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

F•••• E•••• A••••••••• C••••• S••• L••

Former SEC-registered adviserChicago, IllinoisCRD 161045SEC 801-73104IAPD
Latest filing Jun 19, 2020
First filing on the tape Jan 27, 2012 · 27 filings
RAUM
$2.6B
reported, Item 5.F
Discretionary
98%
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
55
31 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
5
$2.1B gross assets
History
27 filings and snapshots on the tape
RAUM$2.6B as of Mar 30, 2020
Mar 28, 2013$2.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 28, 20130 then
Employees (5.A)55 as of Mar 30, 2020
Mar 28, 201319 then
Private funds5 as of Mar 30, 2020
Mar 28, 20136 then
RAUM -9.5% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 19, 2020; 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
$160MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-9.5%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.1B83%
  • Pension and profit-sharing plans$385M15%
  • Insurance companies$47.8M1.9%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
16reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• C••••• L••• O••••••••• M••••• F•••no longer reportedHedge Fund$551M52Mar 29, 2012
      W••• R•••• C•• I• • T••• I••••••••• L•••no longer reportedSecuritized Asset Fund$379M1Mar 29, 2012
      G•••••• P••• C•• I• L•••no longer reportedSecuritized Asset Fund$290M1Mar 29, 2012
      W••• R•••• C•• I• L•••no longer reportedSecuritized Asset Fund$237M1Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D••• M•••••• · Chief Administrative Officer & Svpcontrol
        since 01/2020 · owns less than 5%
      • F••••••• J••••• R•• · Chief Investment Officercontrol
        since 06/2012 · owns less than 5%
      • F••••• C••••••••• J••• · Presidentcontrol
        since 11/2017 · owns less than 5%
      • M•••••• M••••• A••• · Chief Executive Officercontrol
        since 01/2020 · owns less than 5%
      • M••••••••• B•••• · Head Of Finance, Svp & Treasurercontrol
        since 01/2020 · owns less than 5%
      • M•••••• A•••••• J• · Chief Compliance Officercontrol
        since 01/2020 · owns less than 5%
      • O••••••• D•••• · Head Of Legal & Compliance, Svp & Chief Legal Officercontrol
        since 01/2020 · owns less than 5%
      • O••••• T•••••••• W•••••• · Chief Operating Officer And Chief Financial Officercontrol
        since 06/2012 · owns less than 5%
      • R••••••••• S•••••• · General Counsel & Secretarycontrol
        since 02/2018 · owns less than 5%
      • D•••••• E•••• M••••• · Shareholdercontrol
        since 01/2020 · owns 25% to 50% of C•••••• C•••••• G••••• L•••
      • D•••••• E•••• M••••• · Limited Partnercontrol
        since 01/2020 · owns 25% to 50% of C•••••• C••••••• L•••
      • J••••••• D•••••• T••• I•••••• · Limited Partnercontrol
        since 01/2020 · owns 50% to 75% of C•••••• C••••••• L•••
      • J••••••• D•••••• T••• I•••••• · Shareholdercontrol
        since 01/2020 · owns 75% or more of C•••••• C•••••• G••••• L•••
      Entity owners
      • F•••• E•••• A••••••••• C•••••• L•• · Sole And Managing Member
        direct · owns 75% or more
      • B•• C• H••••••• G• L•••• · General Partner
        indirect · owns F of B•• C• H••••••• L•••
      • B•• C• H••••••• L••• · Shareholder
        indirect · owns 50% to 75% of F•••• E•••• H•••••••• I•••
      • B••••••••• C•••••• P••••••• V• L••• · Member
        indirect · owns 50% to 75% of B•• C• H••••••• G• L••••
