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

H••• G••••• A•••• M••••••••• •••••••

Former SEC-registered adviserCourbevoie, CRD 158519SEC 801-72605IAPD
Latest filing Aug 24, 2022
First filing on the tape Mar 30, 2012 · 43 filings
RAUM
$79B
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
308
93 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$79B as of Mar 30, 2022
Mar 30, 2012$82B then
HNW client RAUM$0 as of Mar 30, 2022
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 30, 20120 then
Employees (5.A)308 as of Mar 30, 2022
Mar 28, 2013420 then
Private funds1 as of Mar 26, 2021
Mar 30, 20121 then
RAUM -10% over the last fiscal year+2.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 24, 2022; 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
$398MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
36%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
-10%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, fixed fees, performance-based, commissionsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
  • controlled by a public reporting company (10.A)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$43B55%
  • Insurance companies$21B27%
  • Corporations and businesses$4.8B6.2%
  • Pension and profit-sharing plans$4.5B5.7%
  • Banks and thrifts$1.9B2.5%
  • State and municipal entities$1.4B1.8%
  • Sovereign wealth funds$1.2B1.5%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
14reported
Charitable clients
0reported
Accounts
198reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performance, commissionsreported
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
      16 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••• G••••• L•••••••• F•••• P•• • S••••••• L•••••••• F•••no longer reportedL•••••••• Fund$9.1B494Jul 10, 2012
      H••• G••••• L•••••••• F•••• P•• • E••• L•••••••• F•••no longer reportedL•••••••• Fund$8.8B304Jul 10, 2012
      H••• G••••• I••••••••• F•••• E••• H••• Y•••• B•••no longer reportedHedge Fund$1.4B288Nov 28, 2013
      E•••••••no longer reportedL•••••••• Fund$503M1,083Jan 10, 2013
      H••• I••••••••• E••••• P••••• F•••no longer reportedHedge Fund$303M15,123Feb 20, 2015
      H••• G••••• E••••• F•••no longer reportedHedge Fund$241M7,388Feb 21, 2014
      H••• G••••• I••••••••• F•••• G••••• M••••no longer reportedHedge Fund$173M160Aug 9, 2012
      M••••• M•••• S••••••• U••no longer reportedHedge Fund$84.2M1Mar 30, 2012
      T• M•••••••••no longer reportedHedge Fund$77.0M19Nov 27, 2012
      H••• G••••• I•••••••• L••••• B••• P••••• F•••no longer reportedHedge Fund$75.1M16,924Nov 26, 2014
      H••• G••••• I••••••••• F•••• G••••• E•••••no longer reportedHedge Fund$61.4M134Aug 9, 2012
      H••• B••• E••••• F•••no longer reportedHedge Fund$57.3M10,523Feb 21, 2014
      H••• G••••• I••••••••• F•••• • E••••••• E•••••Other Private Fund$56.5M162Mar 31, 2017
      H••• E••••••• F•••no longer reportedOther Private Fund$45.7M5,702Mar 31, 2017
      H••• S••••• O•••••••••no longer reportedHedge Fund$43.7M22Nov 27, 2012
      H••• S••••• 2•no longer reportedHedge Fund$30.7M13Nov 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• X•••••• F••••••• · Directorcontrol
        since 05/2022 · owns less than 5%
      • B••••••••• J••• · Chairman And Director Of The Boardcontrol
        since 01/2012 · owns less than 5%
      • B•••••••• I•••••••• P•••••• · Chief Executive Officer, Executive Directorcontrol
