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••• R••• E••••• M••••••••• H•••••••• L••
Latest filing Nov 16, 2018
First filing on the tape Jan 12, 2012 · 22 filings
RAUM
$5.7B
reported, Item 5.F
Discretionary
87%
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
105
75 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
46
$4.5B gross assets
History
22 filings and snapshots on the tape
RAUM$5.7B as of Apr 1, 2018
Mar 27, 2013$5.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2018
Mar 27, 20131 then
Employees (5.A)105 as of Apr 1, 2018
Mar 27, 201385 then
Private funds43 as of Apr 1, 2018
Mar 27, 201327 then
RAUM +15% over the last fiscal year-8.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 16, 2018; 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
- $117MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%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 vehicles, otherreportedItem 5.G
- Custody
- $4.8B, 44 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)
- 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)
- 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$5.0B88%
- Insurance companies$715M12%
- Corporations and businesses$1.8M0.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 49reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.8B for 44 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
18 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••• R••• E••••• F•••••• C•••••••••no longer reported | Real Estate Fund | $1.0B | 44 | Jan 12, 2012 |
| 6•• M•••••• P•••••••• R••• L••no longer reported | Real Estate Fund | $169M | 127 | Jan 12, 2012 |
| A••••• C•••••••• C•••••••••no longer reported | Real Estate Fund | $159M | 9 | Jan 12, 2012 |
| A•••••• C•••••••• P••••••••• A• L••no longer reported | Real Estate Fund | $35.5M | 1 | Mar 30, 2016 |
| A•••••• C•••••••• P••••••••• E• L•••no longer reported | Real Estate Fund | $26.9M | 3 | Mar 30, 2016 |
| A•••••• C•••••••• P••••••••• C• L•••no longer reported | Real Estate Fund | $17.4M | 4 | Mar 30, 2016 |
| A•••••• C•••••••• P••••••••• B• L•••no longer reported | Real Estate Fund | $14.5M | 1 | Mar 30, 2016 |
| A•••••• C•••••••• P••••••••• D• L•••no longer reported | Real Estate Fund | $10.7M | 1 | Mar 30, 2016 |
| V•• V• I••••••••• P•••••• H••••••• L•••no longer reported | Real Estate Fund | $4.9M | 1 | May 15, 2012 |
| A•••••• C•••••••• P••••••••• F• L•••no longer reported | Real Estate Fund | $3.6M | 1 | Mar 30, 2016 |
| V•••• E••••••••• F••• I•• L•no longer reported | Real Estate Fund | $99,996 | 23 | Jan 12, 2012 |
| V•••• E••••••••• F••• I•• L••no longer reported | Real Estate Fund | $83,913 | 3 | Jan 12, 2012 |
| A• F••• K••• O•••• L••no longer reported | Real Estate Fund | $0 | 0 | Mar 30, 2016 |
| A•••• V• U• P••••••••• T•••••••• L•• | Real Estate Fund | $0 | 2 | Mar 30, 2016 |
| A• C• O•• C•••••• C••••• C••••••••• L••no longer reported | Real Estate Fund | $0 | 0 | Mar 30, 2016 |
| A••••••••• R••• E••••• M•••••••• F•••• L•••no longer reported | Real Estate Fund | $0 | 11 | Jan 12, 2012 |
| A• I••••••••• P•••••••• I•• L••no longer reported | Real Estate Fund | $0 | 1 | Mar 30, 2016 |
