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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SEC-registered adviser

A•• A•••• M••••••••• U•• I••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 160795SEC 801-74200IAPD
Latest filing Mar 25, 2026
First filing on the tape Feb 15, 2012 · 31 filings
SEC status approved since Mar 30, 2012
RAUM
$141B
reported, Item 5.F
Discretionary
38%
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
183
100 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
29
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$141B as of Mar 25, 2026
Mar 28, 2013$71B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 28, 20130 then
Employees (5.A)183 as of Mar 25, 2026
Mar 28, 2013109 then
Private funds29 as of Mar 25, 2026
Mar 28, 201311 then
RAUM -6.2% over the last fiscal year+0.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; 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
$3.2BderivedRAUM over accounts (5.F.2.f)
Discretionary
38%derivedof RAUM
Institutional
38%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
-6.2%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, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$48B, 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)
  • 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$87B62%
  • Pension and profit-sharing plans$54B38%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
44reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$48B for 1 clientsreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=0.62 institutional_share=0.38 related_bd=false related_bank=false bd_reps=0.0derived
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
      34 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•• S•••••••• R••• E••••• P••• L•• U••• L••Real Estate Fund$14B1Feb 15, 2012
      S•••••• R••••••••• L••Other Private Fund$980M1Mar 28, 2024
      R••••••••• I•• L••Other Private Fund$824M1Mar 18, 2019
      N•• S••••••• 3• B•••••• I•••Other Private Fund$702M1Apr 28, 2016
      L•• B•••••• C••••Other Private Fund$673M1Mar 30, 2016
      K•• F••• L••no longer reportedOther Private Fund$570M1Feb 15, 2012
      I•• B•••••• L••Other Private Fund$528M1Mar 29, 2018
      P••••••• L••Other Private Fund$494M1Mar 30, 2021
      D••••• I••••••••• L••Other Private Fund$476M1Mar 30, 2021
      R••••••••• L••Other Private Fund$420M1Mar 29, 2018
      N•• B•••••• I•••Other Private Fund$413M1Apr 28, 2016
      P•• 2•••••••• S•• L••Private Equity Fund$325M1Mar 30, 2022
      S••••• L••Other Private Fund$315M1Mar 30, 2016
      D••••••• L••Other Private Fund$294M1Mar 30, 2022
      W•••• F••• L••no longer reportedOther Private Fund$238M1Feb 15, 2012
      L••••• I••••••••• L••Other Private Fund$216M1Mar 30, 2023
      A•• L•••• E•••••• L••Other Private Fund$123M1Mar 29, 2018
      A•• L•••••••• •••Real Estate Fund$108M1Mar 18, 2019
      P•• 2•••••••• S•• L••Private Equity Fund$95.1M1Mar 27, 2020
      M••••• L••Hedge Fund$75.0M1Feb 15, 2012
      O•••••• I••••••••• I•••Other Private Fund$56.2M1Feb 15, 2012
      T•••••••• C•••••• L••Hedge Fund$45.9M1Feb 15, 2012
      B•••• L••Real Estate Fund$37.0M1Mar 18, 2019
      N••••••• I• L••no longer reportedReal Estate Fund$30.0M1Feb 15, 2012
      A•• C•••••• S••••• L••Other Private Fund$19.9M1Mar 29, 2018
      A•• L•••• S••••• L••Other Private Fund$16.7M1Mar 29, 2018
      N•• H•••••• A••••••• R••••• F••• I• L••Hedge Fund$5.7M1Feb 15, 2012
      Z••••• I••••••••• L••Other Private Fund$4.6M1Mar 28, 2024
      A•• T••••••• R••• E••••• P••• U••• L••Real Estate Fund$43,9351Feb 15, 2012
      N•• A•••• H••••••• L••no longer reportedOther Private Fund$10,6391Mar 28, 2013
      P•• 2•••••••• S••• L••Private Equity Fund$691Mar 30, 2023
      M••••• I•• L••no longer reportedHedge Fund$01Mar 29, 2018
      A•••• N• H••••••• L••Real Estate Fund$01Mar 28, 2014
      N••••••• I• L••Real Estate Fund$01Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• E•••• A••••• · Chief Compliance Officercontrol
        since 09/2017 · owns less than 5%
      • P•••••• A••••• K•••• · General Counselcontrol
        since 07/2019 · owns less than 5%
      • S•••••• V•• E•• M•••••• · Chief Executive Officercontrol
        since 02/2022 · owns less than 5%
      • T••••••• R••••• · Chief Financial Risk Officercontrol
        since 01/2020 · owns less than 5%
      Entity owners
      • A•• A•••• M••••••••• N••• · Direct Owner
        direct · owns 75% or more
      • A•• G•••• N• · Indirect Owner
        indirect · owns 75% or more of Apg Asset Management Nv
      • S•••••••• P••••••••• A•• · Indirect Owner
        indirect · owns 75% or more of A•• G•••• N•
      Related persons
      Schedule D 7.A
      • A•• A•••• M••••••••• N•••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • high institutional concentrationStatic outlier · filing Mar 25, 2026
