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
U• R••••••••• G••••
Legal name U••• M••••••••• C••••••• L••
Latest filing May 22, 2023
First filing on the tape Mar 29, 2012 · 17 filings
RAUM
$304M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$305M gross assets
History
17 filings and snapshots on the tape
RAUM$358M as of Mar 24, 2023
Apr 1, 2013$482M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2023
Apr 1, 20130 then
Employees (5.A)2 as of Mar 24, 2023
Apr 1, 201318 then
Private funds1 as of Mar 24, 2023
Apr 1, 20135 then
RAUM -15% over the last fiscal year-0.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 22, 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
- $304MderivedRAUM 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
- -0.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $527,550, 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
- 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)
- 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
- Pooled investment vehicles$304M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $527,550 for 1 clientsreported
- Compensation
- fixed, 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• C•••••• H•••••••• L•• | Private Equity Fund | $305M | 31 | Mar 16, 2017 |
| U••• P•••• • B••••••• F••• I•• L•no longer reported | Private Equity Fund | $126M | 25 | Mar 29, 2012 |
| U••• P•••• • B••••••• F••• I••• L•no longer reported | Private Equity Fund | $89.7M | 8 | Mar 29, 2012 |
| U••• P•••• • B••••••• F••• I•••• L•no longer reported | Private Equity Fund | $82.2M | 10 | Mar 29, 2012 |
| U••• P•••• • B••••••• F••• I••••• L•no longer reported | Private Equity Fund | $4.0M | 2 | Mar 29, 2012 |
| U• R••••••••• G••••• L••no longer reported | Private Equity Fund | $302,878 | 15 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• D••••• Y••• · Chief Compliance Officer, Chief Financial Officer And Treasurer Of U••• M••••••••• C••••••• L••controlsince 12/2009 · owns less than 5%
- B•••••• L••• E•••• · Managing Director Of U••• M••••••••• C••••••• L••controlsince 04/2007 · owns less than 5%
- M••••••••• J••••• A•••••• C••••••• · Managing Director Of U••• M••••••••• C••••••• L••controlsince 04/2007 · owns less than 5%
- B•••••• L••• E•••• · Membercontrolsince 04/2007 · owns 25% to 50% of U• R••••••••• H•••••••• L••
- M••••••••• J••••• A•••••• C••••••• · Membercontrolsince 09/2003 · owns 75% or more of R•••••• C•••••• P•••••••• L••
Entity owners
- U• R••••••••• H•••••••• L•• · Memberdirect · owns 75% or more
- R•••••• C•••••• P•••••••• L•• · Memberindirect · owns 50% to 75% of U• R••••••••• H•••••••• L••
Related persons
Schedule D 7.A
- U••• P•••• • B••••••• F••• I• G•• L••pooled vehicle sponsorn
- U••• P•••• • B••••••• F••• I•• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $687,638 to $527,550Mar 24, 2023 to May 22, 2023
- Discretionary RAUM · $358M to $304MMar 24, 2023 to May 22, 2023
- Pooled vehicle RAUM · $358M to $304MMar 24, 2023 to May 22, 2023
- RAUM · $358M to $304MMar 24, 2023 to May 22, 2023
- Assets in custody · $1.0M to $687,638Jul 26, 2022 to Mar 24, 2023
- Discretionary RAUM · $359M to $358MJul 26, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $359M to $358MJul 26, 2022 to Mar 24, 2023
- RAUM · $359M to $358MJul 26, 2022 to Mar 24, 2023
- Assets in custody · $20.6M to $1.0MMar 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $308M to $359MMar 29, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $308M to $359MMar 29, 2021 to Mar 31, 2022
- RAUM · $308M to $359MMar 29, 2021 to Mar 31, 2022
- Assets in custody · $25.1M to $20.6MMar 27, 2020 to Mar 29, 2021
- Discretionary RAUM · $311M to $308MMar 27, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $311M to $308MMar 27, 2020 to Mar 29, 2021
- RAUM · $311M to $308MMar 27, 2020 to Mar 29, 2021
- RAUM · $295M to $311MMar 30, 2019 to Mar 27, 2020
- Advisory employees · 3 to 2Mar 30, 2019 to Mar 27, 2020
- Assets in custody · $30.6M to $25.1MMar 30, 2019 to Mar 27, 2020
- Employees · 5 to 2Mar 30, 2019 to Mar 27, 2020
- Discretionary RAUM · $295M to $311MMar 30, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $295M to $311MMar 30, 2019 to Mar 27, 2020
- Assets in custody · $40.1M to $30.6MMar 30, 2018 to Mar 30, 2019
- Discretionary RAUM · $329M to $295MMar 30, 2018 to Mar 30, 2019
- Pooled vehicle RAUM · $329M to $295MMar 30, 2018 to Mar 30, 2019
- RAUM · $329M to $295MMar 30, 2018 to Mar 30, 2019
- Advisory employees · 4 to 3Mar 31, 2017 to Mar 30, 2018
- Pooled vehicle clients · unset to 1.0Mar 31, 2017 to Mar 30, 2018
- Assets in custody · $112M to $40.1MMar 31, 2017 to Mar 30, 2018
- Employees · 6 to 5Mar 31, 2017 to Mar 30, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 30, 2018
- Discretionary RAUM · $318M to $329MMar 31, 2017 to Mar 30, 2018
- Pooled vehicle RAUM · unset to 328912799.0Mar 31, 2017 to Mar 30, 2018
- RAUM · $318M to $329MMar 31, 2017 to Mar 30, 2018
- Assets in custody · $62.5M to $112MMar 16, 2017 to Mar 31, 2017
- Discretionary RAUM · $279M to $318MMar 16, 2017 to Mar 31, 2017
- RAUM · $279M to $318MMar 16, 2017 to Mar 31, 2017
- Accounts · 5 to 1Mar 30, 2016 to Mar 16, 2017
- Advisory employees · 6 to 4Mar 30, 2016 to Mar 16, 2017
- Assets in custody · $43.7M to $62.5MMar 30, 2016 to Mar 16, 2017
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- U• R••••••••• G•••• · Private Equityshared crd · organization
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