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••••• C•••••• M••••••••• L••
Latest filing Sep 9, 2016
First filing on the tape Mar 6, 2012 · 9 filings
RAUM
$398M
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
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
7
$398M gross assets
History
9 filings and snapshots on the tape
RAUM$413M as of Mar 4, 2016
Dec 6, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 4, 2016
Dec 6, 20120 then
Employees (5.A)6 as of Mar 4, 2016
Dec 6, 20126 then
Private funds7 as of Mar 4, 2016
Dec 6, 20129 then
RAUM -55% over the last fiscal year-32% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 9, 2016; 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
- $56.9MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -53%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 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
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
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
- 7reported
- Financial planning clients
- n/areported
- 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••• 2•••••• L•••no longer reported | Securitized Asset Fund | $283M | 6 | Mar 6, 2012 |
| I••••• S•••••••• A•• C•• 2•••••• L•••no longer reported | Securitized Asset Fund | $129M | 6 | Mar 6, 2012 |
| I••••• C•• I•• L••• | Securitized Asset Fund | $95.5M | 10 | Mar 6, 2012 |
| I••••• M•••••••• C•• I••• L••• | Securitized Asset Fund | $64.4M | 12 | Mar 6, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••• J••••• A••••• · Managing Board Membercontrolsince 09/2016 · owns less than 5%
- B••••• L•••••••• S••••• · Senior Vice Presidentcontrolsince 09/2016 · owns less than 5%
- B••••••••• J••••••• D••• · President And Managing Board Membercontrolsince 01/2011 · owns less than 5%
- C••••• J••••••• P•••••• · Chief Executive Officer And Managing Board Membercontrolsince 09/2016 · owns less than 5%
- E••••••• T•••••• C•••••• · Senior Vice Presidentcontrolsince 01/2011 · owns less than 5%
- H••••••• B••••• S•••••• · Senior Vice President & Chief Financial Officercontrolsince 01/2011 · owns less than 5%
- P••••• D••••••• V••••• · Chief Compliance Officer & Secretarycontrolsince 05/2004 · owns less than 5%
- S•••••••• D••••• G•••• · Vice President - Legal & Compliancecontrolsince 01/2015 · owns less than 5%
- T•••• J••••••• S••••• · Vice Presidentcontrolsince 03/2015 · owns less than 5%
- W•••• N••••••• · Vice Presidentcontrolsince 01/2012 · owns less than 5%
- C••••• J••••••• P•••••• · Member Of Board Of M••••••Scontrolsince 02/2010 · owns F of C•••• C•••••• P••••••• L••
- F•••••• A•••••• L••••••• · Membercontrolsince 07/2013 · owns 75% or more of I••••• C•••••• G•••• L••
- F•••••• A•••••• L••••••• · Member Of Board Of M••••••Scontrolsince 02/2010 · owns F of C•••• C•••••• P••••••• L••
- G•••••••• F••••• M•••••• · Member Of Board Of M••••••Scontrolsince 02/2010 · owns F of C•••• C•••••• P••••••• L••
- J••••••••• M••••••• G•••••• · Member Of Board Of M••••••Scontrolsince 05/2012 · owns F of C•••• C•••••• P••••••• L••
- R••••••• S••• B• · Member Of Board Of M••••••Scontrolsince 02/2010 · owns F of C•••• C•••••• P••••••• L••
Entity owners
- R••• · Sole Memberdirect · owns 75% or more
- A••••• A••••••• L•• · Memberindirect · owns 75% or more of I••••• C•••• M•••••• L••
- C•••• C•••••• P••••••• L•• · Sole Shareholderindirect · owns 75% or more of R••••••• A••••••• I•••
- I••••• C•••• D••••••••• I• L•• · Managing Memberindirect · owns F of I••••• C•••• H••••••• I• L••
- I••••• C•••• D••••••••• L•• · Managing Memberindirect · owns F of I••••• C•••• H••••••• L••
- I••••• C•••• H••••••• I• L•• · Memberindirect · owns 25% to 50% of C•••• C•••••• P••••••• L••