        since 03/2022 · owns less than 5%
      • L••••••• E••• · Director And Global Head Of Fixed Income Products - H••• G••••• A•••• M••••••••• ••• L••••••control
        since 07/2010 · owns less than 5%
      • M•••••• P••••••• · Chief Compliance Officercontrol
        since 06/2016 · owns less than 5%
      • P••••••••• B••••• · Chief Operating Officercontrol
        since 09/2020 · owns less than 5%
      • T•••••••• G••••••• J••• · Chief Risk Officercontrol
        since 07/2013 · owns less than 5%
      • G••••• V••••••• · Director
        since 05/2020 · owns less than 5%
      • H••••• L••• · Director
        since 07/2022 · owns less than 5%
      • M•••••• A••••••••• · Non Executive Director
        since 07/2022 · owns less than 5%
      • S•••••••• M••••• · Chief Internal Control Officer
        since 09/2001 · owns less than 5%
      • V•••••••• S••••• · Chief Legal Officer
        since 05/2006 · owns less than 5%
      Entity owners
      • H••• C••••••••• E••••• · Director And Shareholder
        direct · owns 75% or more
      • H••• E•••••• E••••••••• ••••••• · Shareholder
        direct · owns 5% to 10%
      • H••• B••• P•• · Indirect Shareholder
        indirect · owns 75% or more of H••• C••••••••• E•••••
      • H••• H••••••• P•• · Indirect Shareholder
        indirect · owns 75% or more of H••• U• H••••••• L••
      • H••• U• H••••••• L•• · Indirect Shareholder
        indirect · owns 75% or more of H••• B••• P••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 200 to 198
        Dec 22, 2021 to Mar 30, 2022
      • Advisory employees · 101 to 93
        Dec 22, 2021 to Mar 30, 2022
      • Corporate clients · 10 to 7
        Dec 22, 2021 to Mar 30, 2022
      • Pension plan clients · 16 to 14
        Dec 22, 2021 to Mar 30, 2022
      • clients p••••• vehicles · 137 to 141
        Dec 22, 2021 to Mar 30, 2022
      • Employees · 311 to 308
        Dec 22, 2021 to Mar 30, 2022
      • Private funds · 1 to unset
        Dec 22, 2021 to Mar 30, 2022
      • Discretionary RAUM · $88B to $79B
        Dec 22, 2021 to Mar 30, 2022
      • Pension RAUM · $5.5B to $4.5B
        Dec 22, 2021 to Mar 30, 2022
      • raum p••••• vehicles · $46B to $43B
        Dec 22, 2021 to Mar 30, 2022
      • RAUM · $88B to $79B
        Dec 22, 2021 to Mar 30, 2022
      • Related broker-dealer · true to false
        Dec 22, 2021 to Mar 30, 2022
      • Accounts · 202 to 200
        Sep 8, 2020 to Mar 26, 2021
      • Advisory employees · 102 to 101
        Sep 8, 2020 to Mar 26, 2021
      • Corporate clients · 11 to 10
        Sep 8, 2020 to Mar 26, 2021
      • Pension plan clients · 17 to 16
        Sep 8, 2020 to Mar 26, 2021
      • Employees · 332 to 311
        Sep 8, 2020 to Mar 26, 2021
      • Discretionary RAUM · $78B to $88B
        Sep 8, 2020 to Mar 26, 2021
      • Pension RAUM · $5.8B to $5.5B
        Sep 8, 2020 to Mar 26, 2021
      • raum p••••• vehicles · $37B to $46B
        Sep 8, 2020 to Mar 26, 2021
      • RAUM · $78B to $88B
        Sep 8, 2020 to Mar 26, 2021
      • Accounts · 207 to 202
        Mar 28, 2019 to Mar 27, 2020
      • Advisory employees · 100 to 102
        Mar 28, 2019 to Mar 27, 2020
      • Corporate clients · 12 to 11
        Mar 28, 2019 to Mar 27, 2020
      • Pension plan clients · 18 to 17
        Mar 28, 2019 to Mar 27, 2020
      • clients p••••• vehicles · 144 to 137
