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

P•••••••• I••••••••• A•••••••• L•••••

Former SEC-registered adviserChicago, IllinoisCRD 165471SEC 801-77305IAPD
Latest filing Mar 30, 2018
First filing on the tape Oct 23, 2012 · 8 filings
RAUM
n/a
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
20
20 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$303M as of Mar 23, 2017
Mar 21, 2013$571M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 21, 20130 then
Employees (5.A)20 as of Mar 30, 2018
Mar 21, 201347 then
Private funds1 as of Mar 23, 2017
Mar 21, 20131 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2018; 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 assets, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, 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
  • a related person has custody of client cash (9.B.1.a)
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••••••• M••••••••• P•••••••• L•••••Real Estate Fund$92.2M60Oct 23, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• W•••• · Chief Compliance Officercontrol
        since 03/2013 · owns less than 5%
      • L••••• D••••••• W••••••• · Managing Principalcontrol
        since 09/2012 · owns less than 5%
      • Q•••••• S••••••• R••••• · Chief Executive Officercontrol
        since 09/2012 · owns less than 5%
      • L••••• D••••••• W••••••• · Membercontrol
        since 05/2002 · owns 50% to 75% of P•••••••• I••••••••• C••••••• L••••• ••••• P•••••••• R••• E••••• P•••••••• L••••••
      • Q•••••• S••••••• R••••• · Membercontrol
        since 02/1996 · owns 50% to 75% of P•••••••• I••••••••• C••••••• L••••• ••••• P•••••••• R••• E••••• P•••••••• L••••••
      Entity owners
      • P•••••••• I••••••••• C••••••• L••••• ••••• P•••••••• R••• E••••• P•••••••• L•••••• · Sole Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A•••• G• I•• L•••••
        pooled vehicle sponsorn
      • A•••• G• I••• L•••••
        pooled vehicle sponsorn
      • A•••• G• I•• L•••••
        pooled vehicle sponsorn
      • P•••••••• I••••••••• C••••••• L••••• ••••• P•••••••• R••• E••••• P•••••••• L••••••
        pooled vehicle sponsory
      • P•••••••• M•••••••• R••••• P••••••• G• I••• L•••••
        pooled vehicle sponsorn
      • P•••••••• M•••••••• R••••• P••••••• G• I•• L•••••
        pooled vehicle sponsorn
      • P•••••••• R••• E••••• S•••••••• L•••••
        investment companyn
      • P•••••••• R••• E•••••• L•••••
        pooled vehicle sponsorn
      • P•• G• I• L•••••
        pooled vehicle sponsorn
      • P••• I••••••••• A•••••••• L•••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4.0 to unset
        Jul 18, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 4.0
        Jul 18, 2017 to Mar 30, 2018
      • Assets in custody · 1614512.0 to unset
        Jul 18, 2017 to Mar 30, 2018
      • Custody of client assets · true to false
        Jul 18, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Jul 18, 2017 to Mar 30, 2018
      • Private funds · 2 to unset
        Jul 18, 2017 to Mar 30, 2018
      • Discretionary RAUM · 348218000.0 to unset
        Jul 18, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · 57100000.0 to unset
        Jul 18, 2017 to Mar 30, 2018
      • RAUM · 405318000.0 to unset
        Jul 18, 2017 to Mar 30, 2018
      • Related adviser · false to true
        Jul 18, 2017 to Mar 30, 2018
      • Accounts · 2 to 4
        Mar 23, 2017 to Jul 18, 2017
      • Assets in custody · $1.9M to $1.6M
        Mar 23, 2017 to Jul 18, 2017
      • Private funds · 1 to 2
        Mar 23, 2017 to Jul 18, 2017
      • Discretionary RAUM · $303M to $348M
        Mar 23, 2017 to Jul 18, 2017
      • Non-discretionary RAUM · $0 to $57.1M
        Mar 23, 2017 to Jul 18, 2017
      • RAUM · $303M to $405M
        Mar 23, 2017 to Jul 18, 2017
      • Advisory employees · 30 to 20
        Mar 21, 2016 to Mar 23, 2017
      • Assets in custody · $2.7M to $1.9M
        Mar 21, 2016 to Mar 23, 2017
      • Employees · 30 to 20
        Mar 21, 2016 to Mar 23, 2017
      • Discretionary RAUM · $291M to $303M
        Mar 21, 2016 to Mar 23, 2017
      • RAUM · $291M to $303M
        Mar 21, 2016 to Mar 23, 2017
      • Assets in custody · $2.3M to $2.7M
        Mar 12, 2015 to Mar 21, 2016
      • Discretionary RAUM · $229M to $291M
        Mar 12, 2015 to Mar 21, 2016
      • RAUM · $229M to $291M
        Mar 12, 2015 to Mar 21, 2016
      • Accounts · 1 to 2
        Mar 14, 2014 to Mar 12, 2015
      • Advisory employees · 38 to 30
        Mar 14, 2014 to Mar 12, 2015
      • Assets in custody · unset to 2295485.0
        Mar 14, 2014 to Mar 12, 2015
      • Custody of client assets · false to true
        Mar 14, 2014 to Mar 12, 2015
      • Employees · 38 to 30
        Mar 14, 2014 to Mar 12, 2015
      • Discretionary RAUM · $128M to $229M
        Mar 14, 2014 to Mar 12, 2015
      • RAUM · $128M to $229M
        Mar 14, 2014 to Mar 12, 2015
      • Advisory employees · 47 to 38
        Mar 21, 2013 to Mar 14, 2014
      • Advisory activities · 1 to 2
        Mar 21, 2013 to Mar 14, 2014
      • Employees · 47 to 38
        Mar 21, 2013 to Mar 14, 2014
      • Discretionary RAUM · $571M to $128M
        Mar 21, 2013 to Mar 14, 2014
      • RAUM · $571M to $128M
        Mar 21, 2013 to Mar 14, 2014
      • Advisory employees · unset to 47.0
        Oct 23, 2012 to Mar 21, 2013
      • BD registered reps · unset to 0.0
        Oct 23, 2012 to Mar 21, 2013
      • Employees · unset to 47.0
        Oct 23, 2012 to Mar 21, 2013
      • State-registered IARs · unset to 0.0
        Oct 23, 2012 to Mar 21, 2013
      Signals
      1 dated events
      • P•••••••• I••••••••• A•••••••• L••••• filed its initial SEC registration (Form ADV)
        Oct 23, 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
      Across the graphs

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