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•• I••••••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 160263SEC 801-73762IAPD
Latest filing Apr 22, 2016
First filing on the tape Feb 14, 2012 · 18 filings
RAUM
$625M
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
7
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$854M gross assets
History
18 filings and snapshots on the tape
RAUM$625M as of Mar 16, 2016
Mar 25, 2013$147M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2016
Mar 25, 20130 then
Employees (5.A)7 as of Mar 16, 2016
Mar 25, 20137 then
Private funds2 as of Mar 16, 2016
Mar 25, 20133 then
RAUM +57% over the last fiscal year+62% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 22, 2016; 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
$156MderivedRAUM 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
+57%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 vehiclesreportedItem 5.G
Custody
$625M, 4 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$625M for 4 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
      Every departureEvery arrival
      Private funds
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•• I••••••••• L••••••••• M••••• F•••• L••Hedge Fund$625M53Feb 14, 2012
      B•••••• D••••••••• I•••• F•••Hedge Fund$229M1Feb 14, 2012
      A•• E••••••• M•••••• F•••• L••Hedge Fund$43.8M13Mar 14, 2014
      A•• R••• E••••• A•••• F••• L•no longer reportedHedge Fund$37.8M8Mar 14, 2014
      A•• C•••••• R••••• F•••• L•no longer reportedReal Estate Fund$20.2M7Sep 26, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • N•••• V••••• B•••••••• · Chief Investment Officer And L•••••• Partnercontrol
        since 07/2008 · owns 25% to 50%
      • Y•••••• B•••• · Principalcontrol
        since 07/2014 · owns less than 5%
      • N•••• V••••• B•••••••• · Managing Membercontrol
        since 07/2008 · owns 75% or more of A•• I••••••••• M••••••••• G• L••
      • R••••••••• M•••••• · Managing Membercontrol
        since 07/2008 · owns 75% or more of R• V••••••• G•••• I•• L••
      • H•••••••• G•• F•••• · L•••••• Partner
        since 07/2012 · owns 5% to 10%
      • S•••• S•••••• A• · Principal/Chief Compliance Officer
        since 03/2016 · owns less than 5%
      Entity owners
      • A•• I••••••••• M••••••••• G• L•• · General Partner
        direct · owns less than 5%
      • E••• H••••••• L•••••• · Parent
        indirect · owns 75% or more of X• I•••••••• •••••••• L•••
      • X••• A••••••• I••• · Parent
        indirect · owns 75% or more of Xl Global Inc.
      • X• C•••••• S••••••••• L•• · Parent
        indirect · owns 75% or more of E••• H••••••• L••••••
      • X• F•••••••• H••••••• •••••••• L•••••• · Parent
        indirect · owns 75% or more of X••• A••••••• I•••
      • X• G•••• P•• · Parent
        indirect · owns 75% or more of X••• L••• · public reporting company
      • X• I•••••••• •••••••• L••• · Parent
        indirect · owns 75% or more of X• F•••••••• H••••••• •••••••• L••••••
      • X••• L••• · Parent
        indirect · owns 75% or more of X• C•••••• S••••••••• L••
      • R• V••••••• G•••• I•• L•• · L•••••• Partner
        direct · owns 10% to 25%
      • X• G•••••• I••• · Special L•••••• Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • A•• S••••••••• I••••••••• S••••••• P••• L•••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 4
        May 29, 2015 to Mar 16, 2016
      • Advisory employees · 3 to 4
        May 29, 2015 to Mar 16, 2016
      • Assets in custody · $410M to $625M
        May 29, 2015 to Mar 16, 2016
      • Employees · 6 to 7
        May 29, 2015 to Mar 16, 2016
      • Private funds · 3 to 2
        May 29, 2015 to Mar 16, 2016
      • Discretionary RAUM · $410M to $625M
        May 29, 2015 to Mar 16, 2016
      • RAUM · $410M to $625M
        May 29, 2015 to Mar 16, 2016
      • Assets in custody · $398M to $410M
        Apr 9, 2015 to Apr 21, 2015
      • Discretionary RAUM · $398M to $410M
        Apr 9, 2015 to Apr 21, 2015
      • RAUM · $398M to $410M
        Apr 9, 2015 to Apr 21, 2015
      • Business name · A•• I••••••••• M••••••••• L• to A•• I••••••••• M••••••••• L•
        Jan 3, 2015 to Mar 16, 2015
      • Assets in custody · $478M to $398M
        Jan 3, 2015 to Mar 16, 2015
      • Employees · 4 to 6
        Jan 3, 2015 to Mar 16, 2015
      • Legal name · A•• I••••••••• M••••••••• L• to A•• I••••••••• M••••••••• L•
        Jan 3, 2015 to Mar 16, 2015
      • Discretionary RAUM · $478M to $398M
        Jan 3, 2015 to Mar 16, 2015
      • RAUM · $478M to $398M
        Jan 3, 2015 to Mar 16, 2015
      • Related bank · false to true
        Jan 3, 2015 to Mar 16, 2015
      • Accounts · 9 to 6
        Jul 2, 2014 to Jan 3, 2015
      • Advisory employees · 4 to 3
        Jul 2, 2014 to Jan 3, 2015
      • Assets in custody · $142M to $478M
        Jul 2, 2014 to Jan 3, 2015
      • Employees · 7 to 4
        Jul 2, 2014 to Jan 3, 2015
      • Private funds · 4 to 3
        Jul 2, 2014 to Jan 3, 2015
      • Discretionary RAUM · $142M to $478M
        Jul 2, 2014 to Jan 3, 2015
      • RAUM · $142M to $478M
        Jul 2, 2014 to Jan 3, 2015
      • Accounts · 6 to 9
        Jan 28, 2014 to Mar 14, 2014
      • Assets in custody · $154M to $142M
        Jan 28, 2014 to Mar 14, 2014
      • Private funds · 3 to 4
        Jan 28, 2014 to Mar 14, 2014
      • Discretionary RAUM · $154M to $142M
        Jan 28, 2014 to Mar 14, 2014
      • RAUM · $154M to $142M
        Jan 28, 2014 to Mar 14, 2014
      • Assets in custody · $147M to $154M
        Apr 22, 2013 to Aug 6, 2013
      • Discretionary RAUM · $146M to $154M
        Apr 22, 2013 to Aug 6, 2013
      • Non-discretionary RAUM · $800,000 to $0
        Apr 22, 2013 to Aug 6, 2013
      • RAUM · $147M to $154M
        Apr 22, 2013 to Aug 6, 2013
      • Advisory employees · unset to 4.0
        Sep 26, 2012 to Mar 25, 2013
      • BD registered reps · unset to 0.0
        Sep 26, 2012 to Mar 25, 2013
      • Assets in custody · $151M to $147M
        Sep 26, 2012 to Mar 25, 2013
      • Employees · unset to 7.0
        Sep 26, 2012 to Mar 25, 2013
      • State-registered IARs · unset to 0.0
        Sep 26, 2012 to Mar 25, 2013
      • Discretionary RAUM · $156M to $146M
        Sep 26, 2012 to Mar 25, 2013
      • Non-discretionary RAUM · $2.6M to $800,000
        Sep 26, 2012 to Mar 25, 2013
      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•• I••••••••• M••••••••• 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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