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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
R••••••••• R••••••• P••••••• M••••••• L••
Latest filing May 3, 2024
First filing on the tape Feb 14, 2012 · 35 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$7.4M as of Mar 8, 2023
Mar 28, 2013$166M then
HNW client RAUM$0 as of Mar 18, 2024
Feb 14, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 18, 2024
Mar 28, 20130 then
Employees (5.A)3 as of Mar 18, 2024
Mar 28, 201314 then
Private funds1 as of Mar 18, 2024
Mar 28, 20131 then
RAUM n/a over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of May 3, 2024; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••••• R••••••• P•••••••• L••• | Real Estate Fund | $0 | 14 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••• W••••••• J••••• · Global Head Of Asset Managementcontrolsince 02/2022 · owns less than 5%
- K••••• W•••••• D•••••• · Chief Compliance Officercontrolsince 08/2018 · owns less than 5%
- M•••••• S••••••• M••••• · General Counsel And Secretarycontrolsince 08/2014 · owns less than 5%
- P••••••• K••••••• M•••••• · Chief Financial Officercontrolsince 01/2020 · owns less than 5%
- L••••••• H•••••• W•••••• · Sole Trusteecontrolsince 01/2010 · owns F of H••••• W• L•••••• R•••••••• T••••
- L••••••• H•••••• W•••••• · Sole Trusteecontrolsince 05/2009 · owns 75% or more of H••••• W• L•••••• P••••••• A•••• T••••
Entity owners
- C••••• R••• E•••••• L••• · Parent Companydirect · owns 75% or more
- C••••• F••••••••• L••• · Memberindirect · owns 75% or more of C••••• R••• E•••••• L•••
- C• G•••• M••••••••• I••• · Managing General Partnerindirect · owns F of C••••• F••••••••• L•••
- H••••• W• L•••••• P••••••• A•••• T•••• · Limited Partnerindirect · owns 25% to 50% of C••••• F••••••••• L•••
- H••••• W• L•••••• R•••••••• T•••• · Shareholderindirect · owns 75% or more of C• G•••• M••••••••• I•••
Related persons
Schedule D 7.A
- C••••• F••••••••• • C••broker-dealertrust companyn
- C••••• F••••••••• I••••••••• A•••••••investment advisernRAUM $3.2B
- F••••• P••••••• L••investment advisernRAUM $10.7M
- S•••• G•••• A•••• M••••••••• L••investment advisernRAUM $1.4B
Advisers that list R••••••••• R••••••• P••••••• M••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 1.0 to unsetAug 23, 2023 to Mar 18, 2024
- BD registered reps · 0 to 1Aug 23, 2023 to Mar 18, 2024
- Pooled vehicle clients · 1 to 0Aug 23, 2023 to Mar 18, 2024
- Assets in custody · 7448177.0 to unsetAug 23, 2023 to Mar 18, 2024
- Custody of client assets · true to falseAug 23, 2023 to Mar 18, 2024
- Employees · 2 to 3Aug 23, 2023 to Mar 18, 2024
- Insurance-licensed employees · 0 to 1Aug 23, 2023 to Mar 18, 2024
- State-registered IARs · 0 to 1Aug 23, 2023 to Mar 18, 2024
- Discretionary RAUM · 475000.0 to unsetAug 23, 2023 to Mar 18, 2024
- Non-discretionary RAUM · 0.0 to unsetAug 23, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $475,000 to $0Aug 23, 2023 to Mar 18, 2024
- RAUM · 475000.0 to unsetAug 23, 2023 to Mar 18, 2024
- Discretionary RAUM · $7.4M to $475,000Mar 8, 2023 to Aug 23, 2023
- Pooled vehicle RAUM · $7.4M to $475,000Mar 8, 2023 to Aug 23, 2023
- RAUM · $7.4M to $475,000Mar 8, 2023 to Aug 23, 2023
- Assets in custody · $0 to $7.4MMar 24, 2022 to Mar 8, 2023
- Custody of client assets · false to trueMar 24, 2022 to Mar 8, 2023
- Discretionary RAUM · $16.8M to $7.4MMar 24, 2022 to Mar 8, 2023
- Pooled vehicle RAUM · $16.8M to $7.4MMar 24, 2022 to Mar 8, 2023
- RAUM · $16.8M to $7.4MMar 24, 2022 to Mar 8, 2023
- Financial planning clients · 1-10 to 0Dec 1, 2021 to Mar 24, 2022
- Discretionary RAUM · $38.4M to $16.8MDec 1, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $38.4M to $16.8MDec 1, 2021 to Mar 24, 2022
- RAUM · $38.4M to $16.8MDec 1, 2021 to Mar 24, 2022
- BD registered reps · 4 to 0Mar 13, 2020 to Mar 9, 2021
- Employees · 6 to 2Mar 13, 2020 to Mar 9, 2021
- Discretionary RAUM · $60.4M to $38.4MMar 13, 2020 to Mar 9, 2021
- Pooled vehicle RAUM · $60.4M to $38.4MMar 13, 2020 to Mar 9, 2021
- RAUM · $60.4M to $38.4MMar 13, 2020 to Mar 9, 2021
- Assets in custody · unset to 0.0Jan 23, 2020 to Mar 13, 2020
- Discretionary RAUM · $88.0M to $60.4MJan 23, 2020 to Mar 13, 2020
- Pooled vehicle RAUM · $88.0M to $60.4MJan 23, 2020 to Mar 13, 2020
- RAUM · $88.0M to $60.4MJan 23, 2020 to Mar 13, 2020
- Advisory employees · 4 to 2Aug 24, 2018 to Mar 7, 2019
- BD registered reps · 3 to 4Aug 24, 2018 to Mar 7, 2019
- Employees · 9 to 6Aug 24, 2018 to Mar 7, 2019
- Discretionary RAUM · $106M to $88.0MAug 24, 2018 to Mar 7, 2019
- Pooled vehicle RAUM · $106M to $88.0MAug 24, 2018 to Mar 7, 2019
- RAUM · $106M to $88.0MAug 24, 2018 to Mar 7, 2019
- Charity clients · unset to 0.0Jun 22, 2017 to Feb 14, 2018
Signals
5 dated events
- Gerard Michael Millard (Managing Director) no longer on Schedule A of R••••••••• R••••••• P••••••• M••••••• L•• (listed 2023-08-23, absent 2024-03-18)Mar 18, 2024 · Control person left · inference
- J••••• W•••••• F•••• (Global Head Of Asset Management) appeared on Schedule A of R••••••••• R••••••• P••••••• M••••••• L••Mar 24, 2022 · Control person joined · fact
- Steven Bisgay (Chief Financial Officer) no longer on Schedule A of R••••••••• R••••••• P••••••• M••••••• L•• (listed 2019-11-13, absent 2020-01-23)Jan 23, 2020 · Control person left · inference
- Michael Kenneth Paulson (Chief Financial Officer) appeared on Schedule A of R••••••••• R••••••• P••••••• M••••••• L••Jan 23, 2020 · Control person joined · fact
- R••••••••• R••••••• P•••••••• L••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jun 19, 2015 · Succession (Item 4) · fact
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••••••••• R••••••• P••••••• M••••••• 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.
Checking your plan…