- I••••• C•••• H••••••• L•• · Memberindirect · owns 25% to 50% of C•••• C•••••• P••••••• L••
- I••••• C•••• M•••••• L•• · M••••••indirect · owns F of C•••• C•••••• P••••••• L••
- I••••• C•••••• G•••• L•• · Memberindirect · owns 75% or more of I••••• C••••I D••••••••• II LLC
- I••••• C•••••• G•••• L•• · Memberindirect · owns 75% or more of I••••• C••••I D••••••••• LLC
- I••••• C•••••• G•••• L•• · Memberindirect · owns 75% or more of A••••• A••••••• L••
- R••••••• A••••••• I••• · Sole Shareholderindirect · owns 75% or more of R••••••• F•••••••• F••• M••••••••• I•••
Related persons
Schedule D 7.A
- A••••• S••••••••• L••broker-dealern
- C•••• C•••••• P••••••• L••pooled vehicle sponsory
- C•••• H• D••••••••• I• L••investment adviserpooled vehicle sponsorn
- C•••• H• D••••••••• I•• L••investment adviserbankpooled vehicle sponsorn
- C•••• H• D••••••••• I• L••investment adviserbankpooled vehicle sponsorn
- C•••• I••••••••• M••••••••• L••investment adviserbanknRAUM $2.5B
- C•••• J•••• M•••••• L••investment advisern
- C•••• R••••• S••••••• L••investment companyn
- C•••• R• D••••••••• I• L••investment adviserpooled vehicle sponsorn
- C•••• R•• D••••••••• L••investment adviserpooled vehicle sponsorn
- C•••• S• M••••••••• L••investment advisern
- C•• C•• M•••••• L••investment advisern
- I•• R••••• L••investment companyn
- I••••••• O••••••••• D••••••••• L••investment adviserpooled vehicle sponsorn
- I••••• C•••••• G•••• L••investment adviserpooled vehicle sponsory
- I••••• D••••••••• I•• L••investment adviserpooled vehicle sponsorn
- I••••• F••• I• L••investment advisern
- J•• I•••••••• T•••• I•••investment advisern
- N•• A•••••• N•••••• I•••investment companyn
- R••••••• E••••• M••••••••• L••••••broker-dealerinvestment advisern
- R•••investment adviseryRAUM $74.0M
- R••••••• F•••••••• I••••••••• G••••• I•••investment adviserpooled vehicle sponsorn
- R••••••• R••• E••••• LLCinvestment adviserpooled vehicle sponsornRAUM $366M
- R••••••• S••••••••• I•••broker-dealern
- R••• N•• C••••••••• G• L••investment adviserpooled vehicle sponsorn
- T•••••• C•••••• M••••••••• L••investment advisern
- T•••••• M••••••••• G••••• L••investment advisern
- U•• R••••••••• G•••• L••investment companyn
Advisers that list I••••• C•••••• M••••••••• L•• as a related person
- 226742 n
Offices
Schedule D 1.F, the 25 largest
- New York, NY
What changed
consecutive filings, newest first
- Discretionary RAUM · $413M to $398MMar 4, 2016 to Sep 9, 2016
- RAUM · $413M to $398MMar 4, 2016 to Sep 9, 2016
- Related bank · false to trueMar 4, 2016 to Sep 9, 2016
- Accounts · 8 to 7Mar 26, 2015 to Mar 4, 2016
- HQ city · NEW YORK to PHILADELPHIAMar 26, 2015 to Mar 4, 2016
- HQ state · NY to PAMar 26, 2015 to Mar 4, 2016
- Private funds · 9 to 7Mar 26, 2015 to Mar 4, 2016
- Discretionary RAUM · $876M to $413MMar 26, 2015 to Mar 4, 2016
- RAUM · $876M to $413MMar 26, 2015 to Mar 4, 2016
- Accounts · 9 to 8Sep 17, 2014 to Mar 26, 2015
- BD registered reps · 2 to 3Sep 17, 2014 to Mar 26, 2015
- Discretionary RAUM · $1.0B to $876MSep 17, 2014 to Mar 26, 2015
- RAUM · $1.0B to $876MSep 17, 2014 to Mar 26, 2015
- Discretionary RAUM · $1.3B to $1.0BDec 6, 2012 to Nov 20, 2013
- RAUM · $1.3B to $1.0BDec 6, 2012 to Nov 20, 2013
- Accounts · 8 to 9Mar 6, 2012 to Dec 6, 2012
- Advisory employees · unset to 2.0Mar 6, 2012 to Dec 6, 2012
- BD registered reps · unset to 2.0Mar 6, 2012 to Dec 6, 2012
- Employees · unset to 6.0Mar 6, 2012 to Dec 6, 2012
- State-registered IARs · unset to 0.0Mar 6, 2012 to Dec 6, 2012
- Private funds · 8 to 9Mar 6, 2012 to Dec 6, 2012
- Discretionary RAUM · $1.5B to $1.3BMar 6, 2012 to Dec 6, 2012
- RAUM · $1.5B to $1.3BMar 6, 2012 to Dec 6, 2012
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