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

I•••••• G••••• R••• E••••• A••• P••••••• I•••

Former SEC-registered adviserAtlanta, GeorgiaCRD 161544SEC 801-74650IAPD
Latest filing Jul 11, 2022
First filing on the tape Mar 15, 2012 · 37 filings
RAUM
$3.1B
reported, Item 5.F
Discretionary
88%
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
30
16 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$3.1B as of Mar 30, 2022
Mar 28, 2013$6.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 28, 20130 then
Employees (5.A)30 as of Mar 30, 2022
Mar 28, 201374 then
Private funds2 as of Mar 26, 2020
Mar 28, 20133 then
RAUM -5.9% over the last fiscal year+4.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 11, 2022; 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
$285MderivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
6.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-5.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$39.4M, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.6B84%
  • Corporations and businesses$282M9.0%
  • Insurance companies$203M6.5%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$39.4M for 4 clientsreported
Compensation
fixed, 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I•••••• J•••• R••• E••••• V• I•• Y•••• K•••••no longer reportedReal Estate Fund$37.8M20Mar 15, 2012
      I•••••• A•••• R••• E••••• P••••••• I• ••••• L•••no longer reportedReal Estate Fund$022Mar 15, 2012
      I•••••• A•••• R••• E••••• P••••••• I•• L•••no longer reportedReal Estate Fund$012Mar 28, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• R••••••• S•••• · Presidentcontrol
        since 04/2013 · owns less than 5%
      • N•••••• R••••••• · Directorcontrol
        since 02/2011 · owns less than 5%
      • O••• S•• A•• · Directorcontrol
        since 05/2021 · owns less than 5%
      • P••••••• J••• R••••••• L•• · Treasurercontrol
        since 01/2011 · owns less than 5%
      • S••••••••• I••• L••••• · Directorcontrol
        since 07/2016 · owns less than 5%
      • T••••• Y••••••• · Directorcontrol
        since 10/2013 · owns less than 5%
      • T•••••••• M•••••••• · Chief Compliance Officercontrol
        since 03/2018 · owns less than 5%
      Entity owners
      • I•••••• G•••• S•••••••• I•• · Shareholder
        direct · owns 75% or more
      • I•••••• H•••••• C•••••• •••• I•• · Shareholder
        indirect · owns 75% or more of O••••••••• A••••••••• C•••• •••••
      • I•••••• H•••••• C•••••• L•••••• · Shareholder
        indirect · owns 75% or more of I•••••• H•••••• C•••••• •••• I••
      • I•••••• L••• · Shareholder
        indirect · owns 75% or more of I•••••• H•••••• C•••••• L•••••• · public reporting company
      • O••••••••• A••••••••• C•••• ••••• · Sole Shareholder
        indirect · owns 75% or more of O••••••••• I•••••••
      • O••••••••• I••••••• · Sole Shareholder
        indirect · owns 75% or more of I•••••• G•••• S•••••••• I••
      Related persons
      Schedule D 7.A
      Advisers that list I•••••• G••••• R••• E••••• A••• P••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Tokyo, Japan15 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 13 to 16
        Jun 29, 2021 to Mar 30, 2022
      • Assets in custody · unset to 39354965.0
        Jun 29, 2021 to Mar 30, 2022
      • Custody of client assets · false to true
        Jun 29, 2021 to Mar 30, 2022
      • Employees · 27 to 30
        Jun 29, 2021 to Mar 30, 2022
      • Discretionary RAUM · $3.0B to $2.8B
        Jun 29, 2021 to Mar 30, 2022
      • Non-discretionary RAUM · $280M to $370M
        Jun 29, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $2.9B to $2.6B
        Jun 29, 2021 to Mar 30, 2022
      • RAUM · $3.3B to $3.1B
        Jun 29, 2021 to Mar 30, 2022
      • Accounts · 13 to 11
        Dec 15, 2020 to Mar 30, 2021
      • Advisory employees · 15 to 13
        Dec 15, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 3 to 1
