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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
I••••••••• C••••• M••••••••• U• L••
Latest filing Oct 27, 2025
First filing on the tape Aug 9, 2012 · 37 filings
SEC status approved since Aug 16, 2012
RAUM
$12B
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
25
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
36
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$12B as of Oct 27, 2025
Jun 27, 2013$3.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 27, 2025
Jun 27, 20130 then
Employees (5.A)25 as of Oct 27, 2025
Jun 27, 201313 then
Private funds36 as of Oct 27, 2025
Jun 27, 20139 then
RAUM -4.4% over the last fiscal year+35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 27, 2025; 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
- $295MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%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
- -3.5%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $101M, 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$11B97%
- Insurance companies$319M2.8%
- Corporations and businesses$14.0M0.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 39reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $101M for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.97 institutional_share=0.03 related_bd=true related_bank=false bd_reps=2.0derived
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
51 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| J•••••••• C•• V• L•••no longer reported | Securitized Asset Fund | $751M | 0 | Jun 26, 2015 |
| J•••••••• C•• V••• L••no longer reported | Securitized Asset Fund | $697M | 1 | Sep 25, 2018 |
| J•••••••• C•• X• L•••no longer reported | Securitized Asset Fund | $591M | 0 | Sep 25, 2018 |
| J•••••••• C•• V••• L••no longer reported | Securitized Asset Fund | $505M | 0 | Jun 28, 2016 |
| M••••• P•••• C•• X••• L••• | Securitized Asset Fund | $497M | 2 | Mar 30, 2022 |
| M••••• P•••• C•• X•••• L••• | Securitized Asset Fund | $496M | 7 | Mar 30, 2022 |
| M••••• P•••• C•• X•••• L••• | Securitized Asset Fund | $495M | 5 | Mar 31, 2021 |
| M••••• P•••• C•• X•• L••• | Securitized Asset Fund | $494M | 2 | Feb 28, 2020 |
| J•••••••• C•• X•• L••• | Securitized Asset Fund | $484M | 2 | Sep 25, 2020 |
| J•••••••• C•• X•• L••• | Securitized Asset Fund | $446M | 3 | Sep 23, 2019 |
| J•••••••• C•• X• L••• | Securitized Asset Fund | $425M | 2 | Sep 25, 2020 |
| M••••• P•••• C•• X•• L••• | Securitized Asset Fund | $417M | 2 | Mar 28, 2019 |
| F••••• S••••••• C•• V• L••no longer reported | Securitized Asset Fund | $403M | 0 | Nov 2, 2012 |
| H•••••• U• C•• 2••••• L••• | Securitized Asset Fund | $401M | 3 | Sep 28, 2023 |
| H•••••• U• C•• 2•••••• L••• | Securitized Asset Fund | $400M | 3 | Sep 26, 2022 |
| M••••• P•••• C•• X•• L••• | Securitized Asset Fund | $400M | 4 | Mar 28, 2023 |
| J•••••••• C•• I• L•• | Securitized Asset Fund | $400M | 3 | Mar 3, 2017 |
| J•••••••• C•• X•••• L•• | Securitized Asset Fund | $398M | 1 | Sep 26, 2022 |
| M••••• P•••• C•• X••• L••• | Securitized Asset Fund | $398M | 3 | Mar 31, 2021 |
| M••••• P•••• C•• X•• L••• | Securitized Asset Fund | $397M | 2 | Mar 31, 2021 |
| M••••• P•••• C•• X• L••• | Securitized Asset Fund | $397M | 4 | Mar 31, 2021 |
| J•••••••• C•• X•• L•• | Securitized Asset Fund | $397M | 2 | Sep 21, 2021 |