      • B••••••••• C•••••• P••••••• V• L••• · Limited Partner
        indirect · owns 25% to 50% of B•• C• H••••••• L•••
      • B••••••••• H••••••• I•• G• L••• · General Partner
        indirect · owns F of B••••••••• H••••••• I•• L•••
      • B••••••••• H••••••• I•• G• M••••••••• L••••• · General Partner
        indirect · owns F of B••••••••• H••••••• I•• G• L•••
      • B••••••••• H••••••• I•• L••• · Managing Member
        indirect · owns 50% to 75% of B•• V• L•••••
      • B••••••••• M••••••••• A••••••••• V• L••••• · General Partner
        indirect · owns F of B••••••••• C•••••• P••••••• V• L•••
      • B•• V• L••••• · General Partner
        indirect · owns F of B••••••••• M••••••••• A••••••••• V• L•••••
      • C•••••• C•••••• G••••• L••• · General Partner
        indirect · owns F of C•••••• C••••••• L•••
      • C•••••• C•••••• L•• · General Partner
        indirect · owns F of C•••••• P••••••• M••••• M••••••••• L•••
      • C•••••• C•••••• L•• · General Partner
        indirect · owns F of C•••••• M••••• M••••••••• L•••
      • C•••••• C•••••• L•• · General Partner
        indirect · owns F of C•••••• I• M••••••••• L•••
      • C•••••• C•••••• P••••••• G••••• L••• · General Partner
        indirect · owns F of C•••••• C•••••• P•••••••• L•••
      • C•••••• C•••••• P•••••••• L••• · Limited Partner
        indirect · owns 75% or more of C•••••• I• M••••••••• L•••
      • C•••••• C•••••• P•••••••• L••• · Limited Partner
        indirect · owns 75% or more of C•••••• M••••• M••••••••• L•••
      • C•••••• C••••••• L••• · Sole Member
        indirect · owns 75% or more of C•••••• C•••••• L••
      • C•••••• I• F•••••••• S••••••• C•••••• P••••••• L••• · Member
        indirect · owns 50% to 75% of B•• C• H••••••• G• L••••
      • C•••••• I• M••••••••• L••• · General Partner
        indirect · owns F of C•••••• I• F•••••••• S••••••• C•••••• P••••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list F•••• E•••• A••••••••• C••••• S••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY2 employees
      • Boston, MA1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 17 to 16
        Feb 28, 2020 to Mar 30, 2020
      • Business name · T•• C••••• S••••• L••• S••••••••• L•• to F•••• E•••• A••••••••• C••••• S••• L••
        Feb 28, 2020 to Mar 30, 2020
      • Pooled vehicle clients · 15 to 13
        Feb 28, 2020 to Mar 30, 2020
      • Legal name · T•• C••••• S••••• L••• S••••••••• L•• to F•••• E•••• A••••••••• C••••• S••• L••
        Feb 28, 2020 to Mar 30, 2020
      • Discretionary RAUM · $2.8B to $2.5B
        Feb 28, 2020 to Mar 30, 2020
      • Non-discretionary RAUM · $56.6M to $47.8M
        Feb 28, 2020 to Mar 30, 2020
      • Pension RAUM · $374M to $385M
        Feb 28, 2020 to Mar 30, 2020
      • Pooled vehicle RAUM · $2.2B to $2.1B
        Feb 28, 2020 to Mar 30, 2020
      • RAUM · $2.8B to $2.6B
        Feb 28, 2020 to Mar 30, 2020
      • Related broker-dealer · false to true
        Mar 29, 2019 to Feb 28, 2020
      • Accounts · 19 to 17
        Dec 10, 2018 to Mar 29, 2019
      • Advisory employees · 19 to 31
        Dec 10, 2018 to Mar 29, 2019
      • Employees · 35 to 55
        Dec 10, 2018 to Mar 29, 2019
      • Private funds · 7 to 5
        Dec 10, 2018 to Mar 29, 2019
      • Discretionary RAUM · $3.7B to $2.8B
        Dec 10, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $54.3M to $56.6M
        Dec 10, 2018 to Mar 29, 2019
      • Pension RAUM · $352M to $374M
