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
S••••••• C•••• M•••••••••
Latest filing Mar 28, 2019
First filing on the tape Feb 14, 2012 · 9 filings
RAUM
$1.2B
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
33
25 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
2
$1.2B gross assets
History
9 filings and snapshots on the tape
RAUM$1.2B as of Mar 28, 2019
Apr 1, 2013$2.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Apr 1, 20130 then
Employees (5.A)33 as of Mar 28, 2019
Apr 1, 201325 then
Private funds2 as of Mar 28, 2019
Apr 1, 20132 then
RAUM -1.4% over the last fiscal year-7.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2019; 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
- $200MderivedRAUM 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
- unknownderived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.4%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
- $1.2B, 6 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)
- 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$1.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 6 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• N•••••••• O• · Directorcontrolsince 10/2006 · owns less than 5%
- R••••••••• R•••••• · Directorcontrolsince 10/2006 · owns less than 5%
- S••••••••• R•••• F• · Directorcontrolsince 10/2006 · owns less than 5%
- M•••••• N•••••••• O• · Shareholdercontrolsince 12/2005 · owns 75% or more of B•••••• S•••
- M•••••• N•••••••• O• · Shareholdercontrolsince 12/2005 · owns 75% or more of F•••••• S•••
- M•••••• N•••••••• O• · Shareholdercontrolsince 12/2005 · owns 75% or more of L•••••• S•••
- R••••••••• R•••••• · Shareholdercontrolsince 12/2006 · owns 75% or more of P••••••• C•••••• P•••••••
- A••••• S••••• G•••••• · Chief Compliance Officersince 09/2011 · owns less than 5%
Entity owners
- C••••• G••••• H••••••• L•• · Shareholderdirect · owns 25% to 50%
- P••••••• C•••••• P••••••• · Shareholderdirect · owns 25% to 50%
- S•••• B•• P••••••• · Shareholderdirect · owns 25% to 50%
- B•••••• S••• · Shareholderindirect · owns 25% to 50% of B•••••• S•••
- B•••••• T•••• · Memberindirect · owns 75% or more of S•••• P•••••• C•••••• P•••••••• L••
- B•••••• S••• · Shareholderindirect · owns 75% or more of C•••••• S•••
- C•••••• S••• · Shareholderindirect · owns 75% or more of M••••• F•••••• S•••
- F•••••• S••• · Shareholderindirect · owns 25% to 50% of B•••••• S•••
- L•••••• S••• · Shareholderindirect · owns 25% to 50% of B•••••• S•••
- M••••• F•••••• S••• · Shareholderindirect · owns 75% or more of V•••••• H•••••• L••••••
- S•••• P•••••• C•••••• P•••••••• L•• · Shareholderindirect · owns 75% or more of S•••• B•• P•••••••
- V•••••• H•••••• L•••••• · Memberindirect · owns 75% or more of C••••• G••••• H••••••• L••
Related persons
Schedule D 7.A
- A••••••••• D• I••••••••• L•••••••pooled vehicle sponsorn
- E•••••• A•••• S•• L•••••••pooled vehicle sponsorn
- F•••••••• W•••• L••••••pooled vehicle sponsorn
- G•••••• A•••• L•••••••pooled vehicle sponsorn
- G•••••• C•••• L•••••••pooled vehicle sponsorn
- G•••••• E•••••• L•••••••pooled vehicle sponsorn
- G•••••• H••• L•••••••pooled vehicle sponsorn
- G•••••• I•••• L•••••••pooled vehicle sponsorn
- G•••••• M•••••• H•••••• L•••••••pooled vehicle sponsorn
- G•••••• N•••• L•••••••pooled vehicle sponsorn
- K•••• G••••• L••••••pooled vehicle sponsorn
- L•• C•••• S••investment advisern
- L•••• A•••••• C••••••••• C••••••• S•••••investment advisern
- L•••• A••••••• C••••••••• L•••investment advisern