        institutional share of RAUM of 38% against a peer median of 0% (512 comparable advisers, 99.0th percentile, 12.9 robust deviations)
        peers: asset managers, $20B and over (512) · 99% percentile
      What changed
      consecutive filings, newest first
      • Accounts · 39 to 44
        Mar 27, 2025 to Mar 25, 2026
      • Advisory employees · 104 to 100
        Mar 27, 2025 to Mar 25, 2026
      • Assets in custody · $57B to $48B
        Mar 27, 2025 to Mar 25, 2026
      • Employees · 189 to 183
        Mar 27, 2025 to Mar 25, 2026
      • Private funds · 28 to 29
        Mar 27, 2025 to Mar 25, 2026
      • Discretionary RAUM · $68B to $54B
        Mar 27, 2025 to Mar 25, 2026
      • Non-discretionary RAUM · $83B to $87B
        Mar 27, 2025 to Mar 25, 2026
      • Pension RAUM · $59B to $54B
        Mar 27, 2025 to Mar 25, 2026
      • Pooled vehicle RAUM · $91B to $87B
        Mar 27, 2025 to Mar 25, 2026
      • RAUM · $151B to $141B
        Mar 27, 2025 to Mar 25, 2026
      • Accounts · 37 to 39
        Mar 28, 2024 to Mar 27, 2025
      • Advisory employees · 95 to 104
        Mar 28, 2024 to Mar 27, 2025
      • Assets in custody · $74B to $57B
        Mar 28, 2024 to Mar 27, 2025
      • Employees · 185 to 189
        Mar 28, 2024 to Mar 27, 2025
      • Financial planning clients · 0 to 0
        Mar 28, 2024 to Mar 27, 2025
      • Private funds · 29 to 28
        Mar 28, 2024 to Mar 27, 2025
      • Discretionary RAUM · $83B to $68B
        Mar 28, 2024 to Mar 27, 2025
      • Non-discretionary RAUM · $81B to $83B
        Mar 28, 2024 to Mar 27, 2025
      • Pension RAUM · $71B to $59B
        Mar 28, 2024 to Mar 27, 2025
      • Pooled vehicle RAUM · $93B to $91B
        Mar 28, 2024 to Mar 27, 2025
      • RAUM · $164B to $151B
        Mar 28, 2024 to Mar 27, 2025
      • Accounts · 33 to 37
        Jun 15, 2023 to Mar 28, 2024
      • Advisory employees · 94 to 95
        Jun 15, 2023 to Mar 28, 2024
      • Assets in custody · $56B to $74B
        Jun 15, 2023 to Mar 28, 2024
      • Employees · 181 to 185
        Jun 15, 2023 to Mar 28, 2024
      • Private funds · 27 to 29
        Jun 15, 2023 to Mar 28, 2024
      • Discretionary RAUM · $56B to $83B
        Jun 15, 2023 to Mar 28, 2024
      • Non-discretionary RAUM · $85B to $81B
        Jun 15, 2023 to Mar 28, 2024
      • Pension RAUM · $45B to $71B
        Jun 15, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $96B to $93B
        Jun 15, 2023 to Mar 28, 2024
      • RAUM · $141B to $164B
        Jun 15, 2023 to Mar 28, 2024
      • Accounts · 30 to 33
        Jun 29, 2022 to Mar 30, 2023
      • Advisory employees · 89 to 94
        Jun 29, 2022 to Mar 30, 2023
      • Assets in custody · $87B to $56B
        Jun 29, 2022 to Mar 30, 2023
      • Employees · 171 to 181
        Jun 29, 2022 to Mar 30, 2023
      • Private funds · 25 to 27
        Jun 29, 2022 to Mar 30, 2023
      • Discretionary RAUM · $87B to $56B
        Jun 29, 2022 to Mar 30, 2023
      • Non-discretionary RAUM · $99B to $85B
        Jun 29, 2022 to Mar 30, 2023
      • Pension RAUM · $76B to $45B
        Jun 29, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $110B to $96B
        Jun 29, 2022 to Mar 30, 2023
      Signals
      6 dated events
      • M•••••• S•••••• Van Es (Chief Executive Officer) appeared on Schedule A of A•• A•••• M••••••••• U•• I••
        Jun 29, 2022 · Control person joined · fact
      • Paul Spijkers (Chief Executive Officer) no longer on Schedule A of A•• A•••• M••••••••• U•• I•• (listed 2022-03-30, absent 2022-06-29)
        Jun 29, 2022 · Control person left · inference
      • R••••• T•••••• (Chief Financial Risk Officer) appeared on Schedule A of A•• A•••• M••••••••• U•• I••
        Mar 27, 2020 · Control person joined · fact
      • K•••• A•••• P••••• (General Counsel) appeared on Schedule A of A•• A•••• M••••••••• U•• I••
        Aug 2, 2019 · Control person joined · fact
      • Leo Palmen (General Counsel) no longer on Schedule A of A•• A•••• M••••••••• U•• I•• (listed 2019-06-28, absent 2019-08-02)
        Aug 2, 2019 · Control person left · inference
      • M•••••• S•••••• Van Es (Chief Financial And Risk Officer) no longer on Schedule A of A•• A•••• M••••••••• U•• I•• (listed 2018-06-29, absent 2019-03-18)
        Mar 18, 2019 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Principal office phone
      917-368-3500reportedpublic record, Form ADV, Mar 25, 2026
      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
      Asset manager (funds and pooled vehicles)deriveda 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•• A•••• M••••••••• U•• I•• 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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