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

R••••••••• G•••• I••••••••• M••••••••• C••••

Former SEC-registered adviserNew York, New YorkCRD 162407SEC 801-74581IAPD
Latest filing Mar 26, 2018
First filing on the tape Mar 12, 2012 · 16 filings
RAUM
$115M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$106M gross assets
History
16 filings and snapshots on the tape
RAUM$115M as of Mar 26, 2018
Mar 18, 2013$177M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2018
Mar 18, 20130 then
Employees (5.A)2 as of Mar 26, 2018
Mar 18, 20139 then
Private funds1 as of Mar 26, 2018
Mar 18, 20131 then
RAUM -6.2% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2018; 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
$115MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-6.2%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-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$115M, 1 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
  • 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)
  • 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
  • Pooled investment vehicles$115M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$115M for 1 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R••••••••• G•••• U••• P•••••• O••••• F••• L•Real Estate Fund$106M45May 4, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• G•••••• W•••••• · Vice President & General Counselcontrol
        since 07/2015 · owns less than 5%
      • C••••• S•••• · Senior Vice President & Chief Financial Officercontrol
        since 04/2011 · owns less than 5%
      • L••• P••••• · Director, President, Chief E•••••••• Officer & Chief Compliance Officercontrol
        since 07/2015 · owns less than 5%
      • M•••••• T••••••• •••• · Directorcontrol
        since 03/2016 · owns less than 5%
      • S••••••••• V••••••• E••••• · Directorcontrol
        since 01/2007 · owns less than 5%
      Entity owners
      • R••••••••• G•••• I••••••••• I••• · Shareholder
        direct · owns 75% or more
      • M••••••••• E••••• C••• L••• · Shareholder
        indirect · owns 75% or more of R••••••••• G••••• I•••
      • R••••••••• G••••• I••• · Shareholder
        indirect · owns 75% or more of R••••••••• G•••• I••••••••• I•••
      Related persons
      Schedule D 7.A
      • E••• R•• E•••••••• L•
        investment adviserpooled vehicle sponsory
      • E••••• C•••••• L•••••• L•••••••• P•••••••••
        investment advisery
      • P•••• B•••••
        investment companyn
      • R••••••••• G•••• I••••••••• I•••
        investment companyy
      • R••••••••• G•••• U••• P•••••• O••••• E•••••••• G• L••
        investment adviserpooled vehicle sponsory
      • R••••••••• G•••• U••• P•••••• O••••• G• L••
        investment adviserpooled vehicle sponsory
      • T• R••••• L••
        investment adviserbankLP sponsornRAUM $1.5B
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Mar 23, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 23, 2017 to Mar 26, 2018
      • Assets in custody · $122M to $115M
        Mar 23, 2017 to Mar 26, 2018
      • Employees · 3 to 2
        Mar 23, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Mar 23, 2017 to Mar 26, 2018
      • Discretionary RAUM · $122M to $115M
        Mar 23, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 114598501.0
        Mar 23, 2017 to Mar 26, 2018
      • RAUM · $122M to $115M
        Mar 23, 2017 to Mar 26, 2018
      • Assets in custody · $109M to $122M
        Nov 23, 2016 to Mar 23, 2017
      • Discretionary RAUM · $109M to $122M
        Nov 23, 2016 to Mar 23, 2017
      • RAUM · $109M to $122M
        Nov 23, 2016 to Mar 23, 2017
      • Assets in custody · $172M to $109M
        Mar 11, 2016 to Nov 23, 2016
      • Discretionary RAUM · $172M to $109M
        Mar 11, 2016 to Nov 23, 2016
      • RAUM · $172M to $109M
        Mar 11, 2016 to Nov 23, 2016
      • Assets in custody · $155M to $172M
        Nov 11, 2015 to Mar 11, 2016
      • Discretionary RAUM · $155M to $172M
        Nov 11, 2015 to Mar 11, 2016
      • RAUM · $155M to $172M
        Nov 11, 2015 to Mar 11, 2016
      • Advisory employees · 8 to 3
        Mar 30, 2015 to Nov 11, 2015
      • BD registered reps · 1 to 0
        Mar 30, 2015 to Nov 11, 2015
      • Assets in custody · $203M to $155M
        Mar 30, 2015 to Nov 11, 2015
      • Employees · 8 to 3
        Mar 30, 2015 to Nov 11, 2015
      • Discretionary RAUM · $203M to $155M
        Mar 30, 2015 to Nov 11, 2015
      • RAUM · $203M to $155M
        Mar 30, 2015 to Nov 11, 2015
      • Advisory employees · 9 to 8
        Feb 26, 2015 to Mar 30, 2015
      • Assets in custody · $284M to $203M
        Feb 26, 2015 to Mar 30, 2015
      • Employees · 9 to 8
        Feb 26, 2015 to Mar 30, 2015
      • Discretionary RAUM · $284M to $203M
        Feb 26, 2015 to Mar 30, 2015
      • RAUM · $284M to $203M
        Feb 26, 2015 to Mar 30, 2015
      • Related bank · false to true
        Feb 26, 2015 to Mar 30, 2015
      • Advisory employees · 8 to 9
        Oct 10, 2013 to Mar 28, 2014
      • BD registered reps · 0 to 1
        Oct 10, 2013 to Mar 28, 2014
      • Assets in custody · $177M to $284M
        Oct 10, 2013 to Mar 28, 2014
      • Discretionary RAUM · $177M to $284M
        Oct 10, 2013 to Mar 28, 2014
      • RAUM · $177M to $284M
        Oct 10, 2013 to Mar 28, 2014
      • Advisory employees · unset to 8.0
        May 9, 2012 to Mar 18, 2013
      • BD registered reps · unset to 0.0
        May 9, 2012 to Mar 18, 2013
      • Assets in custody · $150M to $177M
        May 9, 2012 to Mar 18, 2013
      • Employees · unset to 9.0
        May 9, 2012 to Mar 18, 2013
      • State-registered IARs · unset to 0.0
        May 9, 2012 to Mar 18, 2013
      • Discretionary RAUM · $150M to $177M
        May 9, 2012 to Mar 18, 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

      R••••••••• G•••• I••••••••• M••••••••• C•••• 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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