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
C••••• C••••••• L••
Latest filing Mar 31, 2015
First filing on the tape Feb 14, 2012 · 8 filings
RAUM
$9.4B
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
225
60 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
43
$9.4B gross assets
History
8 filings and snapshots on the tape
RAUM$9.4B as of Mar 31, 2015
Apr 1, 2013$5.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Apr 1, 20130 then
Employees (5.A)225 as of Mar 31, 2015
Apr 1, 2013138 then
Private funds43 as of Mar 31, 2015
Apr 1, 201336 then
RAUM +38% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2015; 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
- $218MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +38%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- 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
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
- 43reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• I••••••••• S•• | Real Estate Fund | $383M | 2 | Mar 31, 2015 |
| D••• C••••• I• S••••• | Real Estate Fund | $174M | 2 | Mar 31, 2015 |
| C•••••• I••••••••• I• S•• | Real Estate Fund | $85.4M | 1 | Mar 31, 2015 |
| C••••• H• C••••••••• P•••••••• L••• | Real Estate Fund | $51.8M | 14 | Feb 14, 2012 |
| C••••• H• C••••••••• P••••••• I•• L••• | Real Estate Fund | $46.0M | 2 | Feb 14, 2012 |
| D••• G••••• M••••• V•••••• S••••• | Real Estate Fund | $23.8M | 2 | Mar 31, 2015 |
| C••••• H• C••••••••• P••••••• I••• L• | Real Estate Fund | $20.1M | 2 | Feb 14, 2012 |
| D••• S••••••• I• S••••• | Real Estate Fund | $9.8M | 2 | Mar 31, 2015 |
| Y•••••• S•••••• S••••••••• F••• L•••no longer reported | Real Estate Fund | $9.3M | 6 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• T•••••• J••••• · Chief Executive Officercontrolsince 08/1992 · owns 75% or more
- G••••••••• J•••••••• H••••• · Senior Vice Presidentcontrolsince 04/1999 · owns less than 5%
- H•••••••• M•••• M••••• · Chief Financial Officer, Senior Vice President, Treasurer & Secretarycontrolsince 04/1995 · owns less than 5%
- S•••••••• R••••••• B•••• · Presidentcontrolsince 05/2003 · owns less than 5%
- B••••••• T•••••• J••••• · Presidentcontrolsince 03/1985 · owns 75% or more of T•••• P••••••••• I•••
- S••••••• R•••••• M••• · G•••••• Counselsince 11/2004 · owns less than 5%
- S••••••••• L••• · Chief Compliance Officersince 03/2012 · owns less than 5%
Entity owners
- T•••• P••••••••• I••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- C••• K••••• L••investment advisery
- C•• S••• H••••••• A• L••pooled vehicle sponsorn
- C•• S••• H••••••• B• L••pooled vehicle sponsorn
- C•• S••• H••••••• C• L••pooled vehicle sponsorn
- C•• I••••• I•••• S•••••pooled vehicle sponsorn
- C•••••• S•••••••• P•••••••• L••pooled vehicle sponsorn
- C••••• C••••• G•••••• P••••••• L••pooled vehicle sponsorn
- C•••••• S•••••••• P•••••••• L••pooled vehicle sponsorn
- C••••• 2••• A•• C••••••••• G•••••• L••pooled vehicle sponsorn
- C••••• A•••••••• L••investment advisern
- C••••• A••• C••••••• L••pooled vehicle sponsory
- C••••• A••• C••••••••• G•••••• L••pooled vehicle sponsorn
- C••••• B•••• C••••••••• G•••••• L••pooled vehicle sponsorn
- C••••• C•••••• ••••••••• N•••• V•••• L••pooled vehicle sponsorn
- C••••• C•••••• ••••••••• V•••• L••pooled vehicle sponsorn
- C••••• C•••••• ••• V•••• L••pooled vehicle sponsorn
- C••••• C•••••• A••• L••••••investment advisery
- C••••• C•••••• C••••• I•• L•••pooled vehicle sponsorn
- C••••• C•••••• C••••• I••• L•••pooled vehicle sponsorn
- C••••• C•••••• C•••••• L•••pooled vehicle sponsorn
- C••••• C•••••• I••• L•••pooled vehicle sponsorn
- C••••• C•••••• I•• L•••pooled vehicle sponsorn
- C••••• C•••••• M•••• L••pooled vehicle sponsorn
- C••••• C•••••• S•••••••investment advisery
- C••••• C•••••• V• L•••pooled vehicle sponsorn
- C••••• C•••••• V•• L•••pooled vehicle sponsorn
- C••••• C•••••• V••• L•••pooled vehicle sponsorn
- C••••• C••••••• L•••pooled vehicle sponsorn
- C••••• F•••••••• M••••••• L••investment advisery
- C••••• I••••• S•••••investment advisery
Advisers that list C••••• C••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Boston, MA
- Irvine, CA
- New York, NY
What changed
consecutive filings, newest first
- Accounts · 38 to 43Jun 10, 2014 to Mar 31, 2015
- Advisory employees · 44 to 60Jun 10, 2014 to Mar 31, 2015
- Employees · 164 to 225Jun 10, 2014 to Mar 31, 2015
- Private funds · 38 to 43Jun 10, 2014 to Mar 31, 2015
- Discretionary RAUM · $6.8B to $9.4BJun 10, 2014 to Mar 31, 2015
- RAUM · $6.8B to $9.4BJun 10, 2014 to Mar 31, 2015
- Accounts · 36 to 38Aug 26, 2013 to Apr 1, 2014
- Advisory employees · 41 to 44Aug 26, 2013 to Apr 1, 2014
- Assets in custody · unset to 0.0Aug 26, 2013 to Apr 1, 2014
- Custody of client assets · false to trueAug 26, 2013 to Apr 1, 2014
- Employees · 138 to 164Aug 26, 2013 to Apr 1, 2014
- Private funds · 36 to 38Aug 26, 2013 to Apr 1, 2014
- Discretionary RAUM · $5.5B to $6.8BAug 26, 2013 to Apr 1, 2014
- RAUM · $5.5B to $6.8BAug 26, 2013 to Apr 1, 2014
- Accounts · 31 to 36Mar 29, 2012 to Apr 1, 2013
- Advisory employees · unset to 41.0Mar 29, 2012 to Apr 1, 2013
- BD registered reps · unset to 0.0Mar 29, 2012 to Apr 1, 2013
- Employees · unset to 138.0Mar 29, 2012 to Apr 1, 2013
- State-registered IARs · unset to 0.0Mar 29, 2012 to Apr 1, 2013
- Private funds · 30 to 36Mar 29, 2012 to Apr 1, 2013
- Discretionary RAUM · $9.0B to $5.5BMar 29, 2012 to Apr 1, 2013
- RAUM · $9.0B to $5.5BMar 29, 2012 to Apr 1, 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
C••••• C••••••• 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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