| A••• U• R••• E••••• O••••••••• F••• I•• L•••no longer reported | Hedge Fund | $0 | 0 | Mar 31, 2015 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• M••••••• J• •• O•••• · Chief Executive Officer And Presidentcontrolsince 01/2018 · owns less than 5%
- B•••••••• W••••••• S••••• · Vice Presidentcontrolsince 01/2013 · owns less than 5%
- K••••••• M•••••• G•••••••• · Chief Compliance Officercontrolsince 09/2017 · owns less than 5%
- M•••••••• M••••••• R••••• · Vice President, Chief Financial Officer And Treasurercontrolsince 01/2018 · owns less than 5%
- R••••••• A•••••• P•••• · Executive Chairmancontrolsince 01/2018 · owns less than 5%
- W•••••• M••••••• D••••• · Vice President, General Counsel And Secretarycontrolsince 01/2018 · owns less than 5%
- R••••••• A•••••• P•••• · Membercontrolsince 01/2002 · owns 25% to 50% of A••• O••••• H•••••••• L•••
Entity owners
- A••• R••• E••••• A••••••••• S••• L•• · Memberdirect · owns 75% or more
- A••• H••••• L•• · General Partnerindirect · owns F of A••• H•••••••• L•••
- A••• H••••• L•• · General Partnerindirect · owns F of A••• M••••••••• H••••••• L•••
- A••• H••••••• I••• · Memberindirect · owns 75% or more of A••• H••••• L••
- A••• H•••••••• L••• · L•••••• Partnerindirect · owns 50% to 75% of A••• M••••••••• H••••••• L•••
- A••• M••••••••• H••••••• L••• · Memberindirect · owns 50% to 75% of A••• M••••••••• L••
- A••• M••••••••• L••• · Sole Shareholderindirect · owns 75% or more of A••• H••••••• I••• · public reporting company
- A••• M••••••••• L•• · Memberindirect · owns 75% or more of A••• R••• E••••• I••••••••• H•••••••
- A••• O••••• H•••••••• L••• · L•••••• Partnerindirect · owns 50% to 75% of A••• H•••••••• L•••
- A••• P••••••• H••••• L•• · General Partnerindirect · owns F of A••• O••••• H•••••••• L•••
- A••• R••• E••••• I••••••••• H••••••• · Memberindirect · owns 75% or more of A••• R••• E••••• A••••••••• S••• L••
Related persons
Schedule D 7.A
- A•• E•••• G•• L••bankpooled vehicle sponsorn
- A•• I•• G• ••••••••• L••pooled vehicle sponsorn
- A••• A••• M••••••••• L•••bankpooled vehicle sponsorn
- A••• I••••••••• M••••••••• L••investment adviserbankn
- A••• I• A•• C••••••••• M••••••••• L••pooled vehicle sponsorn
- A••• M••••••••• I•• L•••bankpooled vehicle sponsorn
- A••• M••••••••• I••• L•••bankpooled vehicle sponsorn
- A••• M••••••••• I•• L•••bankpooled vehicle sponsorn
- A••• M••••••••• V• L•••bankpooled vehicle sponsorn
- A••• M••••••••• L•••bankpooled vehicle sponsorn
- A••• O•••••••• M•••••• I•• L•••investment adviserbankn
- A••• O•••••••• M•••••• I••• L••investment adviserbankn
- A••• O•••••••• M•••••• I•• L••investment adviserbankn
- A••• O•••••••• M••••••• L•••investment adviserbankn
- A••• A•••••••• L••pooled vehicle sponsorn
- A••• L••••• G•• L••pooled vehicle sponsorn
- A•••• V• M••••••••• L•••pooled vehicle sponsorn
- A•••• X• M••••••••• L•••investment advisern
- A•••• ••••••••• G• I•• L•••••pooled vehicle sponsorn
- A•••• I• N• G•• L•pooled vehicle sponsorn
- A••••••• C•••••• E••••• M••••••••• I• L••pooled vehicle sponsorn
- A••••••• C•••••• E••••• M••••••••• I•• L••pooled vehicle sponsorn
- A• C• I••••••••pooled vehicle sponsorn
- A••• M•••••• I• L••pooled vehicle sponsorn
- A••••• P••••• R••• E••••• A•••••••• L•••pooled vehicle sponsorn
