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
U••••• A••••••• I••••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 21, 2012 · 22 filings
SEC status approved since Feb 1, 2013
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2026
Apr 3, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 3, 20141 then
Employees (5.A)2 as of Mar 31, 2026
Apr 3, 20142 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween 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 individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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)
- 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)
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
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• M•••• H•••••• · Membercontrolsince 02/2004 · owns 75% or more of U••••• A••••••• C••••••, LLC
- S••••••• J•••••• A••• · Chief Compliance Officer And Chief Operating Officersince 03/2016 · owns less than 5%
Entity owners
- U••••• A••••••• C•••••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- P••••••• T••••••••• P•••••••investment advisernRAUM $1.2B
Advisers that list U••••• A••••••• I••••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Apr 1, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Apr 1, 2024 to Mar 31, 2025
- Discretionary RAUM · unset to 0.0Apr 1, 2024 to Mar 31, 2025
- Non-discretionary RAUM · unset to 0.0Apr 1, 2024 to Mar 31, 2025
- RAUM · unset to 0.0Apr 1, 2024 to Mar 31, 2025
- Accounts · 0.0 to unsetMar 31, 2023 to Apr 1, 2024
- Discretionary RAUM · 0.0 to unsetMar 31, 2023 to Apr 1, 2024
- Non-discretionary RAUM · 0.0 to unsetMar 31, 2023 to Apr 1, 2024
- RAUM · 0.0 to unsetMar 31, 2023 to Apr 1, 2024
- Accounts · 2 to 0Jun 30, 2020 to Apr 2, 2021
- Discretionary RAUM · $713,000 to $0Jun 30, 2020 to Apr 2, 2021
- Individual RAUM · $713,000 to $0Jun 30, 2020 to Apr 2, 2021
- RAUM · $713,000 to $0Jun 30, 2020 to Apr 2, 2021
- Related broker-dealer · true to falseJun 30, 2020 to Apr 2, 2021
- Other offices · 1 to 0Mar 29, 2019 to Jan 30, 2020
- Discretionary RAUM · $835,000 to $713,000Mar 29, 2019 to Jan 30, 2020
- Individual RAUM · $835,000 to $713,000Mar 29, 2019 to Jan 30, 2020
- RAUM · $835,000 to $713,000Mar 29, 2019 to Jan 30, 2020
- Accounts · 54 to 2Apr 2, 2018 to Mar 29, 2019
- Individual clients · 23.0 to unsetApr 2, 2018 to Mar 29, 2019
- Discretionary RAUM · $11.6M to $835,000Apr 2, 2018 to Mar 29, 2019
- Individual RAUM · $11.6M to $835,000Apr 2, 2018 to Mar 29, 2019
- RAUM · $11.6M to $835,000Apr 2, 2018 to Mar 29, 2019
- Accounts · 48 to 54Apr 3, 2017 to Apr 2, 2018
- Individual clients · unset to 23.0Apr 3, 2017 to Apr 2, 2018
- Other offices · unset to 1.0Apr 3, 2017 to Apr 2, 2018
- Discretionary RAUM · $10.3M to $11.6MApr 3, 2017 to Apr 2, 2018
- Individual RAUM · unset to 11636000.0Apr 3, 2017 to Apr 2, 2018
- RAUM · $10.3M to $11.6MApr 3, 2017 to Apr 2, 2018
- Accounts · 275 to 48Mar 31, 2016 to Mar 31, 2017
- Discretionary RAUM · $61.5M to $10.3MMar 31, 2016 to Mar 31, 2017
- RAUM · $61.5M to $10.3MMar 31, 2016 to Mar 31, 2017
- Accounts · 161 to 275Mar 31, 2015 to Mar 31, 2016
- Advisory employees · 0 to 1Mar 31, 2015 to Mar 31, 2016
- Business name · U••••• A••••••• A•••• M••••••••• L•• to U••••• A••••••• I••••••••• M••••••••• L••Mar 31, 2015 to Mar 31, 2016
- Discretionary RAUM · $28.1M to $61.5MMar 31, 2015 to Mar 31, 2016
- RAUM · $28.1M to $61.5MMar 31, 2015 to Mar 31, 2016
- Related broker-dealer · false to trueMar 31, 2015 to Mar 31, 2016
- Related adviser · false to trueMar 4, 2015 to Mar 31, 2015
- Accounts · 0 to 161Jun 17, 2014 to Mar 4, 2015
Signals
1 dated events
- U••••• A••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 21, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-444-2362reportedpublic 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
- No RAUM reportedderiveda 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