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.

Former SEC-registered adviser

Key Real Estate Equity Capital, Inc

Former SEC-registered adviserCleveland, OhioCRD 163795SEC 801-76513IAPD
Latest filing May 2, 2014
First filing on the tape Apr 9, 2012 · 15 filings
RAUM
$42.4M
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
21
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$42.4M gross assets
History
15 filings and snapshots on the tape
RAUM$80.5M as of Mar 26, 2014
Mar 28, 2013$161M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2014
Mar 28, 20130 then
Employees (5.A)21 as of Mar 26, 2014
Mar 28, 201315 then
Private funds1 as of Mar 26, 2014
Mar 28, 20132 then
RAUM -74% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 2, 2014; 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
$42.4MderivedRAUM 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
-50%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
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)
  • 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
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Hartford Mezzanie Investors I-Cre Cdo 2007-1, LtdSecuritized Asset Fund$194M2Mar 30, 2012
      Hartford Mezzanine Investors I, LLCReal Estate Fund$42.4M19Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B Julie Babcock · Director/Secretary
        since 06/2013 · owns less than 5%
      • Michael Black · Cco
        since 12/2013 · owns less than 5%
      • G Angela Mago · Director/President
        since 04/2014 · owns less than 5%
      • Lisa Marquardt · Cfo
        since 03/2014 · owns less than 5%
      • Lewis Marty Oconnor · Director
        since 04/2013 · owns less than 5%
      Entity owners
      • Keycorp · Sole Shareholder
        direct · owns 75% or more · public reporting company
      • Keycorp · Sole Shareholder
        indirect · owns 75% or more of Key Real Estate Equity Capital, Inc · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Atlanta, GA
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $80.5M to $42.4M
        Mar 26, 2014 to May 2, 2014
      • RAUM · $80.5M to $42.4M
        Mar 26, 2014 to May 2, 2014
      • Employees · 15 to 21
        Dec 20, 2013 to Mar 26, 2014
      • Discretionary RAUM · $87.0M to $80.5M
        Dec 20, 2013 to Mar 26, 2014
      • RAUM · $87.0M to $80.5M
        Dec 20, 2013 to Mar 26, 2014
      • Related bank · false to true
        Dec 20, 2013 to Mar 26, 2014
      • Accounts · 2 to 1
        Nov 21, 2013 to Dec 20, 2013
      • Private funds · 2 to 1
        Nov 21, 2013 to Dec 20, 2013
      • Discretionary RAUM · $119M to $87.0M
        Aug 16, 2013 to Nov 21, 2013
      • RAUM · $119M to $87.0M
        Aug 16, 2013 to Nov 21, 2013
      • Discretionary RAUM · $161M to $119M
        Jul 2, 2013 to Aug 16, 2013
      • RAUM · $161M to $119M
        Jul 2, 2013 to Aug 16, 2013
      • Custody of client assets · true to false
        Nov 30, 2012 to Mar 28, 2013
      • Private funds · unset to 2
        Nov 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $195M to $161M
        Nov 30, 2012 to Mar 28, 2013
      • RAUM · $195M to $161M
        Nov 30, 2012 to Mar 28, 2013
      • Advisory employees · unset to 2.0
        Jun 8, 2012 to Nov 30, 2012
      • BD registered reps · unset to 0.0
        Jun 8, 2012 to Nov 30, 2012
      • Employees · unset to 15.0
        Jun 8, 2012 to Nov 30, 2012
      • State-registered IARs · unset to 0.0
        Jun 8, 2012 to Nov 30, 2012
      • Discretionary RAUM · $268M to $195M
        Jun 8, 2012 to Nov 30, 2012
      • RAUM · $268M to $195M
        Jun 8, 2012 to Nov 30, 2012
      • Accounts · unset to 2.0
        Apr 24, 2012 to Jun 8, 2012
      • Assets in custody · $390M to $0
        Apr 24, 2012 to Jun 8, 2012
      • Discretionary RAUM · unset to 267920814.0
        Apr 24, 2012 to Jun 8, 2012
      • Non-discretionary RAUM · unset to 0.0
        Apr 24, 2012 to Jun 8, 2012
      • RAUM · unset to 267920814.0
        Apr 24, 2012 to Jun 8, 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
      Across the graphs

      Key Real Estate Equity Capital, Inc 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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