- A••••• R••• E••••• A••••••• I••• L•••pooled vehicle sponsorn
- A••••• R••• E••••• A••••••• I•• L•••pooled vehicle sponsorn
- A••••• R••• E••••• A••••••• V• L•••pooled vehicle sponsorn
- A•••••• L••pooled vehicle sponsorn
- A••••••••• L••pooled vehicle sponsorn
Advisers that list A••• R••• E••••• M••••••••• H•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY22 employees
- London, United Kingdom21 employees
- Atlanta, GA10 employees
- Chicago, IL5 employees
- Dallas, TX4 employees
- Luxembourg, Luxembourg1 employees
- Paris, France1 employees
What changed
consecutive filings, newest first
- Private funds · 45 to 46Jun 20, 2018 to Nov 16, 2018
- Private funds · 43 to 45Apr 1, 2018 to Jun 20, 2018
- Accounts · 53 to 49Sep 29, 2017 to Apr 1, 2018
- Advisory employees · 94 to 75Sep 29, 2017 to Apr 1, 2018
- BD registered reps · 4 to 0Sep 29, 2017 to Apr 1, 2018
- Pooled vehicle clients · unset to 47.0Sep 29, 2017 to Apr 1, 2018
- Assets in custody · $4.3B to $4.8BSep 29, 2017 to Apr 1, 2018
- Employees · 131 to 105Sep 29, 2017 to Apr 1, 2018
- Other offices · unset to 7.0Sep 29, 2017 to Apr 1, 2018
- Private funds · 49 to 43Sep 29, 2017 to Apr 1, 2018
- Discretionary RAUM · $4.2B to $5.0BSep 29, 2017 to Apr 1, 2018
- Non-discretionary RAUM · $831M to $773MSep 29, 2017 to Apr 1, 2018
- Pooled vehicle RAUM · unset to 5028973948.0Sep 29, 2017 to Apr 1, 2018
- RAUM · $5.0B to $5.7BSep 29, 2017 to Apr 1, 2018
- Private funds · 47 to 49Aug 3, 2017 to Aug 25, 2017
- Assets in custody · $3.5B to $4.3BMar 31, 2017 to Apr 26, 2017
- Private funds · 46 to 47Mar 31, 2017 to Apr 26, 2017
- Accounts · 39 to 53Mar 30, 2016 to Mar 31, 2017
- Advisory employees · 78 to 94Mar 30, 2016 to Mar 31, 2017
- Assets in custody · $92.4M to $3.5BMar 30, 2016 to Mar 31, 2017
- Employees · 117 to 131Mar 30, 2016 to Mar 31, 2017
- Private funds · 45 to 46Mar 30, 2016 to Mar 31, 2017
- Discretionary RAUM · $5.6B to $4.2BMar 30, 2016 to Mar 31, 2017
- Non-discretionary RAUM · $774M to $831MMar 30, 2016 to Mar 31, 2017
- RAUM · $6.4B to $5.0BMar 30, 2016 to Mar 31, 2017
- Accounts · 28 to 39Mar 31, 2015 to Mar 30, 2016
- Advisory employees · 80 to 78Mar 31, 2015 to Mar 30, 2016
- BD registered reps · 2 to 4Mar 31, 2015 to Mar 30, 2016
- Assets in custody · $0 to $92.4MMar 31, 2015 to Mar 30, 2016
- State-registered IARs · 2 to 0Mar 31, 2015 to Mar 30, 2016
- Private funds · 26 to 45Mar 31, 2015 to Mar 30, 2016
- Discretionary RAUM · $7.2B to $5.6BMar 31, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $310M to $774MMar 31, 2015 to Mar 30, 2016
- RAUM · $7.5B to $6.4BMar 31, 2015 to Mar 30, 2016
- Accounts · 26 to 28Jul 24, 2014 to Mar 31, 2015
- Advisory employees · 50 to 80Jul 24, 2014 to Mar 31, 2015
- Assets in custody · $5.0B to $0Jul 24, 2014 to Mar 31, 2015
- Employees · 97 to 117Jul 24, 2014 to Mar 31, 2015
- Discretionary RAUM · $5.0B to $7.2BJul 24, 2014 to Mar 31, 2015
- Non-discretionary RAUM · $0 to $310MJul 24, 2014 to Mar 31, 2015
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••• R••• E••••• M••••••••• H•••••••• 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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