        Mar 28, 2019 to Mar 27, 2020
      • Employees · 333 to 332
        Mar 28, 2019 to Mar 27, 2020
      • Discretionary RAUM · $73B to $78B
        Mar 28, 2019 to Mar 27, 2020
      • Non-discretionary RAUM · $164M to $0
        Mar 28, 2019 to Mar 27, 2020
      • Pension RAUM · $4.6B to $5.8B
        Mar 28, 2019 to Mar 27, 2020
      • raum p••••• vehicles · $33B to $37B
        Mar 28, 2019 to Mar 27, 2020
      • RAUM · $73B to $78B
        Mar 28, 2019 to Mar 27, 2020
      • Accounts · 218 to 207
        Mar 30, 2018 to Mar 28, 2019
      • Advisory activities · 4 to 3
        Mar 30, 2018 to Mar 28, 2019
      • Corporate clients · 13 to 12
        Mar 30, 2018 to Mar 28, 2019
      • Pension plan clients · 71 to 18
        Mar 30, 2018 to Mar 28, 2019
      • clients p••••• vehicles · 104 to 144
        Mar 30, 2018 to Mar 28, 2019
      • Employees · 328 to 333
        Mar 30, 2018 to Mar 28, 2019
      • Private funds · 2 to 1
        Mar 30, 2018 to Mar 28, 2019
      • Discretionary RAUM · $85B to $73B
        Mar 30, 2018 to Mar 28, 2019
      Signals
      12 dated events
      • G•••••• J T••••••• (Chief Risk Officer) no longer on Schedule A of H••• G••••• A•••• M••••••••• ••••••• (listed 2022-07-07, absent 2022-07-07)
        Jul 7, 2022 · Control person left · inference
      • G•••••••• R•••••• (Director Of The Board And Chief Investment Officer) no longer on Schedule A of H••• G••••• A•••• M••••••••• ••••••• (listed 2022-05-10, absent 2022-07-07)
        Jul 7, 2022 · Control person left · inference
      • M••• J••••• M•••• (Director) no longer on Schedule A of H••• G••••• A•••• M••••••••• ••••••• (listed 2022-05-10, absent 2022-07-07)
        Jul 7, 2022 · Control person left · inference
      • F••••••• X••••• B•••••• (Director) appeared on Schedule A of H••• G••••• A•••• M••••••••• •••••••
        Jul 7, 2022 · Control person joined · fact
      • G•••••• J T••••••• (Chief Risk Officer) appeared on Schedule A of H••• G••••• A•••• M••••••••• •••••••
        Jul 7, 2022 · Control person joined · fact
      • J••• G•••••• T••••••• (Chief Risk Officer) appeared on Schedule A of H••• G••••• A•••• M••••••••• •••••••
        Jul 7, 2022 · Control person joined · fact
      • P•••••• I••••••• B••••••• (Chief Executive Officer) appeared on Schedule A of H••• G••••• A•••• M••••••••• •••••••
        May 2, 2022 · Control person joined · fact
      • M••••• P•••• (Chief Executive Officer) no longer on Schedule A of H••• G••••• A•••• M••••••••• ••••••• (listed 2021-12-22, absent 2022-03-30)
        Mar 30, 2022 · Control person left · inference
      • B••••• P•••••••• (Chief Operating Officer) appeared on Schedule A of H••• G••••• A•••• M••••••••• •••••••
        Sep 8, 2020 · Control person joined · fact
      • J••••• C••••• (Chief Operating Officer) no longer on Schedule A of H••• G••••• A•••• M••••••••• ••••••• (listed 2020-03-27, absent 2020-09-08)
        Sep 8, 2020 · Control person left · inference
      • S•••••• C••••••••• C••••••• (Director) no longer on Schedule A of H••• G••••• A•••• M••••••••• ••••••• (listed 2019-03-28, absent 2020-03-27)
        Mar 27, 2020 · Control person left · inference
      • M••• J••••• M•••• (Director) appeared on Schedule A of H••• G••••• A•••• M••••••••• •••••••
        Mar 27, 2020 · Control person joined · 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