| M••••• P•••• C•• X•• L••• | Securitized Asset Fund | $396M | 4 | Mar 30, 2022 |
| J•••••••• C•• V•• L••no longer reported | Securitized Asset Fund | $395M | 0 | Dec 1, 2015 |
| M••••• P•••• C•• X••• L••• | Securitized Asset Fund | $393M | 4 | Mar 30, 2022 |
| M••••• P•••• C•• X• L••• | Securitized Asset Fund | $390M | 3 | Mar 28, 2019 |
| M••••• P•••• C•• X•• L••• | Securitized Asset Fund | $380M | 3 | Mar 28, 2019 |
| J•••••••• C•• I•• L•••no longer reported | Securitized Asset Fund | $367M | 0 | Jun 27, 2014 |
| J•••••••• C•• X• L••• | Securitized Asset Fund | $367M | 2 | Sep 25, 2018 |
| J•••••••• C•• X••• L•• | Securitized Asset Fund | $346M | 2 | Sep 26, 2022 |
| M• C•• V•••• L••• | Securitized Asset Fund | $345M | 6 | Mar 30, 2016 |
| M••••• P•••• C•• X• L••• | Securitized Asset Fund | $327M | 6 | Feb 28, 2018 |
| J•••••••• C•• I• L•••no longer reported | Securitized Asset Fund | $284M | 0 | Jun 27, 2013 |
| M••••• P•••• C•• X• L••• | Securitized Asset Fund | $271M | 3 | Feb 28, 2018 |
| M• C•• V••• L••• | Securitized Asset Fund | $263M | 4 | Mar 30, 2016 |
| M• C•• I••• L••• | Securitized Asset Fund | $240M | 5 | Aug 8, 2013 |
| J•••••••• C•• I• L•••no longer reported | Securitized Asset Fund | $235M | 0 | Jun 26, 2015 |
| F••••• S••••••• C•• V•• L•••no longer reported | Securitized Asset Fund | $222M | 0 | Nov 2, 2012 |
| I•• G••••• F••••••• R••• I••••• L•••••• | Hedge Fund | $215M | 50 | Jun 28, 2016 |
| I•• S••••• L••• F•••• L•no longer reported | Hedge Fund | $176M | 44 | Mar 23, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G•••• C••••• S•••• · Portfolio Manager; Head Of Trading And Capital Marketscontrolsince 01/2023 · owns less than 5%
- S•••••••• T•••••• H••••• · Head Of U.S. Collateralized L••• Obligations And Broadly Syndicated L•••Scontrolsince 01/2023 · owns less than 5%
- S••••• E•••••• B••••••••• · G•••Ral Counsel; Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- T•••• W•••••• P• · Chief Financial Officercontrolsince 05/2024 · owns less than 5%
Entity owners
- I•• C••••• M••••••••• F••••••••• L•• · Managing Memberdirect · owns 75% or more
- C• H••••••• L••• · Shareholderindirect · owns 75% or more of I••••••••• H••••••• L•••
- I•••• H••••••• L•• · Shareholderindirect · owns 75% or more of I•••• I••••••••• S•• L••
- I•••• I••••••••• S•• L•• · Shareholderindirect · owns 25% to 50% of S•••• L•••
- I••••••••• H••••••• L••• · Shareholderindirect · owns 75% or more of I••••••••• S•••
- I••••••••• I••••••••• H••••••• I••• · Shareholderindirect · owns 75% or more of I•• C••••• M••••••••• F••••••••• L••
- I••••••••• S••• · Shareholderindirect · owns 75% or more of I••••••••• I••••••••• H••••••• I•••
- S•••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of I•••• H••••••• L••
- S•••• L••• · Shareholderindirect · owns 75% or more of C• H••••••• L•••
Related persons
Schedule D 7.A
- C• I••••••••• P•••••••• L••investment adviseryRAUM $444M
- I•• N••••••• H•••••• L••••••broker-dealern
- I•• S••••• L••• F••• C•••••••••pooled vehicle sponsory
- I••••••••• ••• D••••• L••••••investment advisern
- I••••••••• A••••••• R••••• I••••••••• L••investment advisernRAUM $1.1B
- I••••••••• A••• F•••••••• S••••••• P•• L•••broker-dealern
- I••••••••• A•••• A••••••• S••••••• L••••••broker-dealern