- P••••••••• F••••• L••••••pooled vehicle sponsorn
- S•• C•••••• S•••pooled vehicle sponsorn
- S• G• C•••••• I••n
- S• G• C•••••• I• L••••••n
- S•• • M••••• A••••••• D• N•••••••• S•••investment advisern
- S••• S•••n
- S•••• A••••••••• D• F••••••••• S• D• C•pooled vehicle sponsorn
- S••• G•• C••pooled vehicle sponsorn
- S••••••• C•••• C•••••• M•••••••••investment advisern
- S••••••• C•••• C•••••• M••••••••• S•••investment advisern
- S••••••• C•••• C•••••• P•••••••pooled vehicle sponsorn
- S••••••• C•••• C•••••• P••••••• I•pooled vehicle sponsorn
- S••••••• C•••• C•••••• P••••••• I••• L•••pooled vehicle sponsorn
- S••••••• C•••• C•••••• P••••••• I•• L•••bankpooled vehicle sponsorn
- S••••••• C•••• C•••••• P••••••• V• L•••pooled vehicle sponsorn
- S••••••• C•••• D• B••••• A••••••••• D• R••••••• L••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Buenos Aires, Argentina6 employees
- Bogota, Colombia4 employees
- Miami Beach, FL1 employees
- Montevideo, Uruguay1 employees
What changed
consecutive filings, newest first
- Assets in custody · $1.2B to $1.2BMar 28, 2018 to Mar 28, 2019
- Discretionary RAUM · $1.2B to $1.2BMar 28, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $1.2B to $1.2BMar 28, 2018 to Mar 28, 2019
- RAUM · $1.2B to $1.2BMar 28, 2018 to Mar 28, 2019
- Accounts · 2 to 6Mar 29, 2017 to Mar 28, 2018
- Advisory employees · 21 to 25Mar 29, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 6.0Mar 29, 2017 to Mar 28, 2018
- Assets in custody · $1.2B to $1.2BMar 29, 2017 to Mar 28, 2018
- Employees · 28 to 33Mar 29, 2017 to Mar 28, 2018
- Other offices · unset to 6.0Mar 29, 2017 to Mar 28, 2018
- Discretionary RAUM · $1.2B to $1.2BMar 29, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 1219039325.0Mar 29, 2017 to Mar 28, 2018
- RAUM · $1.2B to $1.2BMar 29, 2017 to Mar 28, 2018
- Advisory employees · 20 to 21Mar 30, 2016 to Mar 29, 2017
- Assets in custody · $1.5B to $1.2BMar 30, 2016 to Mar 29, 2017
- Employees · 24 to 28Mar 30, 2016 to Mar 29, 2017
- Discretionary RAUM · $1.5B to $1.2BMar 30, 2016 to Mar 29, 2017
- RAUM · $1.5B to $1.2BMar 30, 2016 to Mar 29, 2017
- Advisory employees · 23 to 20Mar 30, 2015 to Mar 30, 2016
- Assets in custody · $2.5B to $1.5BMar 30, 2015 to Mar 30, 2016
- Employees · 28 to 24Mar 30, 2015 to Mar 30, 2016
- Discretionary RAUM · $2.5B to $1.5BMar 30, 2015 to Mar 30, 2016
- RAUM · $2.5B to $1.5BMar 30, 2015 to Mar 30, 2016
- Advisory employees · 19 to 23Mar 28, 2014 to Mar 30, 2015
- Assets in custody · $2.5B to $2.5BMar 28, 2014 to Mar 30, 2015
- Employees · 25 to 28Mar 28, 2014 to Mar 30, 2015
- Discretionary RAUM · $2.5B to $2.5BMar 28, 2014 to Mar 30, 2015
- RAUM · $2.5B to $2.5BMar 28, 2014 to Mar 30, 2015
- Related bank · false to trueMar 28, 2014 to Mar 30, 2015
- Assets in custody · $2.3B to $2.5BApr 1, 2013 to Mar 28, 2014
- Discretionary RAUM · $2.3B to $2.5BApr 1, 2013 to Mar 28, 2014
- RAUM · $2.3B to $2.5BApr 1, 2013 to Mar 28, 2014
- BD registered reps · unset to 0.0Mar 29, 2012 to Apr 1, 2013
- Assets in custody · $2.5B to $2.3BMar 29, 2012 to Apr 1, 2013
- Employees · unset to 25.0Mar 29, 2012 to Apr 1, 2013
- State-registered IARs · unset to 0.0Mar 29, 2012 to Apr 1, 2013
- Discretionary RAUM · $2.5B to $2.3BMar 29, 2012 to Apr 1, 2013
- RAUM · $2.5B to $2.3BMar 29, 2012 to Apr 1, 2013
- Advisory employees · unset to 19.0Mar 29, 2012 to Apr 1, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- S••••••• C•••• M••••••••• · Private Equityshared crd · organization
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