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

N• I••••••••• P••••••• N•••• A•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 165092SEC 801-77329IAPD
Latest filing Jul 24, 2023
First filing on the tape Oct 26, 2012 · 33 filings
RAUM
$7.0B
reported, Item 5.F
Discretionary
55%
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
11
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$7.0B as of Mar 31, 2023
Mar 28, 2013$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 28, 20130 then
Employees (5.A)11 as of Mar 31, 2023
Mar 28, 201318 then
Private funds: no history
RAUM +47% over the last fiscal year+55% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 24, 2023; 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
$234MderivedRAUM over accounts (5.F.2.f)
Discretionary
55%derivedof RAUM
Institutional
51%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
+47%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 businesses and institutions, portfolio management for pooled vehicles, 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
  • 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)
  • 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
  • Pooled investment vehicles$3.4B49%
  • Insurance companies$3.4B48%
  • Sovereign wealth funds$132M1.9%
  • Pension and profit-sharing plans$74.6M1.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
30reported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P••••••••• T••• · S••••• Vice Presidentcontrol
        since 01/2012 · owns less than 5%
      • V•• N••••••••• V•••••••• · Chief Investment Officercontrol
        since 08/2017 · owns less than 5%
      • V•••••••• M•••••••• J•• · Presidentcontrol
        since 02/2013 · owns less than 5%
      • Z••••••••• H••••• · Chief Financial & R••• Officercontrol
        since 12/2018 · owns less than 5%
      • R•••••• J•••••• D•••• · S••••• Vice President
        since 11/2022 · owns less than 5%
      • V•• R••••••• B•••• · Chief Compliance Officer
        since 07/2019 · owns less than 5%
      Entity owners
      • G••• H••••••• L•• · Shareholder
        direct · owns 75% or more
      • T•• G•••••• S•••• G••••• I••• · Shareholder
        indirect · owns 75% or more of G••• H••••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      • A• R•• A•••••••• L•••••
        pooled vehicle sponsorn
      • A•••• I••••••••• M••••••••• B•••
        investment advisern
      • A••••••• I••••••••• M••••••••• L•
        investment adviserbankpooled vehicle sponsorLP sponsornRAUM $6.1B
      • A••••••• P••••••• F••• G• L••
        pooled vehicle sponsorn
      • A••••• S••••• P••••••• I• A••••• A••••••• L••
        pooled vehicle sponsorn
      • A•••• R••••••••• C••••••• L••••••
        real estaten
      • A•• A••••• A••••••• L••
        pooled vehicle sponsorn
      • B•••••• V••••••• O••••••••• A••••• O••••••• L•
        pooled vehicle sponsorn
      • B•••••• G•• H•• S••••••••• C•••••• L••••••
        broker-dealerinvestment advisern
      • B•••••• G•••••• S•••• C••••••••• C••• L•••
        investment advisern
      • B•••• S••••• L••• P••••••• I•• O•••••• A•••••••• L•••••
        pooled vehicle sponsorn
      • B•••• S••••• L••• P••••••• I• U•••••••• A•••••••• S•• R•••
        pooled vehicle sponsorn
      • B•••• S••••• P••••••• L•• G•• S•• R•••
        pooled vehicle sponsorn
      • B•••• S••••• S••••• C••••• P••••••• A••••••• L•••••
        pooled vehicle sponsorn
      • B•••• S••••• S••••• C••••• P••••••• I• A••••••• L•••••
        pooled vehicle sponsorn
      • B•••• S••••• S••••• C••••• P••••••• O••••••• A••••••• L•••
        pooled vehicle sponsorn
      • C••••• S•••••••• A••••••• L••
        pooled vehicle sponsorn
      • C••• A••••••• L••
        pooled vehicle sponsorn
      • D•• O••••••••• I• A••••• L••
        pooled vehicle sponsorn
      • F•••• I••••••••• I•••
        broker-dealern
      • G•••••• S•••• ••••• F••••••
        broker-dealern
      • G•••••• S•••• ••••• L•••••
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • G•••••• S•••• ••••• S••••••••• L••••••
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • G•••••• S•••• •••••• L•••••
        investment adviserpooled vehicle sponsorn
      • G•••••• S•••• •••••• C•••••• M•••••• P•••••• L••••••
        broker-dealern
      • G•••••• S•••• •••••• S••••••••• P•••••• L••••••
        broker-dealerinvestment advisern
      • G•••••• S•••• ••••••••• S••• B•••
        investment advisern
      • G•••••• S•••• •••••••
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • G•••••• S•••• ••••••••• P•••
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • G•••••• S•••• • C•• L••
        broker-dealerinvestment adviserbanktrust companynRAUM $134B