        Dec 15, 2020 to Mar 30, 2021
      • Assets in custody · 15330.0 to unset
        Dec 15, 2020 to Mar 30, 2021
      • Custody of client assets · true to false
        Dec 15, 2020 to Mar 30, 2021
      • Employees · 28 to 27
        Dec 15, 2020 to Mar 30, 2021
      • Private funds · 2 to unset
        Dec 15, 2020 to Mar 30, 2021
      • Discretionary RAUM · $2.9B to $3.0B
        Dec 15, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $254M to $280M
        Dec 15, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $2.7B to $2.9B
        Dec 15, 2020 to Mar 30, 2021
      • RAUM · $3.1B to $3.3B
        Dec 15, 2020 to Mar 30, 2021
      • Accounts · 8 to 13
        Jan 16, 2020 to Mar 26, 2020
      • Advisory employees · 14 to 15
        Jan 16, 2020 to Mar 26, 2020
      • Corporate clients · 4 to 9
        Jan 16, 2020 to Mar 26, 2020
      • Assets in custody · $4.0M to $15,330
        Jan 16, 2020 to Mar 26, 2020
      • Employees · 31 to 28
        Jan 16, 2020 to Mar 26, 2020
      • Discretionary RAUM · $2.5B to $2.9B
        Jan 16, 2020 to Mar 26, 2020
      • Non-discretionary RAUM · $241M to $254M
        Jan 16, 2020 to Mar 26, 2020
      • Pooled vehicle RAUM · $2.5B to $2.7B
        Jan 16, 2020 to Mar 26, 2020
      • RAUM · $2.7B to $3.1B
        Jan 16, 2020 to Mar 26, 2020
      • Accounts · 5 to 8
        Jul 18, 2018 to Mar 28, 2019
      • Advisory employees · 18 to 14
        Jul 18, 2018 to Mar 28, 2019
      • Corporate clients · 1 to 4
        Jul 18, 2018 to Mar 28, 2019
      • Assets in custody · $7.1M to $4.0M
        Jul 18, 2018 to Mar 28, 2019
      • Employees · 30 to 31
        Jul 18, 2018 to Mar 28, 2019
      • Discretionary RAUM · $1.7B to $2.5B
        Jul 18, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · $230M to $241M
        Jul 18, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $1.7B to $2.5B
        Jul 18, 2018 to Mar 28, 2019
      • RAUM · $2.0B to $2.7B
        Jul 18, 2018 to Mar 28, 2019
      • Accounts · 11 to 5
        Jun 29, 2017 to Mar 29, 2018
      • Advisory employees · 29 to 18
        Jun 29, 2017 to Mar 29, 2018
      • Corporate clients · unset to 1.0
        Jun 29, 2017 to Mar 29, 2018
      Signals
      8 dated events
      • J Calvin Chou (Director) no longer on Schedule A of I•••••• G••••• R••• E••••• A••• P••••••• I••• (listed 2021-03-30, absent 2021-06-11)
        Jun 11, 2021 · Control person left · inference
      • Sze Ann Ong (Director) appeared on Schedule A of I•••••• G••••• R••• E••••• A••• P••••••• I•••
        Jun 11, 2021 · Control person joined · fact
      • J Calvin Chou (Director) appeared on Schedule A of I•••••• G••••• R••• E••••• A••• P••••••• I•••
        Dec 15, 2020 · Control person joined · fact
      • Cheng Soon Lau (Director) no longer on Schedule A of I•••••• G••••• R••• E••••• A••• P••••••• I••• (listed 2020-03-26, absent 2020-12-15)
        Dec 15, 2020 · Control person left · inference
      • I•••••• G••••• R••• E••••• A••• P••••••• I••• reported RAUM $2.7B, up 38% from $2.0B (2018-07-18 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      • Josephine Shuk Fan Lee (Secretary) no longer on Schedule A of I•••••• G••••• R••• E••••• A••• P••••••• I••• (listed 2018-07-18, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      • Mikito Wakabayashi (Chief Legal Officer) no longer on Schedule A of I•••••• G••••• R••• E••••• A••• P••••••• I••• (listed 2018-07-18, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      • I•••••• G••••• R••• E••••• A••• P••••••• I••• reported RAUM $2.0B, down 43% from $3.5B (2017-06-29 to 2018-03-29)
        Mar 29, 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.
      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

      I•••••• G••••• R••• E••••• A••• P••••••• I••• 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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