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•••• A•••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Feb 14, 2012 · 20 filings
SEC status approved since Mar 30, 2012
RAUM
$850M
reported, Item 5.F
Discretionary
99%
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
26
23 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$850M as of Mar 20, 2026
Mar 28, 2013$4.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 28, 20130 then
Employees (5.A)26 as of Mar 20, 2026
Mar 28, 201322 then
Private funds: 1
RAUM +16% over the last fiscal year+27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 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
- $213MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 18%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
- +16%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $177M, 4 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)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$699M82%
- Pension and profit-sharing plans$151M18%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $177M for 4 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.82 institutional_share=0.18 related_bd=false related_bank=true 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| U•• ••• T••••••• P••••••• I••••• F••• L•no longer reported | Other Private Fund | $1.7B | 69 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• S••••••• D••••• · Vice Presidentcontrolsince 02/2019 · owns less than 5%
- M••••••••• J•••••• · Treasurercontrolsince 06/2011 · owns less than 5%
- P•••••• T•••••• L••• · Presidentcontrolsince 04/2024 · owns less than 5%
- E•••••• D••••• J••• · Chief Compliance Officersince 04/2024 · owns less than 5%
Entity owners
- A•••• F•••••••• H•••••••• L•• · Sole Memberdirect · owns 75% or more
- A•••• I••• · Ownerindirect · owns 75% or more of A•••• F•••••••• H•••••••• L••
- C•• H••••• C••••••••• · Ownerindirect · owns 75% or more of A•••• I••• · public reporting company
- C•• P••••••• I••• · Ownerindirect · owns 75% or more of A•••• I•••
Related persons
Schedule D 7.A
- A•••• C•••••• M••••••••• L••investment adviserbanknRAUM $938M
- A•••• H••••• A•• L••• I•••••••• C••••••real estaten
- A•••• L••• I•••••••• C••••••real estaten
- A•••• R••• A•••••••• C•••••• O• C••••••••• I•••real estaten
Advisers that list A•••• A•••• A•••••••• L•• as a related person
- 132957 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 24 to 23Mar 6, 2025 to Mar 20, 2026
- Assets in custody · $372M to $177MMar 6, 2025 to Mar 20, 2026
- Employees · 27 to 26Mar 6, 2025 to Mar 20, 2026
- Discretionary RAUM · $730M to $843MMar 6, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $3.9M to $7.0MMar 6, 2025 to Mar 20, 2026
- Pension RAUM · $145M to $151MMar 6, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $589M to $699MMar 6, 2025 to Mar 20, 2026
- RAUM · $734M to $850MMar 6, 2025 to Mar 20, 2026
- Advisory employees · 26 to 24May 8, 2024 to Mar 6, 2025
- Assets in custody · $9.0M to $372MMay 8, 2024 to Mar 6, 2025
- Employees · 29 to 27May 8, 2024 to Mar 6, 2025
- Financial planning clients · unset to May 8, 2024 to Mar 6, 2025
- Discretionary RAUM · $308M to $730MMay 8, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $5.2M to $3.9MMay 8, 2024 to Mar 6, 2025
- Pension RAUM · $142M to $145MMay 8, 2024 to Mar 6, 2025
- Pooled vehicle RAUM · $171M to $589MMay 8, 2024 to Mar 6, 2025
- RAUM · $313M to $734MMay 8, 2024 to Mar 6, 2025
- Assets in custody · $174M to $9.0MMar 23, 2023 to Mar 15, 2024
- Employees · 28 to 29Mar 23, 2023 to Mar 15, 2024
- Discretionary RAUM · $411M to $308MMar 23, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $4.2M to $5.2MMar 23, 2023 to Mar 15, 2024
- Pension RAUM · $141M to $142MMar 23, 2023 to Mar 15, 2024
- Pooled vehicle RAUM · $274M to $171MMar 23, 2023 to Mar 15, 2024
- RAUM · $415M to $313MMar 23, 2023 to Mar 15, 2024
- Advisory employees · 25 to 26Mar 22, 2022 to Mar 23, 2023
- Assets in custody · $335M to $174MMar 22, 2022 to Mar 23, 2023
- Employees · 27 to 28Mar 22, 2022 to Mar 23, 2023
- Discretionary RAUM · $1.0B to $411MMar 22, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $6.7M to $4.2MMar 22, 2022 to Mar 23, 2023
- Pension RAUM · $137M to $141MMar 22, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $887M to $274MMar 22, 2022 to Mar 23, 2023
- RAUM · $1.0B to $415MMar 22, 2022 to Mar 23, 2023
- Advisory employees · 23 to 25Mar 23, 2021 to Mar 22, 2022
- Assets in custody · $287M to $335MMar 23, 2021 to Mar 22, 2022
- Employees · 25 to 27Mar 23, 2021 to Mar 22, 2022
- Discretionary RAUM · $699M to $1.0BMar 23, 2021 to Mar 22, 2022
- Non-discretionary RAUM · $21.2M to $6.7MMar 23, 2021 to Mar 22, 2022
- Pension RAUM · $141M to $137MMar 23, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $579M to $887MMar 23, 2021 to Mar 22, 2022
- RAUM · $720M to $1.0BMar 23, 2021 to Mar 22, 2022
Signals
14 dated events
- A•••• A•••• A•••••••• L•• reported RAUM $733.6M, up 134% from $313.2M (2024-05-08 to 2025-03-06)Mar 6, 2025 · RAUM change · derived
- Lane T••••• Potter (President) appeared on Schedule A of A•••• A•••• A•••••••• L••May 8, 2024 · Control person joined · fact
- Joseph Howard Nixon (Chief Compliance Officer) no longer on Schedule A of A•••• A•••• A•••••••• L•• (listed 2024-03-15, absent 2024-05-08)May 8, 2024 · Control person left · inference
- G•••••• T••••• H••• (President) no longer on Schedule A of A•••• A•••• A•••••••• L•• (listed 2024-03-15, absent 2024-05-08)May 8, 2024 · Control person left · inference
- A•••• A•••• A•••••••• L•• reported RAUM $415.3M, down 59% from $1.0B (2022-03-22 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
- A•••• A•••• A•••••••• L•• reported RAUM $1.0B, up 42% from $720.3M (2021-03-23 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- A•••• A•••• A•••••••• L•• reported RAUM $720.3M, down 26% from $978.0M (2020-03-25 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
- A•••• A•••• A•••••••• L•• reported RAUM $978.0M, down 41% from $1.7B (2019-03-27 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
- G•••••• T••••• H••• (President) appeared on Schedule A of A•••• A•••• A•••••••• L••Mar 25, 2020 · Control person joined · fact
- Robert Peter Oades (President) no longer on Schedule A of A•••• A•••• A•••••••• L•• (listed 2019-03-27, absent 2020-03-25)Mar 25, 2020 · Control person left · inference
- A•••• A•••• A•••••••• L•• reported RAUM $1.7B, up 50% from $1.1B (2018-12-20 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- Joy Fern Barrasso (Vice President) no longer on Schedule A of A•••• A•••• A•••••••• L•• (listed 2018-12-20, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- Dennis Stephen Mccarthy (Vice President) appeared on Schedule A of A•••• A•••• A•••••••• L••Mar 27, 2019 · Control person joined · fact
- A•••• A•••• A•••••••• L•• reported RAUM $1.1B, down 94% from $18.4B (2017-03-28 to 2018-03-28)Mar 28, 2018 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 860-273-4631reportedpublic record, Form ADV, Mar 20, 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•••• 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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