- I••••••••• C•••••••• S••••••• L••••••investment advisern
- I••••••••• C•••••• I••••••••• P•••••••• L•••investment advisernRAUM $5.2B
- I••••••••• C••••• M••••••••• E• L••••••investment advisern
- I••••••••• F•••••••• S••••••• B••••••••broker-dealerinvestment advisern
- I••••••••• F••• M••••••••• S••••••• L••••••investment advisern
- I••••••••• G••• I••••••••• B••••••••broker-dealerinvestment advisern
- I••••••••• I•••• A•••• M••••••• P•••••• L••••••investment advisern
- I••••••••• I••••••••• A••••••• L••investment advisernRAUM $5.5B
- I••••••••• I••••••••• M••••••• I•••• L••investment advisern
- I••••••••• I••••••••• S•••••••• L••investment advisernRAUM $2.8B
- I••••••••• J••••• L••broker-dealern
- I••••••••• M•••• L••••••broker-dealern
- I••••••••• M••••••••• H•••••••• L•••investment advisern
- I••••••••• P•••••• E••••• 2••• F••• G• L•investment adviserpooled vehicle sponsorn
- I••••••••• S•••• A••••• F•••••••• I••••••••• C••broker-dealerinvestment advisern
- I••••••••• S••••••••• L••••••broker-dealerinvestment advisernRAUM $255M
- M•••••• C•••••• A••••••• U••••••••• L••broker-dealern
- M•••••• C•••••• A•••••••• L••broker-dealern
- M•••••• C•••••• A•••••••• L••investment advisern
- N••• I••••••••• L••broker-dealern
- T•••• C•••••• L••investment advisern
- T•••• C•••••• S•• S•••••investment advisern
Advisers that list I••••••••• C••••• M••••••••• U• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 35 to 39Aug 28, 2025 to Oct 27, 2025
- Advisory employees · 17 to 15Aug 28, 2025 to Oct 27, 2025
- BD registered reps · 1 to 2Aug 28, 2025 to Oct 27, 2025
- Pooled vehicle clients · 32 to 36Aug 28, 2025 to Oct 27, 2025
- Assets in custody · $130M to $101MAug 28, 2025 to Oct 27, 2025
- Employees · 29 to 25Aug 28, 2025 to Oct 27, 2025
- Private funds · 32 to 36Aug 28, 2025 to Oct 27, 2025
- Discretionary RAUM · $12B to $12BAug 28, 2025 to Oct 27, 2025
- Non-discretionary RAUM · $8.9M to $8.4MAug 28, 2025 to Oct 27, 2025
- Pooled vehicle RAUM · $11B to $11BAug 28, 2025 to Oct 27, 2025
- RAUM · $12B to $12BAug 28, 2025 to Oct 27, 2025
- Financial planning clients · unset to Apr 8, 2025 to Jul 9, 2025
- Accounts · 33 to 35Sep 28, 2023 to Sep 27, 2024
- Corporate clients · 0 to 1Sep 28, 2023 to Sep 27, 2024
- Assets in custody · $139M to $130MSep 28, 2023 to Sep 27, 2024
- Employees · 30 to 29Sep 28, 2023 to Sep 27, 2024
- Discretionary RAUM · $12B to $12BSep 28, 2023 to Sep 27, 2024
- Non-discretionary RAUM · $0 to $8.9MSep 28, 2023 to Sep 27, 2024
- Pooled vehicle RAUM · $12B to $11BSep 28, 2023 to Sep 27, 2024
- RAUM · $12B to $12BSep 28, 2023 to Sep 27, 2024
- Employees · 18 to 30Jul 27, 2023 to Sep 28, 2023
- Accounts · 13 to 33Jul 27, 2023 to Sep 28, 2023
- Advisory employees · 12 to 17Jul 27, 2023 to Sep 28, 2023
- BD registered reps · 0 to 1Jul 27, 2023 to Sep 28, 2023
- Pooled vehicle clients · 12 to 32Jul 27, 2023 to Sep 28, 2023
- Assets in custody · unset to 139111347.0Jul 27, 2023 to Sep 28, 2023
- Custody of client assets · false to trueJul 27, 2023 to Sep 28, 2023
- Private funds · 12 to 32Jul 27, 2023 to Sep 28, 2023
- Discretionary RAUM · $4.8B to $12BJul 27, 2023 to Sep 28, 2023
- Pooled vehicle RAUM · $4.8B to $12BJul 27, 2023 to Sep 28, 2023
- RAUM · $4.8B to $12BJul 27, 2023 to Sep 28, 2023
- Related bank · true to falseJul 27, 2023 to Sep 28, 2023
- Accounts · 11 to 13Sep 21, 2021 to Sep 26, 2022