      Advisers that list N• I••••••••• P••••••• N•••• A•••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 23 to 30
        Nov 16, 2022 to Mar 31, 2023
      • Advisory employees · 13 to 10
        Nov 16, 2022 to Mar 31, 2023
      • Pension plan clients · unset to 1.0
        Nov 16, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 19 to 21
        Nov 16, 2022 to Mar 31, 2023
      • Employees · 15 to 11
        Nov 16, 2022 to Mar 31, 2023
      • Discretionary RAUM · $4.7B to $3.8B
        Nov 16, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $26.7M to $3.2B
        Nov 16, 2022 to Mar 31, 2023
      • Pension RAUM · $87.9M to $74.6M
        Nov 16, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $4.3B to $3.4B
        Nov 16, 2022 to Mar 31, 2023
      • RAUM · $4.8B to $7.0B
        Nov 16, 2022 to Mar 31, 2023
      • Accounts · 24 to 23
        Mar 30, 2021 to Mar 28, 2022
      • Advisory employees · 12 to 13
        Mar 30, 2021 to Mar 28, 2022
      • Pooled vehicle clients · 20 to 19
        Mar 30, 2021 to Mar 28, 2022
      • Employees · 13 to 15
        Mar 30, 2021 to Mar 28, 2022
      • Other offices · 1 to 0
        Mar 30, 2021 to Mar 28, 2022
      • Discretionary RAUM · $4.5B to $4.7B
        Mar 30, 2021 to Mar 28, 2022
      • Non-discretionary RAUM · $51.5M to $26.7M
        Mar 30, 2021 to Mar 28, 2022
      • Pension RAUM · $89.8M to $87.9M
        Mar 30, 2021 to Mar 28, 2022
      • Pooled vehicle RAUM · $4.1B to $4.3B
        Mar 30, 2021 to Mar 28, 2022
      • RAUM · $4.6B to $4.8B
        Mar 30, 2021 to Mar 28, 2022
      • Accounts · 13 to 24
        Nov 3, 2020 to Mar 30, 2021
      • Advisory employees · 10 to 12
        Nov 3, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 11 to 20
        Nov 3, 2020 to Mar 30, 2021
      • Employees · 12 to 13
        Nov 3, 2020 to Mar 30, 2021
      • Discretionary RAUM · $1.9B to $4.5B
        Nov 3, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $25.5M to $51.5M
        Nov 3, 2020 to Mar 30, 2021
      • Pension RAUM · unset to 89756143.0
        Nov 3, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $1.7B to $4.1B
        Nov 3, 2020 to Mar 30, 2021
      • RAUM · $1.9B to $4.6B
        Nov 3, 2020 to Mar 30, 2021
      • Accounts · 25 to 13
        Jul 1, 2019 to Mar 27, 2020
      • Advisory employees · 12 to 10
        Jul 1, 2019 to Mar 27, 2020
      • Pooled vehicle clients · 20 to 11
        Jul 1, 2019 to Mar 27, 2020
      • Employees · 14 to 12
        Jul 1, 2019 to Mar 27, 2020
      • Discretionary RAUM · $4.7B to $1.9B
        Jul 1, 2019 to Mar 27, 2020
      • Non-discretionary RAUM · $31.3M to $25.5M
        Jul 1, 2019 to Mar 27, 2020
      • Pension RAUM · 365611082.0 to unset
        Jul 1, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $4.0B to $1.7B
        Jul 1, 2019 to Mar 27, 2020
      • RAUM · $4.8B to $1.9B
        Jul 1, 2019 to Mar 27, 2020
      • Assets in custody · 4560567470.0 to unset
        Nov 30, 2018 to Mar 27, 2019
      • Custody of client assets · true to false
        Nov 30, 2018 to Mar 27, 2019
      Signals
      9 dated events
      • N• I••••••••• P••••••• N•••• A•••••• L•• reported RAUM $7.0B, up 47% from $4.8B (2022-11-16 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • C•••••••• M•••• M•••••• C••••••• (Chief Executive Officer) no longer on Schedule A of N• I••••••••• P••••••• N•••• A•••••• L•• (listed 2022-11-16, absent 2023-03-31)
        Mar 31, 2023 · Control person left · inference
      • Satish Bapat (Chief Executive Officer) no longer on Schedule A of N• I••••••••• P••••••• N•••• A•••••• L•• (listed 2022-08-04, absent 2022-09-19)
        Sep 19, 2022 · Control person left · inference
      • C•••••••• M•••• M•••••• C••••••• (Chief Executive Officer) appeared on Schedule A of N• I••••••••• P••••••• N•••• A•••••• L••
        Sep 19, 2022 · Control person joined · fact
      • Cleveland Adrien Gerard (Senior Vice President) no longer on Schedule A of N• I••••••••• P••••••• N•••• A•••••• L•• (listed 2022-05-10, absent 2022-08-04)
        Aug 4, 2022 · Control person left · inference
      • Cleveland Adrien Gerard (Vice President Human Resources & Business Manager) appeared on Schedule A of N• I••••••••• P••••••• N•••• A•••••• L••
        Mar 30, 2021 · Control person joined · fact
      • N• I••••••••• P••••••• N•••• A•••••• L•• reported RAUM $4.6B, up 142% from $1.9B (2020-11-03 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • N• I••••••••• P••••••• N•••• A•••••• L•• reported RAUM $1.9B, down 60% from $4.8B (2019-07-01 to 2020-03-27)
        Mar 27, 2020 · RAUM change · derived
      • I•• I••••••••• M••••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 26, 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.
      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