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
O••• I••••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 30, 2021 · 10 filings
SEC status approved since Jul 30, 2021
RAUM
$332M
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
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
21
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$332M as of Mar 31, 2026
Mar 31, 2022$196M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20220 then
Employees (5.A)8 as of Mar 31, 2026
Mar 31, 20228 then
Private funds21 as of Mar 31, 2026
Mar 31, 202217 then
RAUM +5.5% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $15.8MderivedRAUM 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
- +5.5%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
- $332M, 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)
- 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$332M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 21reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $332M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
23 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- F••••••••• A••••••• H•••••• · Chairman Of Management Committeecontrolsince 06/2021 · owns less than 5%
- F••••••••• I••••• P••••• · Chief Operating Officer Of Fund-Of-Funds Divisioncontrolsince 03/2003 · owns less than 5%
- F••••••••• Y•••••••• L••• · Member Of Management Committeecontrolsince 06/2021 · owns less than 5%
- S••••••••• A•••• H••••• · Member Of Management Committee, Chief Financial Officer And Chief Executive Officer Of P•••••• Equity Divisioncontrolsince 06/2021 · owns less than 5%
- F••••••••• A••••••• H•••••• · Ownercontrolsince 12/2007 · owns 75% or more of F•• M•• L••
- S••••• N•••• A•••• · Chief Compliance Officersince 06/2021 · owns less than 5%
- S••••••• J•••••• R•••••• · Chief Accounting And Reporting Officersince 06/2021 · owns less than 5%
Entity owners
- F•• L•••••• L•• · Memberdirect · owns 75% or more
- F•• M•• L•• · Managerindirect · owns F of F•• L•••••• L••
- F••••••••• D••••••••• P••••••••• · Memberindirect · owns 50% to 75% of F•• L•••••• L••
Related persons
Schedule D 7.A
- F•• H••••••• L••pooled vehicle sponsorn
- O••• C•••••• M••••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $315M to $332MMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $315M to $332MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $315M to $332MMar 31, 2025 to Mar 31, 2026
- RAUM · $315M to $332MMar 31, 2025 to Mar 31, 2026
- Accounts · 18 to 21Jul 12, 2024 to Mar 31, 2025
- Assets in custody · $266M to $315MJul 12, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jul 12, 2024 to Mar 31, 2025
- Private funds · 18 to 21Jul 12, 2024 to Mar 31, 2025
- Discretionary RAUM · $266M to $315MJul 12, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $266M to $315MJul 12, 2024 to Mar 31, 2025
- RAUM · $266M to $315MJul 12, 2024 to Mar 31, 2025
- Accounts · 17 to 18Sep 6, 2023 to Mar 29, 2024
- Pooled vehicle clients · 3 to 4Sep 6, 2023 to Mar 29, 2024
- Assets in custody · $231M to $266MSep 6, 2023 to Mar 29, 2024
- Private funds · 17 to 18Sep 6, 2023 to Mar 29, 2024
- Discretionary RAUM · $231M to $266MSep 6, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $231M to $266MSep 6, 2023 to Mar 29, 2024
- RAUM · $231M to $266MSep 6, 2023 to Mar 29, 2024
- Assets in custody · $196M to $231MJul 13, 2022 to Mar 31, 2023
- Discretionary RAUM · $196M to $231MJul 13, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $196M to $231MJul 13, 2022 to Mar 31, 2023
- RAUM · $196M to $231MJul 13, 2022 to Mar 31, 2023
- Accounts · 15 to 17Jul 19, 2021 to Mar 31, 2022
- Pooled vehicle clients · 2 to 3Jul 19, 2021 to Mar 31, 2022
- Assets in custody · $161M to $196MJul 19, 2021 to Mar 31, 2022
- Private funds · 15 to 17Jul 19, 2021 to Mar 31, 2022
- Discretionary RAUM · $161M to $196MJul 19, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $161M to $196MJul 19, 2021 to Mar 31, 2022
- RAUM · $161M to $196MJul 19, 2021 to Mar 31, 2022
- Private funds · 30 to 15Jun 30, 2021 to Jul 19, 2021
Signals
1 dated events
- O••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O••• I••••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- O••• I••••••••• M••••••••• L•• · Private Equityshared crd · organization
- O••• I••••••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- o•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-266-8280reportedpublic record, Form ADV, Mar 31, 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