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

R•• C•••••• A•••••••• L••

Former SEC-registered adviserColumbus, OhioCRD 161159SEC 801-74227IAPD
Latest filing Feb 15, 2012
First filing on the tape Feb 15, 2012 · 1 filings
RAUM
$1.3B
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
28
$1.3B gross assets
History
1 filings and snapshots on the tape
RAUM: $1.3B
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: 28
Practice profile
derived from the filing of Feb 15, 2012; 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
$44.7MderivedRAUM 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
unknownderivedbetween 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
$71.0M, 28 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 custody of client cash or bank accounts (9.A.1.a)
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
28reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$71.0M for 28 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
      27 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R•• C•••••• T•• C••••• F••• X•••• L••Real Estate Fund$130M4Feb 15, 2012
      N••••••••• A••••••••• H•••••• F••• 3•• A• R•• C•••••• T•• C••••• F•••• L••Real Estate Fund$114M1Feb 15, 2012
      R•• C•••••• T•• C••••• F••• X••••• L••Real Estate Fund$98.1M2Feb 15, 2012
      R•• C•••••• T•• C••••• F••• X•••• L••Real Estate Fund$98.0M4Feb 15, 2012
      R•• C•••••• T•• C••••• F••• X•••••• L••Real Estate Fund$89.5M4Feb 15, 2012
      N••••••••• A••••••••• H•••••• F••• 3•• A• R•• C•••••• T•• C••••• F•••• L••Real Estate Fund$78.6M1Feb 15, 2012
      R•• C•••••• T•• C••••• F••• X••• L••Real Estate Fund$69.3M6Feb 15, 2012
      N••••••••• A••••••••• H•••••• F••• X••••• A• R•• C•••••• T•• C••••• F•••• L••Real Estate Fund$63.0M1Feb 15, 2012
      N••••••••• A••••••••• H•••••• F••• 3•• A• R•• C•••••• T•• C••••• F•••• L••Real Estate Fund$57.1M1Feb 15, 2012
      N••••••••• A••••••••• H•••••• F••• X••• A• P•••••••• T•• C••••• F•••• L••Real Estate Fund$55.4M2Feb 15, 2012
      P•••••••• T•• C••••• F••• V• L••Real Estate Fund$55.1M4Feb 15, 2012
      P•••••••• T•• C••••• F••• X• L••Real Estate Fund$46.6M7Feb 15, 2012
      P•••••••• T•• C••••• F••• I•• L••Real Estate Fund$39.7M5Feb 15, 2012
      N••••••••• A••••••••• H•••••• F••• X••• A• R•• C•••••• T•• C••••• F•••• L••Real Estate Fund$36.4M2Feb 15, 2012
      N••••••••• A••••••••• H•••••• F••• I•• A• P•••••••• T•• C••••• F•••• L••Real Estate Fund$33.4M1Feb 15, 2012
      P•••••••• T•• C••••• F••• I•• L• P•Real Estate Fund$28.6M5Feb 15, 2012
      T•• T•••• H•••••• T•• C••••• F•••• L••Real Estate Fund$24.7M4Feb 15, 2012
      R•• C•••••• T•• C••••• F••• X••Real Estate Fund$24.2M1Feb 15, 2012
      P•••••••• T•• C••••• F••• I••• L•••Real Estate Fund$23.6M8Feb 15, 2012
      P•••••••• T•• C••••• F••• I• L•••Real Estate Fund$16.8M5Feb 15, 2012
      R•• C•••••• T•• C••••• F••• 2•••••• L••Real Estate Fund$14.3M1Feb 15, 2012
      N••••••••• A••••••••• H•••••• F••• 4•• A• R•• C•••••• T•• C••••• F•••• L••Real Estate Fund$11.7M1Feb 15, 2012
      R•• C•••••• T•• C••••• F••• X•••• L••Real Estate Fund$10.1M1Feb 15, 2012
      N••••••••• A••••••••• H•••••• F••• X•• A• P•••••••• T•• C••••• F•••• L••Real Estate Fund$6.8M3Feb 15, 2012
      N••••••••• A••••••••• H•••••• F••• X•••• A• R•• C•••••• T•• C••••• F•••• L••Real Estate Fund$6.4M1Feb 15, 2012
      R•• C•••••• T•• C••••• F••• 2•••••••• L••Real Estate Fund$2.1M1Feb 15, 2012
      R•• C•••••• T•• C••••• F••• 2•••••••• L••Real Estate Fund$1.9M1Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H••••• W••••••• T••••• · Presidentcontrol
        since 07/2011 · owns less than 5%
      • D••••• L••• J••••• · Senior Managing Director
        since 01/2011 · owns less than 5%
      • H•••••• J••••• J••••• · Secretary
        since 04/2011 · owns less than 5%
      • K•••••••• R•••••• T••••• · Managing Director And Cfo
        since 01/2012 · owns less than 5%
      • L••••• W•••••• · Senior Managing Director
        since 07/2011 · owns less than 5%
      • M•••••••• K••••• J••••• · Chief Compliance Officer
        since 10/2000 · owns less than 5%
      • S••••••• S•••••• D•••• · Senior Managing Director
        since 01/2011 · owns less than 5%
      Entity owners
      • R•• C•••••• G••••• L•• · Managing Member
        direct · owns 75% or more
      • O••• C•••••• M••••••• L•• · Sole Member
        indirect · owns 75% or more of O••• R•• L••
      • O••• C••••••••• · Shareholder
        indirect · owns 75% or more of O••• U•• C••••••••• · public reporting company
      • O••• R•• L•• · Majority Member
        indirect · owns 75% or more of R•• H••••••• L••
      • O••• U•• C••••••••• · Sole Member
        indirect · owns 75% or more of O••• C•••••• M••••••• L••
      • R•• H••••••• L•• · Sole Member
        indirect · owns 75% or more of R•• C•••••• G••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      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

      R•• C•••••• A•••••••• 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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