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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
I••••• I••••••••• C••••••• L••
Latest filing Mar 27, 2023
First filing on the tape Feb 28, 2012 · 33 filings
RAUM
$7.6M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$7.6M gross assets
History
33 filings and snapshots on the tape
RAUM$7.6M as of Mar 27, 2023
Feb 29, 2016$32.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2023
Mar 22, 20130 then
Employees (5.A)1 as of Mar 27, 2023
Mar 22, 20135 then
Private funds1 as of Mar 27, 2023
Mar 22, 20131 then
RAUM -98% over the last fiscal year-72% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2023; 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
- $7.6MderivedRAUM 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
- -98%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
- financial planning, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $7.6M, 1 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- 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$7.6M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.6M for 1 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••••• R••••• P••••••• F•••• L• | Real Estate Fund | $7.6M | 9 | Mar 22, 2013 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• P•••••• · Managercontrolsince 01/2022 · owns less than 5%
- B•••••• S••••••• I•••• · Chief Compliance Officer And Managercontrolsince 10/2014 · owns less than 5%
- C••••••• M•••• J••••• · Vice Presidentcontrolsince 12/2012 · owns less than 5%
- F•••••• H•••••• M• · President And Managercontrolsince 07/2021 · owns less than 5%
- H•••••• J•••• · Secretarycontrolsince 12/2015 · owns less than 5%
- H•••••••• A••••••••• M•••••• · Vice Presidentcontrolsince 10/2011 · owns less than 5%
- H••••••• K••••••• · Treasurercontrolsince 05/2019 · owns less than 5%
- H••••••••• T•• · Managercontrolsince 05/2013 · owns less than 5%
- G••••••• D•••••• L• · Membercontrolsince 07/1982 · owns 50% to 75% of T•• I••••• G••••• L••
Entity owners
- I••••••••• M••••••••• G••••• L•• · I••••• I••••••••• C••••••• L••direct · owns 75% or more
- I••••• G•••• M•••••••• L•• · Managerindirect · owns F of T•• I••••• G••••• L••
- T•• I••••• G••••• L•• · Memberindirect · owns 75% or more of T•• I••••• R••• E••••• C••••••••• L••
- T•• I••••• R••• E••••• C••••••••• L•• · Memberindirect · owns 75% or more of I••••••••• M••••••••• G••••• L••
Related persons
Schedule D 7.A
- I••••• Investment Advisors, LLCinvestment advisernRAUM $249M
- I••••• S••••••••• C•••••••••broker-dealern
Advisers that list I••••• I••••••••• C••••••• L•• as a related person
- 109933 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · unset to 1.0May 24, 2022 to Mar 27, 2023
- Advisory activities · 1 to 2May 24, 2022 to Mar 27, 2023
- BD registered reps · 2 to 1May 24, 2022 to Mar 27, 2023
- Pooled vehicle clients · 0 to 1May 24, 2022 to Mar 27, 2023
- Assets in custody · $0 to $7.6MMay 24, 2022 to Mar 27, 2023
- Custody of client assets · false to trueMay 24, 2022 to Mar 27, 2023
- Employees · 2 to 1May 24, 2022 to Mar 27, 2023
- Discretionary RAUM · unset to 7631657.0May 24, 2022 to Mar 27, 2023
- Non-discretionary RAUM · unset to 0.0May 24, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $0 to $7.6MMay 24, 2022 to Mar 27, 2023
- RAUM · unset to 7631657.0May 24, 2022 to Mar 27, 2023
- Accounts · 1.0 to unsetFeb 24, 2022 to May 24, 2022
- Advisory employees · 3 to 1Feb 24, 2022 to May 24, 2022
- Advisory activities · 2 to 1Feb 24, 2022 to May 24, 2022
- BD registered reps · 3 to 2Feb 24, 2022 to May 24, 2022
- Pooled vehicle clients · 1 to 0Feb 24, 2022 to May 24, 2022
- Assets in custody · $310M to $0Feb 24, 2022 to May 24, 2022
- Custody of client assets · true to falseFeb 24, 2022 to May 24, 2022
- Employees · 5 to 2Feb 24, 2022 to May 24, 2022
- Discretionary RAUM · 310300000.0 to unsetFeb 24, 2022 to May 24, 2022
- Non-discretionary RAUM · 0.0 to unsetFeb 24, 2022 to May 24, 2022
- Pooled vehicle RAUM · $310M to $0Feb 24, 2022 to May 24, 2022
- RAUM · 310300000.0 to unsetFeb 24, 2022 to May 24, 2022
- Assets in custody · $333M to $310MAug 30, 2021 to Jan 19, 2022
- Discretionary RAUM · $333M to $310MAug 30, 2021 to Jan 19, 2022
- Pooled vehicle RAUM · $333M to $310MAug 30, 2021 to Jan 19, 2022
- RAUM · $333M to $310MAug 30, 2021 to Jan 19, 2022
- Advisory employees · 4 to 3Feb 22, 2021 to Aug 12, 2021
- Employees · 6 to 5Feb 22, 2021 to Aug 12, 2021
- Assets in custody · $335M to $333MJul 29, 2020 to Feb 22, 2021
- Discretionary RAUM · $335M to $333MJul 29, 2020 to Feb 22, 2021
- Pooled vehicle RAUM · $335M to $333MJul 29, 2020 to Feb 22, 2021
- RAUM · $335M to $333MJul 29, 2020 to Feb 22, 2021
- Advisory employees · 3 to 4Mar 20, 2019 to Feb 11, 2020
- Assets in custody · $279M to $335MMar 20, 2019 to Feb 11, 2020
- Employees · 5 to 6Mar 20, 2019 to Feb 11, 2020
- Discretionary RAUM · $279M to $335MMar 20, 2019 to Feb 11, 2020
- Pooled vehicle RAUM · $279M to $335MMar 20, 2019 to Feb 11, 2020
- RAUM · $279M to $335MMar 20, 2019 to Feb 11, 2020
- BD registered reps · 1 to 3Feb 15, 2018 to Mar 20, 2019
Signals
8 dated events
- P•••••• A•••••• (Manager) appeared on Schedule A of I••••• I••••••••• C••••••• L••Jan 19, 2022 · Control person joined · fact
- Sue Roberta Matlin (Vice President And Manager) no longer on Schedule A of I••••• I••••••••• C••••••• L•• (listed 2021-08-30, absent 2022-01-19)Jan 19, 2022 · Control person left · inference
- Andrew George Pandaleon (President/Manager) no longer on Schedule A of I••••• I••••••••• C••••••• L•• (listed 2021-02-22, absent 2021-08-12)Aug 12, 2021 · Control person left · inference
- Ernest Fiorante (Manager) no longer on Schedule A of I••••• I••••••••• C••••••• L•• (listed 2019-03-20, absent 2020-02-11)Feb 11, 2020 · Control person left · inference
- Prashant Bodhanwala (Treasurer) no longer on Schedule A of I••••• I••••••••• C••••••• L•• (listed 2019-03-20, absent 2020-02-11)Feb 11, 2020 · Control person left · inference
- K••••••• H•••••• (Treasurer) appeared on Schedule A of I••••• I••••••••• C••••••• L••Feb 11, 2020 · Control person joined · fact
- I••••• I••••••••• C••••••• L•• reported RAUM $279.4M, up 90% from $147.4M (2018-02-15 to 2019-03-20)Mar 20, 2019 · RAUM change · derived
- I••••• I••••••••• C•••••• P••••••• C••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 1, 2016 · Succession (Item 4) · fact
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
I••••• I••••••••• C••••••• 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.
Checking your plan…