        Dec 10, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $3.2B to $2.2B
        Dec 10, 2018 to Mar 29, 2019
      • RAUM · $3.8B to $2.8B
        Dec 10, 2018 to Mar 29, 2019
      • Advisory employees · 18 to 19
        Feb 16, 2018 to Mar 28, 2018
      • Pooled vehicle clients · 12 to 15
        Feb 16, 2018 to Mar 28, 2018
      • Employees · 22 to 35
        Feb 16, 2018 to Mar 28, 2018
      • Discretionary RAUM · $3.6B to $3.7B
        Feb 16, 2018 to Mar 28, 2018
      • Non-discretionary RAUM · $63.8M to $54.3M
        Feb 16, 2018 to Mar 28, 2018
      • Pension RAUM · $336M to $352M
        Feb 16, 2018 to Mar 28, 2018
      • Pooled vehicle RAUM · $3.1B to $3.2B
        Feb 16, 2018 to Mar 28, 2018
      • RAUM · $3.7B to $3.8B
        Feb 16, 2018 to Mar 28, 2018
      • Pooled vehicle clients · unset to 12.0
        Mar 29, 2017 to Dec 20, 2017
      • Other offices · unset to 2.0
        Mar 29, 2017 to Dec 20, 2017
      • Pension RAUM · unset to 335698157.0
        Mar 29, 2017 to Dec 20, 2017
      • Pooled vehicle RAUM · unset to 3120737851.0
        Mar 29, 2017 to Dec 20, 2017
      • Accounts · 14 to 19
        Nov 2, 2016 to Mar 29, 2017
      • Advisory employees · 16 to 18
        Nov 2, 2016 to Mar 29, 2017
      • Private funds · 6 to 7
        Nov 2, 2016 to Mar 29, 2017
      • Discretionary RAUM · $3.2B to $3.6B
        Nov 2, 2016 to Mar 29, 2017
      • Non-discretionary RAUM · $43.9M to $63.8M
        Nov 2, 2016 to Mar 29, 2017
      • RAUM · $3.2B to $3.7B
        Nov 2, 2016 to Mar 29, 2017
      • Accounts · 13 to 14
        Mar 29, 2016 to Apr 26, 2016
      • Discretionary RAUM · $2.8B to $3.2B
        Mar 29, 2016 to Apr 26, 2016
      • RAUM · $2.9B to $3.2B
        Mar 29, 2016 to Apr 26, 2016
      Signals
      9 dated events
      • Brian Margulies (Head Of Finance, Svp & Treasurer) appeared on Schedule A of F•••• E•••• A••••••••• C••••• S••• L••
        Feb 28, 2020 · Control person joined · fact
      • J Andrew Morris (Chief Compliance Officer) appeared on Schedule A of F•••• E•••• A••••••••• C••••• S••• L••
        Feb 28, 2020 · Control person joined · fact
      • Melanie Dow (Chief Administrative Officer & Svp) appeared on Schedule A of F•••• E•••• A••••••••• C••••• S••• L••
        Feb 28, 2020 · Control person joined · fact
      • David Oconnor (Head Of Legal & Compliance, Svp & Chief Legal Officer) appeared on Schedule A of F•••• E•••• A••••••••• C••••• S••• L••
        Feb 28, 2020 · Control person joined · fact
      • Asif Mehdi Mahmud (Chief Executive Officer) appeared on Schedule A of F•••• E•••• A••••••••• C••••• S••• L••
        Feb 28, 2020 · Control person joined · fact
      • Teja Ignacio Dharma Jayanti (Shareholder) appeared on Schedule A of F•••• E•••• A••••••••• C••••• S••• L••
        Feb 28, 2020 · Control person joined · fact
      • Mervyn Evan Davies (Limited Partner) appeared on Schedule A of F•••• E•••• A••••••••• C••••• S••• L••
        Feb 28, 2020 · Control person joined · fact
      • Winston Brian Good (Co-Head & Senior Managing Director) no longer on Schedule A of F•••• E•••• A••••••••• C••••• S••• L•• (listed 2019-03-29, absent 2020-02-28)
        Feb 28, 2020 · Control person left · inference
      • F•••• E•••• A••••••••• C••••• S••• L•• reported RAUM $2.8B, down 25% from $3.8B (2018-12-10 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      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