- Advisory employees · 13 to 12Sep 21, 2021 to Sep 26, 2022
- Pooled vehicle clients · 11 to 12Sep 21, 2021 to Sep 26, 2022
- Employees · 20 to 18Sep 21, 2021 to Sep 26, 2022
- Private funds · 11 to 12Sep 21, 2021 to Sep 26, 2022
- Discretionary RAUM · $4.7B to $4.8BSep 21, 2021 to Sep 26, 2022
- Pooled vehicle RAUM · $4.7B to $4.8BSep 21, 2021 to Sep 26, 2022
- RAUM · $4.7B to $4.8BSep 21, 2021 to Sep 26, 2022
Signals
16 dated events
- P Walter Tsin (Chief Financial Officer) appeared on Schedule A of I••••••••• C••••• M••••••••• U• L••Sep 27, 2024 · Control person joined · fact
- I••••••••• C••••• M••••••••• U• L•• reported RAUM $12.0B, up 150% from $4.8B (2023-07-27 to 2023-09-28)Sep 28, 2023 · RAUM change · derived
- K Philip Li (Chief Operating Officer) no longer on Schedule A of I••••••••• C••••• M••••••••• U• L•• (listed 2023-07-10, absent 2023-07-27)Jul 27, 2023 · Control person left · inference
- Charles Michael Mauer (Managing Director & Co-Head) no longer on Schedule A of I••••••••• C••••• M••••••••• U• L•• (listed 2023-01-05, absent 2023-02-06)Feb 6, 2023 · Control person left · inference
- Scott Corey Geis (Head Of Trading And Capital Markets) appeared on Schedule A of I••••••••• C••••• M••••••••• U• L••Feb 6, 2023 · Control person joined · fact
- K Philip Li (Chief Operating Officer) appeared on Schedule A of I••••••••• C••••• M••••••••• U• L••Feb 6, 2023 · Control person joined · fact
- Butterworth Edward Smith (General Counsel; Chief Compliance Officer) appeared on Schedule A of I••••••••• C••••• M••••••••• U• L••Feb 6, 2023 · Control person joined · fact
- Hicken Thomas Shandell (Head Of U.S. Collateralized Loan Obligations And Broadly Syndicated Loans) appeared on Schedule A of I••••••••• C••••• M••••••••• U• L••Feb 6, 2023 · Control person joined · fact
- James David Moffitt (Managing Director & Co-Head) no longer on Schedule A of I••••••••• C••••• M••••••••• U• L•• (listed 2022-09-26, absent 2023-01-05)Jan 5, 2023 · Control person left · inference
- James David Moffitt (Managing Director & Co-Head) appeared on Schedule A of I••••••••• C••••• M••••••••• U• L••Oct 10, 2020 · Control person joined · fact
- Aloysivs James Feeley (Managing Director & Co-Head) no longer on Schedule A of I••••••••• C••••• M••••••••• U• L•• (listed 2020-09-25, absent 2020-10-10)Oct 10, 2020 · Control person left · inference
- "Nmn" Gene Basov (Chief Financial Officer) no longer on Schedule A of I••••••••• C••••• M••••••••• U• L•• (listed 2019-09-23, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- Charles Michael Mauer (Managing Director & Co-Head) appeared on Schedule A of I••••••••• C••••• M••••••••• U• L••Sep 23, 2019 · Control person joined · fact
- William John Fraser (Managing Partner & Chief Investment Officer) no longer on Schedule A of I••••••••• C••••• M••••••••• U• L•• (listed 2018-09-25, absent 2019-04-03)Apr 3, 2019 · Control person left · inference
- Aloysivs James Feeley (Managing Director & Head) appeared on Schedule A of I••••••••• C••••• M••••••••• U• L••Apr 3, 2019 · Control person joined · fact
- 3• D••• M••••••••• U• L•• filed its initial SEC registration (Form ADV)Aug 9, 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
- 212-599-4700reportedpublic record, Form ADV, Oct 27, 2025
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