM · $1.6B to $1.8B
        Oct 14, 2016 to Jun 14, 2017
      • Discretionary RAUM · $1.5B to $1.6B
        May 21, 2015 to Jun 23, 2016
      • RAUM · $1.5B to $1.6B
        May 21, 2015 to Jun 23, 2016
      • Accounts · 8 to 10
        Jun 19, 2014 to May 21, 2015
      • Private funds · unset to 1
        Jun 19, 2014 to May 21, 2015
      • Discretionary RAUM · $1.8B to $1.5B
        Jun 19, 2014 to May 21, 2015
      • RAUM · $1.8B to $1.5B
        Jun 19, 2014 to May 21, 2015
      • Advisory employees · 6 to 5
        May 31, 2013 to Jun 19, 2014
      • Employees · 8 to 7
        May 31, 2013 to Jun 19, 2014
      • Discretionary RAUM · $1.3B to $1.8B
        May 31, 2013 to Jun 19, 2014
      • RAUM · $1.3B to $1.8B
        May 31, 2013 to Jun 19, 2014
      • Advisory employees · 5 to 6
        Nov 1, 2012 to May 31, 2013
      Signals
      2 dated events
      • I•• O• I•••••••• V•••• I•••••••• reported RAUM $1.2B, down 27% from $1.7B (2020-06-25 to 2021-06-14)
        Jun 14, 2021 · RAUM change · derived
      • I•• O• I•••••••• V•••• I•••••••• reported RAUM $2.4B, up 33% from $1.8B (2017-06-14 to 2018-06-21)
        Jun 21, 2018 · RAUM change · derived
      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